ML20203B494

Insp Rept 99990002/94-05 on 941018-19.Violations Noted.Major Areas Inspected:Discussions with Licensee Representatives & Reviews of Organizations & Administration of Program & Events Surrounding Removal of Fixed Nuclear Density Gauge

ML20203B494
Person / Time
Issue date:	11/04/1994
From:	Hosey C, Andrea Jones NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II)
To:
Shared Package
ML20203B339	List: ML20203B333 ML20203B458 ML20203B494
References
99990002-94-05, 99990002-94-5, SSD, NUDOCS 9902100327
Download: ML20203B494 (17)

Text

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9' 't' mm ne!uy UNITED STATES NUCLEAR REGULATORY COMMISSION

'* p REGloN 11

< o 101 MARIETTA STREET. N.W.. SUITE 2B00

-C 8 ATLANTA. GEORGIA 303230190 l'

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. Report No.:

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L 94-0.4' License No.: License No. General' License (10 CFR 31.5) Docket No. 999-90002-Licensee: Harman Mining Corporation Harman, Virginia l

- Inspection Conducted: October 18 and 19, 1994 i

Inspector: - Ni -

A. nes, Radiation pecialist Date Signed  !

' Approved By: A 07 Ol? 'N' I C.-Hosey, Chief V l Date Signed  ;

Nuclear Materials Inspection Section-Nuclear Materials Safety and Safeguards Branch Division of Radiation Safety and Safeguards i S MMARY Scope:

This special, unannounced inspection of activities conducted under a Ge9eral License (10 CFR 31.5) at-the Harman Mining Corporation inciuded discussions with licensee representatives and reviews.of the organization and administration of the program, and the events surrounding the removal of a fixed nuclear density gauge from the licensee's coal preparation facility and disposal of the gauge. ..

Results: '

A significant failure to control generally licensed material was identified

, during the_ inspection.

Within the scope of this inspection, the following apparent violations were identified.

L- Transfer of a generally licensed gauge to an individual not authorized

~to receive the gauge. (Section 4).

Failure to perform a leak test' on generally licensed material.

(Section4).

Enclosure 2

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'9902100327.941107 *

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L REPORT DETAILS L

?li . Persons Contacted

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• Henry Cook,lJr., President, Harman Mining Corporation (HMC);

Steve Maxfield,' Engineer, HMC p Randy Lockhardt, Business Manager, HMC Ronnie~Cox, Outside. Superintendent, HMC L ,

- % Don Horne, Former Purchasing Manager, HMC j L#Elzie Mullins, L&G Salvage Company . l

+C. Allen Cook, Former Vice President of Processing,.HMC

,]

• Attended ekit interview

, , - %8y telephone on October 18, 1994 )

+By telephone on October. 19, 1994 4

1. By telephone'on_ October 26,_1994

- 2.. Program Scope and Licensee Organization. i o .The .licenseef is authorized to possess and use. radioactive material under '

I

~a General License for the. purposes of measuring properties'of material using. fixed; nuclear density gauges. The licensee possessed-three-fixed  !

nuclear density. gauges,_two of which contained 100 mil 11 curies of '

cesium-137,Jand one gauge which contained 200 mil 11 curies of cesium-137.

The two: gauges'containing.100 mil 11 curies were transferred to an __ i 4 authorized recipient on December 15, 1993. -The inspection was conducted / l

'to review the transfer and/or disposal of the Kay-Ray 7063P, gauge containing 200 millicuries of cesium 137 located at the licensee's coal preparation plant.

~

3. ' Circumstance-Relative to the Transfer of the Licensee's Kay-Ray 7063P Fixed. Nuclear. Density Gauge-

,Through discussions with licensee representatives and review of license records, the . inspector determined the following:

On April 15,-1992, Harman Mining Corporation laid off-employees working .

at its preparation plant which resulted in permanent inactivation of the plant. During the summer of 1993, Harman Mining began salvaging

. equipment located at its unused preparation plant. The licensee's management hired L & G Salvage Company, between-approximately April 15,

1994 and July 1,1994 to dismantle the preparation- plant. Through subsequent communication with L & G' Salvage Company, it was revealed m that Par' Industries, Inc., an. independent salvaging company located in X . Nitro,1 West Virginia, was then contacted by L & G Salvage Company to

clean up and haul away. unsalvageable remains resulting from the dismantling of the preparation plant. The inspector found that between June _28.and June 30, 1994, personnel from Par Industries transported scrap metal _ received from Harman Mining's dismantled preparation plant

..to Mansbach Metal ' Company, a metal recycling company, located in

Ashland, Kentucky. On June 30, 1994, a radiation' detector alarmed at G

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2 the Mansbach site when a cargo transport containing scrap metal was '

attempting to leave Mansbach after being cycled through the facility's normal shredding process. The cargo containing the radioactive material l

was surveyed with a portable meter by Mansbach personnel and readings of l up to 100 millirem per hour were obtained. Personnel at Mansbach called <

the Commonwealth of Kentucky's Radiation Control Branch and a state inspector was dispatched to the site on July 1, 1994. After receiving radiation exposure readings of 200 millirem per hour, the state inspector discontinued surveying and advised Mansbach management to contact an appropriate firm to retrieve the radioactive material.

Hansbach Metal-Company contracted with a waste processing company to recover the radioactive material. The recovery company found, what was later identified.as' a 200 millicurie Cs-137 source from a Kay Ray

.Model 7063P nuclear density gauge, within a 2-3" inch pile of shredded I metal. . Although the stainless steel encapsulated source was damaged, 1 leak test performed by the recovery company indicated the source was not

{

. leaking. The source was placed in a shielded container by the recovery 1 company and, transferred to an authorized recipient. '

1 During conversations between the inspector and Commonwealth of Kentucky personnel, the inspector found that because Mansbach's radiation  !

detector did not alarm when the scrap metal was initially received at '

the facility, the source is believed to have arrived at the Mansbach site in a shielded configuration. Consequently, individuals coming in close proximity to the source before the device was shredded, would not have received radiation' doses in excess of NRC limits for members of the public. Likewise, due to the utilization of an automatic shredding l

. device employed by Mansbach, no direct handling of the scrap metal containing the source occurred, therefore no significant radiation exposure to personnel is likely to have occurred after the shredding of 4

'the device. The maximum radiation dose received by personnel involved with the device after shredding was estimated by the recovery company to be approximately 10 mrem. .

-4. Inspection Findings .

10 CFR 31.5(c)(8) requires, in part, that any person wno (possesses) material in a device pursuant to a general license shall transfer or dicpose of- the device containing byproduct material only by transfer to a person holding a specific license pursuant to 10 CFR Parts 30 and 32 of.this' chapter or from an Agreement State to perform such activities.

Based on discussions with representatives from Harman Mining Corporation

'and L.& G Salvage Company, the inspector determined that the licensee's Kay-Ray, 7063P density gauge was transferred to an talicensed salvage company. _ Specifically, L & G Salvage Company utilized the services of a secondary salvage company, Par Industries Inc., to clean up and transport unsalvageable metal remaining from the Harman Mining Corporation's dismantled preparation plant; the scrap metal along with the licensed gauge were subsequently transported to the Mansbach Scrap Metal Company. Failure of the licensee to transfer the gauge to individuals specifically licensed by the NRC or an Agreement State was identified as an apparent violation of 10 CFR 31.5(c)(8).

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,. 3 10 CFR 31.5(c)(2) requires, in part, that any person who acquires,

, receives, possesses, uses byproduct material in a device pursuant to a

general license shall assure that the device is tested for leakage of radioactive material and proper operation of the on-off mechanism and

-indicator, if any, at no longer than six month intervals or at such-other intervals as specified in the label. .The label specified that the devices was to be leak tested at intervals not to exceed three years.

i Through discussion with past and.present Harman Mining management, the

. inspector concluded that-licensee representatives had not assured that leak tests were performed on the K;y-Ray 7063P density gauge, which

contained 200 millicuries of cesium-137. The inspector reviewed a copy

of the original leak test certificate provided by the manufacturer which ,

indicated an initial leak test date of May 6,1988, and as of June 30, '

4

'1994, the date at which the source was discovered at Mansbach Metal ,

i Company, no leak test had been performed.on the source since it original  !

i leak test date. The aforementioned time period is in excess of the j three year leak test frequency recommended by the manufacturer. Failure  ;

i to leak test radioactive material at interval specified by the

. manufacturer is an apparent violation of 10 CFR 31.5(c)(2).

4. Exit Interview.

l On October 19, 1994, the inspection scope and results were summarized with the individual. indicated in Paragraph 1 above. The inspector l reviewed the program area inspected and discussed the inspection.

. findings. The NRC's enforcement policy was also discussed. The licensee acknowledged the NRC concerns and provided no dissenting comments relative:to the apparent violations of 10 CFR 31.5.

s

T PROPOSED ENFORCEMENT CONFERENCE AGENDA Harman Mining Corporation

~ NRC Region II Office, Atlanta, Georgia l

. Tuesday, November 15, 1994 at 10:30 A.M.

~ I.- Opening Remarks NRC II. NRC Enforcement Policy and. Procedure - NRC i

- III. Discussion of NRC Concerns NRC IV.. Inspection Findings and Apparent Violations NRC V.. Causes of Apparent Violations and Licensee Corrective Actions VI- . Closing Comments NRC and Licensee

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Enclosure 3 1

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AM INSING PROCEEDINGS.-

Appenses C-GeneralSistement of Polley one Proceansre serpeRC Entoseement Acuens

) Thble of Contents Profees

1. Inmedmemes and Pergoes IL 5:eemeery Autheney A. Steamterv Aetheney B.Presseuret Fromenort IIL EWh IV.5eveney of Vieleasene A. Agyegenen el Violations

s.( B. m.p- we Vielemens a

' C.WulfulVieistname -

D. Violatesse ei Repareas Aequeursemes

, V.Enfessemneme Cenierenese VI. Inferessnamt Actaeno A.Neues ei Visteessa

B.Ovtl Penstay

1. sees cova Penemy

, 2. Qvil Pommity Adiesement Festore M

3

- (al m -

(b)Consense Acusa

' E (c) Lisanese Pertennemme a

R (d) Fateroppennesey esidemenfy 1 - tel Melusie Ossenemeno (flDussee c.Ordoes D. Estated Adminneemstee Asmose VII.Isenses siDiessenen A. Esselstaan of Endorsement Sesamene (1)Qvu Peneities (2) Ordere (3) Dolly Civil Penelmas l B. m =aa=

e el Enferemment sensesses (1) Severny Level V Violations j- (2)lJesasse M Severny inven W

, IV Violeuses (3) Violatiens M Danes samen. a Sheedowns or Work Stoppages l'

(4) violeuene inve6vues Old Design don.

(5) Violatisme adesmand Den es Previour Fa==a=a-a Enfessament Aenen

• - (elVioleessee teveisuus Spemmi C Esercase si Discrottes der sa Oposet Facihty l VIE.Infereement Asseems inveiseng 4-'~

individemia IX. Innemarem and leemmoiste informasser X. Enforossment Actnea Agesmet Nembeeno XL Referisse es me Depenment of leemme XIL Peleite Dise6eems ed Emdesamment Ase:

XIIL Rassemens Ciesed Enderummons Aesc Bussionieme I

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i App,C .  !

App.GID '

PART 2 o Rul.ES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS * *

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. 1 l Preface case ano reautres tne exercise of violates NRC reamrements suca that a l' The followmg statement of senersi discreuen af ter consioarauon ei inese basic component could be siamiicanuy pohcies ano proceoures. In no case. imostred. Secuon 235 provioes taist )

4 pohey sno proceoute explains tne i however, willlicensees wno cannot enmmai pensities may be imposeo on enforcement poney ano oroceoutes of the U.S. Nuclear Resutatory Commission acmove ano mamtam aceouste seveis of g persons wno mtenere with mspectors.

! protection ce oermitted to conouct g Secuan 236 provioes inst enmanal and its staff in ininutmg enforcement licenseo actmties.

g' acuans. and of the prestoms officers and a penatues may oe imposen on persons the Commission m reviewmq tnue 11. statutory Authonty and Proceeural 3 who anernm to or cause seomage at a Fremework nucasar f acahty or to nucasar fuel.

actions. This statement is appitcable t enforcement m matters mvolving the Ausseo or susoected cnmanat vionauens d n he Erig M m MMo ,!

pubhn health and safety. the common the Department of lusuce for defense and scounty and the The NRC's enforcement sunsdicuan is I drawn item the Atomic Energy Act of appropriate acuen.

environment.a This statement of general pohcv and procedure is published in tne 1954. as amended, and the Energy Reorganisation Act (ERA) of 1974. es 4

Code of Federal Regulauons to prende amenced l

wieespread eha===mauon of the 1

Comunission's Enforcement Pohey. Secuon tel of the Atomic Energy Act i However, this is a poincy statement and auttiorises NRC te conduct manecuans i not a regulation. The Commisanon may and mvwisations erd to issue oroers as

deviate from this statement of pohcv may be necessary or desiracle to and proceours as appropnate under tne promote the common defense and

i. ctrcumstances of a parucular case. secanty or to protect health or to mmamise caneer to hfe or property

1. latroducean and Purpose Secuan 186 autnonzes MC to revne

& The purpose of the NRC enforcement licenses unoer certam circumstances a program to to promote ano protect the (e.g for matenal false statements, m

$ radiological health and safety of the response to conditions that would have 3 puolic mciuding empioyees' health sna warranted refusal of a license on an safety, the comanon defense and origman apphcation. for a hcensee e secanty, and the environment by: fahhure to build or operate a facility in

• Ensurms em=phanes with NRC E accordance with the terms of the permit regulauens and license conditions: 5. or heense, and for violation of an NRC

• Obtaining prompt correction of regshanon). Secuan 234 authonses NRC violations and adverse quahty 3 to unpose civil penalues not to exceed conditions which may affect safety: $10tLOOD per wolauon per day for the

• Deterrms future noistions and violation of cenam specified hemaame occurrences of conditions adverse to provisions of the Act. rules orders,and quahty:and license terms unplemenung them

• Encouregung improvement of pronssons, and for violations for which licensee and vendora performance, and licenses can be revoked. In addition to by e==paa that ofindustry meludmg the annumerated provisions an secuan the prompt identification and reporting 234. sections as and 147 authorize the of potenual safety prooiems. imposition of etwl pennines fcr Consistent with the purpose of this ,

notations of regunauens impiamenuns program, prompt and wgorous those promenons. Secuan 232 authortzes esseroament scuan will be taken whert NRC to ases intancave or other deshes with hema ==== vendors, equitable tehef for violation of tegenatory requweenoms.

consrectors. and employees of any of them. who do not achieve the necessary Seedon aos of the Energy mecculous attention to detait and the Reorganisation Act authonses NRC to high standard of camphanea which the inspose cml penaldes for knowmg and NRC expects.8 Each enforcement scuan ,,aa'a fadures to prende certam is dep==amat on the circumstances of the safety information to the NRC. '

Chapterla of the Atoanc Energy Act provides for veryms levels of enounal i Assuem animumma means me w "* penalties (i.e. monetary fmes and unprisaammentI for willful violations of

" 'a"ne" *see

• " enser

' , " *es " 'uses

' ' a use the Act and requistions or orders asemed mean

, ,,,,,,, w ,,,,,,, ,, ,,,,,,,, ,, ,,semer ,,,, , ,, s under sections 66.181(bl.161(il, of Nac.nemenee seener er esmewy, a nte some, samens, ensommen me emmene w 161(o)of the Act.Section 223 peondes NaC hemmasse. DmWem um ese "seessmen ' a that crimman penalues may be unoosed used essemeness the passy. Heussesr. m these esses on Certain Individuals SElptoyed by firms ~ ^ or sopplymg basic 7 " ""# Y e E e"e."mm'"'.""e"e"r

.---- e==paaants of any utthastion facdity if

.a ene sesesses a sees semer snu me emme.

se mesmaeste. seenho smeense seememe the individualir My and willfully entesammame manas seemas mesmaueio ame man.

naammmese a enesessee as seamans VIG ans X fosseessesy

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• App.C(ID App, C(II'

! PART 2 o RULES OF PRACTICEFOR DOMESTIC LICENSING PROCEEDINGS...

B. ProceouroiFrameworn til. Responsibilities In recognition that the regusation of Subpan B of to CFR part 2 of NRC's nuclear scunun m many cam ms l reeuianons sets forth the proceoures ine The Executive Director for Operations l (EDO) ano tite onnciosi enforcement "* " *"*"**""*

NRC uses m exerctame its enforcement "'""** '""" """"

authontv.to CFR 2.201 sets forth the officers of the NRC. the Deoutv

" 8 J

proceoutes for tesums notices os Execuuve Director for Nucisar Matenai ','['he o t Safety Saleeuares and Operanons nd vio suon. appropnete enforcement ===eaa==

Support (DEDS) ano the Deputy ,

The procedure to be used m, assessing includme tne cecision to issue a Notice 1 civil pensiues is set forth in 10 CFR Execuuve Director for Nuclear Reactor Requisuon. Restonal Operetions. ano of V oleuon. or to propose orimpose a !

2.205.This reguantion provides that the civil pensity sna the amount of this civil pensity process is initiated by Researen (DEDR). have been deleested the authonty to approve or issue all penalty, after considenng the general issuing a Notice of Violataan ano 1

pnnciples of this statenient of policy er ;

escalated enforcement actions.* The the tecnmcal significance of the Proposeo imposanon of a Civil Penalty. . DEDS is responsible to the EDO for the l The beensee or other person is provided NRC enforceamnt programa. The Office violations and the surrounding an opportumty to contest m wntmg the circumstanca.

of Enforcement (OE) exercises oversight proposed imposition of a civil penalty. of and inspiements the NRC enforcement Unless Commission eaa==h= tion or After eveheation of the response, the programs. The Director. OE. acts for the nouncahon is reqmrod by this poucy.

civil penalty may be mitagated. remitted. Deputy Execuuve Directors m the staff may oepart. where warranted -

or imposed. An opportsmaty to provided in the pubhc's mterest. from this pohey '

enforcement matters in their absence or with the approval of the appespriate for a hearms if a emi penalty is as delegated. Subiect to the oversight imposed.lf a cmi pensity is not pauf Deputy Execuuve Director and and direction of OE. and with the consultation with the EDO as followmg a heanns or if a hearms is not approval of the appropnate Deputy )

reonestec. the matter may be referreo to warranted. (See also Section Vll.

' Executive Director, where necessary.

3" the U.S. Department of justice to R the regional offices normally issue " Exercise oi Discreuen.")

$ msutute a cml acuan m Distnct Court. The Comnussion will be provided E Nouces of Victation and proposed civil 1

% The procedure for issuing an order to O pensities. However. subject to the same wnttett nouficatiori of all asiforossment acuens mvolving civil penaltnes or

• insutute a proceedmg to niodify. * "erught as the regiosial ofnema. the 4 suspend. or revoke a license or to take orders. The Commianian will also be '

OfBee of Nucisar Reactor Regulation other scuan agamat a liema=== or other (NRR) issues Notices of Violation and R,discretion provided nouco m those cases person subject to the jurianheHan of the proposed emi penalues to vendors and is exercised and disomseed ir !

r a-.p.=== is set forth in to CR 2.202. a: Secuon VII.B.S. In addition. the supphers and the Offica of Nuclear t r a- a==.aa wdl be comenhed prior to

.Ib hcm w any other person Matenal Safety and Safeguards (NMSSI

• taldag action m the : " -, situation- I adversesy affected by the orner may issues Notions of Violation and (unless the urgency of the situation hearing.The NRC la proposed civil penalties to certsficate

! dictates nam.niste acnon):

l to make orders museenstely holden and to fuel cycle faciuties fw (1) An acten aHecung a heensee's I l

effective if required to protect the pubhc violations mvoavmg matenal control and operetion that requires h=1=aa==I the health. safety, or mterest. or if the a Esch enforcem pubh&ahh and safety or comunon  ;

violation is willful Section 2.204 sets out senons are normelle coordinated with defense and secunty 6 pha=*a== of ne the proceoures for issuing a Demand for the appropnate offices by the OE. operaung with the potennal M te informanon(Demand) to a hcensee or Enfamme eders are norvasHy inued or other hasaros amosanted with  !

l other person cubiect to the by a Deputy Execonve Director or the continued opersuon: '

Comnussioner s lunsosction for the Director. OE. However, orners may also (2) Proposals to impose ami penaltie purpose of determmme whether an be tesued by the EDO. especially those in amounts erseter than a times the invoivmg the more signaficant matters. Seventy Leveii values shown in Table order or other enforcement action The Directors of NRR sad NMSS have 1A:

should be issued. The Demana does not also been delegated authonty to issue provide beanns rights. as oniy (3) Any proposed enforooment actaar '

orders. but it is expected that normal that involves a Seventy imweii informauon is being sought. A licensee use of this authonty by NRR and NMSS violation:

must answer a Demand. An unncensed will be cot $tned to actions not person may answer a Demana by either (4) Any enforcement accan that associated with :- , "~"- issues. The involves a finding of a masonal false l . providmg the requested information or Director. Office of the Controner. has statemene explamme wny the Demano should not been delegated the authonty to issue have seen issued. (5) Exercising discretion for matters orders where hcensees violate meetmg the critens of Section VII.A.1 Conomission requistions by nonpeyment for Comniission consultation-of license and inspecuen fees. (6) Refrainmg front taking ,

enforcement action for matters seennt !

! the entene of Section VII.B.3: i

! (7) Any proposed enforcement actiot that mvoives tne issuance of a civil

• The lefm escensies enforcemens acuen ' as e.ee a mis om cv meene e re. nee of Vietenen io' penaltV or oroer to srl *'#~ ~ d say 6evemy a,avet 1.11. er 111 vio4einen; e smi individual or a emi penalty to a penene for any levemv t. ave 4 4. It.11L or IV licensen reactor operetor:

vieteisen one any eroer meeen upon a viosenen.

D ~

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS u.

(8) Any action tne EDO beheves Comoansons of sientficance cetween l B. Repetitive Vio/otten8 -

warrants Commission mvolvement: acuvity areas are mappropnate. For (9) Any enforcement case mvoinns an example. the tmmentacy of any nazara The seventy level of a Seventy Level Office at invesussuon (01) report wnere to the public associated with Seventv V or IV violation may be increased to NRC staff (other tnan 01 staffi does not Level i violations m Reactor Operauona Seventy Level IV or til respectively if arnve at the same concaustons as tnose is not directly comparante to tnat the violauon can oe consioered a m the 01 report concernmg issues of associated with Severity Levell repeutive violation.* The purpose of intent. notations m Facility Construcuan. escalaung tne seventy level of a (10) Any proposed enforcement scuon Suppsements I througn Vill pronde repetitive violanon is to acxnowledge en wmch the Commasmon asas to be examples ano serve as suadance m the adcled sigmfacance of the situeuon consulted. determmme the appropnate seventy n 6 hem a failure to IV. Seventy of Violatism" level for violations m esca of the einnt implement diecun corneuw scuon hr acunty areas. However, the examples the puous violation. The decision to Regulatory reqmresients

• have are neither exhamsuve nor controlhng. In escalate se emny imi d a mpeuun veryms degrees of safety, safeguards, or addition. these examples do not create violation will depend on the snvironmental sigmficance. Therefore, new requirements. Each is designed to ctrcumstances. such as. but not heited the relauve importance of each - illustrate the mig =Armaca that the NRC to, the number of times the noiation has E violation. meluding both the techmemi $ P laces on a parucular type of violauon occurmL es maany M the wolations 1

• alemhe= ara and the regulatory a: of NRC requarements. Each of the and their root causes. the seequacy M f siemne=== is evaluated as the first step t examples in the supplements is e peous cormoun ecuans. se pened E in the enforcement process.

• predicated on a wolation of a regulatory

• of uma betwm the misuons, and tne Consequently. violations are normally categensed in terms of five levels of requirement, t ag=6~a~ d se mistions. W The NRC renews each case being a pan =eaa may also be proposed for seventy to show their relative =dd. for enforcement menon on its repenuve Seventy Level IV violations as importance withm each of the followmq own ments to ensure that the sevenev of discussed m Secuon VLB.)

eight acuvity areas: a notation is charactensed at the lev'el c wfffy y/o/otions IA best suited to the signehenae= of the gi, y Willful violations are by definition of T da nointion. In sosse cases. j m.Salessante special circumstances may warrant an particular concern to the ca====aa IV. Heehh Physics. ediustenant to the severity level because its regulatory program is based V.Treeseenenen: categensation.

VI. Fuel Cycle and Matanals Operetsens: on licensees and their contractors.

employees, and agents acung with VIL Misesinameses Metiers: and VIILInsesency prepassammes.

A h of Violossene lategrity and co==umeatmg with A group of violations may be candor. Willful violations cannot be

. Licensed activities will be placed in evaluated in the aggregata and assigned tolerated by either the ra- or a the scavity area most satable in light of a sagie. increased seventy level licensee. Licensees are expected to take the particular violation evolved thereby resulting m a Seventy Level III significant remedial action in respondinf including activities not directly covered Problems.if the violations have the same by one of the above listed areas. e.g., to wulful violations co==mamarate with underlying cause or programmistic the ciremnstances such that it export license activities. Within each danaimae== or the violations cetrvity area. Seventy 14 vel I has been demonstrates the sonousness of the contributed to or were unavadable violation thereby creatmg a deterrent assagned to notations that are the most consequences of the uanariymg sigmhemar and Seventy Level V effect within the hcensee e organasation.

probiest. Nonaally. Seventy 14 vel I and While removal of the person is not violations are the least aurmnemat. 11 vioiamens are not aggregated into a necessanly required, substantial Seventy Level 1 and 11 violanons are of higher seventy level very signaficant regulatory concern. in disciphnary acuan is expected.

general. violataons that are included in The purpose of aggregatmg wolations these seventy categones involve actual is to focus the hcensee s attention on the or high potentialimpact on the public. funda - ammal - Wi- o causes for Smnty Len!III violations are cause which enforcement acuon appears for =y=ne==t regulatory concern. warranted and to reflect the fact that

. Seventy 14velIV violations are less sental violations with a comunon cause may be more a qnine==t collocuvely senous but are of mese than numer than individuauy and may therdore, concesLa.ifleftansanected they could lead to a mese senous concern. warrant a more substanual enforcement Seventy level V violations are of nunor acuen. In addition, a civil penalty for safety or ennronmental canoesn. multiple occurrences of a violanon with the same root cause may be subject to escalation of the base civil penalty. (See Secuon VI.B.2.(e))

.Tme ma. ,eoe e eae se mdee vielessen" as used sa tase pesacy steemment nonas a a The tesu "etesmement" as seed h date pedaev violatnam that sensessesy emund have toes messe e lagedy benemg seemmement osah as a pressenes by a isemmese a eerysenve semen ist a statale. sogletelina. benes esadillen, temaal previous ventages aeronady ensemag (1) Mehts the spamenemme, er esser. post guye yeere ei the gasseessee et Resee ef Isl use penas enehen the 6 eat sure aussehuseris W*

Augugest,1gespeest) 2-73 .

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

~

' ~

PART2 o RULES OF PRACTICE FOR DOMESTIC LICENstNG PROCEEDI

.- Therefore. tne severtty levei of a violation may oe meresseo if the :trcumstances surrouname the matter. A i When neeoed to protect the public l

circumstances surrounding the matter licensee will not normauv be caten for a hesith ano safety or common defense failure to report a conctuon or event involve caresess nisregare of and secunty. escalated enforessment untese the licensee was actually aware reoutrements. oeceouon. or otner acuan. sucn as the issuance of an of the conosuon or event tnat it f ailed to immediately effective oroer modifyms.

mdicauons of willfulness. The term report. A licensee w il. on the other

" willfulness' as useo m this poucy suspenoms or revosung a license, waii hand. normaily be etted for a fadure to be taken pnor to the enforcement emoraces a soectrum of violauens report a conoition or evem if the reneing from neliberate intent to violate conference. In these cases an or falsify to and including cereases licensee knew of the mformauon to be enforcement conference may be held' distseerd for requirements. Willfulness reported. but did not recognise tnat it was requireo to make a report. after the escalated enforcement accon is '

does not mciude acts which do not rise taken.

i to the level of caresses disregard. e.g V. Enfosceanent Conferesses I 1

inadvenant ciencal errors m a document  ;

subanitted to the NRC. In deterummt existence Whenever the NRC has learned of the VL Enferossent Actions the specific seventy level of a vionauon of a potenual violation for invoivmg wdifulness. ea==ad==stion wdl which escalated enforcement scuan This secuon desenbes the

_ be given to suca factors as the postuon may be warranted.or meterrms enforcement sancuons avadable to the and mpons Woes of se penon nonconfonnance on the part of a venoor, NRC and specifies the conditions innder I

" ** "A"uWe.g., licens" the NRC will normally provide an which eacn may be used.The bases

,"g _

opportunity for an enforcement sanctions are Notices of Violation. civil the si noe of'a ny conference wah the hcensee, wndor, or E penalties, and orders of vances types.

E 3 violation. the intent of the viola' tor ti.e- PM88 PMW 88f#C888" 3 As discussed further m Section VI.D.

eeresese disresere or deliberstenesst. acuan. Althougn enforcement E related administrouw meenanums euca E ano the econcene or other novantase. af conferences are not normally held for 2 as Noticos of Nonconiormanos. Notices 3 any. genned as a resent of the vionation. 2 .5everity Level IV violations. they may of Deviauon.Conimastery Acdon The reisuve weight given to esca of a ce sc. eduled H inmasen snanagement Letters. letters of repnmend and these factors m arriving at the 5 auennon is warranted e.g.H me Da==ada for infonnenen are med to appropnate seventylevel win be 3 violations are repetitive. The purpose of sup@===t the enforcement program. la depenoont on the circumstances of the selectag the enforcement seanness to se enforcement confomace is to (1) be apphed. the NRC will comender violation. However. the seventy level of discuss se misuons w a wdiful seventy level V violanon will namaaadarmances, their signsficanea se enforcemesit actions taken by eder be increased to at least a seventy level reason for their occurrence. inciuding Federal or State regulatory bodies IV. the apparent root causes, and the having concurrent jurisdiction, such as in transpaetation matters. UsesRy, D. Violations of Reportmg Requirements licensee's or vendor's correcuve actions.

(2) detennme whether there wwe any & . a violation of NRC The NRC expects hcensees to provide asyavating or niitigaung circumstances. requirements is identified, seiernamnet '

complete.accarete and timely action is taken. The nature and ameant of and (3) obtam other taformauon that informanon and reports. Acconhagiy. wdl help the NRC determine the the enforcement action is intended to unless otherwise caugensed in the appropnate enforc===at scuen. reflect the senousness of the violation Supplements. the sewnty level of a Involved. For the vast ms6onty of violation involving the failure to make a During the enforcement conference.

the bcensee vendor,or other person wdl violauons. a Notice of Violation er a l

required report to the NRC will be based Notice of Nonconformance is the nonmei upon the significance of and the be given an opportumty to provide enforcement action.

circumstances surroimdmq the matter infonasuon consistent with the purpose that should have been reported. of the conference.indudans an However, the sewnty invoi of an explananon to the NRC of the untimely report. in conerset to no report. i n=edente cormetive actions (if any) may be reduced dependmq on the that were taken following identification of the potential violation or nonconformance and the long term I comprehensive acuans that were taken or will be taken to prevent recurrence.

Licensees. vendors, or other persons will be told when a meetmg is an enforcement conference. Enforcement .

conferences will not normally be open to the public.

' The inne -heemess emesei es mese m thee penney statemest seseos a twet.hme esseresser er above. e hoseems undestemeL e seeseeses estes, offiser. er en euskosued eser eiliessene maeonal whether er ese heemd as e smesses. ? .

en andevedsors ich etees. essemy level caessenemmes der weltful eens essessess eseemedenie who ese to essessened hennese afammen west comender seveses lessers, nestedser the smesses ed she endowedeel fotoevo es ese lesemoso e creensamesomet eeressere see the emerwedeel's ressenessahenes seassee es see eseruses of hesesse scseweesse end se see aos se hensees meesnet.

2 79 Auouet 31.1999 fr**edt

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App, C(VI) App.C(VI)'

PART2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~ . .

A.Noticeof bo/onon 1. Dase Civil Penauy  ? Civil Penattv Adiustment Factors .

A Notice of Violation as a wntten The NRC imposes different levels of in an effort to recoanize ano nouce settmg forth one or more penalties for alfferent seventy levei encourase 3000 periormance, deter poor violations of a legally bmomg violauons ano different classes of performance, ano empnasize viosauons regarement. The Nouce of Violauon licensees. venoors, ano other persons, of particular resuistory concern. the normaily requires the recipient to Tables 1 A ano IB show ine base cml NRC reviews eacn proposeo civil pronos a wntten statement describmg penalties for vanous reactor, fuel cycie. pensity on its own merits and, after (1) the reasons for the violadon or, if matenals. ano venoor programs. (Civil considenne all relevant circumstances.

contested. the basis for dispuung the penattles issueo to mdividuals are may adiust the case cml penehues violation: (2) corrective steps that have determinea on a case.ov. case oasis.) shown in Table 1A and IB for Seventy been taken and the resuits achaeved: (3) The structure of these teoles generally 1.svel 1. II. and 111 violations based on an correcuve steps that will be taken to takes into account the granty of the assessment of the followmg cml penalty prevent recurrence: and (4) the date violation as a pnmary considerstion and adjustment factors. Civil penelues for when full compliance will be scnneved. the ability to pay as a seconaary Seventy i evel!V violations are The NRC may require responses to ensidereuon. Generally. operations normally proposen at the base values Notices of Violauon to be under oath. invoivmg smoter nucisar matenal identified in the tables without Normally. responses under oath will be inventoms ano greeter potential assessmg tne cml penalty adtustment regered only in raaaaaaaa with cml consequences to the public and licensee factors.

penslues and orders empacyees receive nigher civil penalties. While management involvenient.

The NRC uses the Notice of Violauon egarding the secondary factor of direct or mdaract. m a violation may as the usual method for for==Imag the ability of vanous classes of licensees to lead to an increase m the cml pensity, existence of a notation. l=====e* of a Pay the cml penalties. It is not the the lack of management involvemeist Notice of Violanon is nonnally the only $ NRC's intenuon that the econonne may not be useo to matagate a cml enforcement accon taken. except in e impact of a cml penalty be so severe j; penalty. Allowmg matagnuon in the latter cases wnere the entens for issuance of b that it puts a heensee out of busmess o case could encourage lack of ]

civd penalties and orders, as set forth m a nim. ratne inan cml paalues am 5 rnanagment inmvment in hcensed ,

caenana VI.B and VI.C. respecovely. are uses when the intent is to suspend or 3 actmties and a decrease m prosecuan of l met. However. special circumstances unnmate hcensed activities) or the public heahh and safety. l regardmg th vidadon fiantinge any adversely affects a licensee's ability to (a) Mentificocon. The purposes of this l warrant discretion being exerased such safely conouct hcensed setivities. The factor is to encourage hcensees to that the NRC refrems front assaang a deterrent effect of civil penalties is best monstor. supervise and audit souvities Notice of Violation. (See Section VILB. served when the amounts of the in order to assure safety and E "Mitigauon of Enforcement Annanaam ") penshin take inm account a licensee's compiaance. Therefore, the base civil  ;

3 in addiben. hceneses am not admanly " ability to pay."In determtrung the penalty shown in Tables 1A and 15 may E citmi for violeums mouldng from amount of civil pensities for heensees be mitigated up to 505 when a licensee 3 matters not within their control such as for whom the tables do not reflect the identifies a violation and escalated up to equipment fausres that were not ability to pay, the NRC will consider as 505 if the NRC identafias a violetacea. l avoidable by reasonable gicensee necessary an increase or decrease on a "the base civa penalty may also be l quality assurance measures or cam.byam hm NwnWin H a mingsud up to 25m when a licamose I consee can demonstrate financial identifies a violauon resulting from a

"***8"*"' '""I'* O*"*'*UY' hardship. the NRC will consider however. licensees are held responsible self.disclosang even*

• where the fw th acts of ther uployws. payments over time. meludsas interest. hcensee osmonairstes uutianve m Accordmgly. this policy should not be rather than reoucing the armount of the identifymg tne root cause of the construed to excuse personnel errors. civil penaltv. However, where a hcensee violauon.in addition. the base smi clannis fmancial hardship, the hcensee penalty may also be autigated winere B. Civi/ Peno/ty will nornially be required to andress warranted if a hcensee idennises a A civil penalty is a monetary penalty why u has sulhesent usources to safely violauon as a msult outs mmw of a that may be imposed for violation of (1) conduct hcensed actmties and pay genenc not:6cauon. Whus mausamon certam specified bcenses provisions of heense erui nnspecuan fees. undedis facamis appmpnaw k a the Atontic Energy Act or licensee identified violation that was supplementary NRC rules or orders:(2) not sponed 2 the NRC. a sgemte any requirement for which a heense may '"I"*"'"'****""$""""

be revoked: or (3) reportmg issued for the licensee's failure to make

( requirements under secuan 208 of the tM mqmmd rgon.

I Energy Reorganssabou Act. Civil

• pensities are da=gaad to empnasase the l

need for lasting reniedial action and to deter future violations both by the invo6ved licensee as well as by other licensees conducting sundar acuvttaes.

I Civil penalues are proposed (absent matagetmg circumstancesi for Seventy ..,,,,,,,,,,

Level 1. !!. and 111 violations, and any be , , ,, , ,, ,,. % winn a s egy -

proposed for repetitive Seventy Level IV .m erm.ms _ _ er asshamani violations or for any willful violatson. in enem m e age s home.am am addition, cavil penalties wd! nonnally be d**'#"*""*"*'*"'88-

assessed for knowing and w d'"",""'"'""".""'"""'""

elasm or a sensaar irep violations of the reporting reqtstrements of section as of the Energy Reorganisation Act.

< Aldguet 31.1993 Doest) 2 40 i i l

l l

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

PART2 o RULES OF PRACTICE FOR DOWlESTIC LICENSING PROCE mi Correcure act on. The purposes of this factoris to encourage :censees to this factor wnere e incensee e coor prior performance appears to clearly be notification: or t3l throuan other (1) take the immecaste acuons necessary reasonaose moscauon of a potenual upon otscovery of a violation that will improvmg. Pnor performance, as used in proolem or viosauon. sucn as restore seiety anc compuance witn tne this poitev statement. refers to the observations of emaioyees and license, reeulanoms), or other licensee a certermance normany (1) w thm the test two years of the contractors, anc had failed to take requirementist: ano (21 davleon anc effecuve correcuve steps. Prior implement Hn a umely manners the inspection at issue. or (2) the cened nonficauon may include findings of the lastmg acuons that will not oruy prevent w the the last two macecuens. NRC. the hcensee. or maustry niano at whichever is longer. in assessmg the recurrence of the noistion at issue. but licensee e pnor periormance other facilities operated by the licecame will be appropnately comprenensive, where it is reasonsole to expect the consideration will be given to. among given the sigmficance and complexity of other tamos, the effecuveness oi licensee to take scuon to identdy or the v olation. to prevent occurrence of prevent sumiar proolema at the facahty previous corrective ecuan for sumiar similar vioisuons. Therefore the base prooiems, overall pertermance sucn as subiect to the enforcement action at cml pensity shown m Tobles tA and 1B issue. in assessing this factor, Systematsc Assessment of Licensee may oe enher mitigated or escalated by considereuon will be gen to, among as muca ss 50% decenamg on tne Performance (SALP) ovaluauona for other things. she opportunsties available promorness sna extensiveness of the power reactors. and the licensee's pnor enforcement history oversil and in the to discover the wolation the sees of discovery, the simdarity between the licensee : corrective ecuan. In assessms area of concern.mciuding escalated and this factor, considersuon will be given violation ana the nonfication, the pened to, amons other thmes, the timeimess of non. escalated enforcement acuona anc of time between when the violation any enforcement acttons that the NRC the correcuve acuan (including tne occomd and when the nonfication was promotness m oeveioping the senedule exercised discreuen and reframed from issued. the scuon taken lor planned) by issuing m accordance with Secuan the licensee m response to the for lone term correcuve actioni the VII.B.Notw thstancias soon onor deerte of heensee imustave ti.e_

~

_ perionnance. mitiganon of the emi _ nonficauen. and the level of

" wnetner NRCicyosvement was reoutred R penalty basso on this factoris not R mananoment renew anat the noufication before accentable scuon was takenl. the g normally warranted where the cumnt y received for snould have received).

adequacy of the bcensee's root cause - Escalation of the emi penalty based R annivsis for the violation. and. given the E performance that has occuma over the' violation reflects a suost E sigmficance and complexity of the issue. ume smce the last NRC Inspecuen. In not womated where the ucensee

• the comprenensiveness of the corrective appropnately renewed the nonficatsen addition. this factor should not be for apphcation to its activities and E sction (i.e whether the scuon is apphed for those cases where the focused narrowly to the specific licensee has not been in existence long reasonable action was either taken or violation or oroadly to the general ares planned to be taken within a reasonable eriough to establish a pnor performance time.

of concerns.Notwnhatandme good or mspecuan history. Similarly.

comprenensive corrective ecuan. if mitigetson based on this factor is not (e) Multale occurrences. The purpose immediate correcuve acuan was not nonnally appropnate where the area of of this factor is to reflect the addar*

taken to restore safety and compisance significance resulting from maittpie concern has not been pronously once the violation was identified. inspected. unless overall performance is occumaces of the violation.Thesodore.

miugation of the cml pensity based on good. the base emi penalty shown in Tables this factor will not normally'be 1A and IB may be escalated by as much (d) prior opporturury to identsfy. The as 2005 where multiple exampies of a consideren and escalation snay be Purpose of this factor is to encourage considered to address the licensee's particular violation are identified dunas licensees to take effective ecuan m the inspecuon penod. Escalation of the response te opportumues to identify or emi pensity based on this factor will failur$e ic) censee acr/ormance. The punt problems or violations.

normally be considered only when there

g nd Therefore. the base cml pensity shown in Tables 1A and 18 may be escalated are muttiole examones of Seventy Level neour se e o ir gi performance and to recosmza and deter by as muca as 100% for cases wnere the I. IL or 111 violations wah the same root poor or decimmq performance. causes. Alternauvely, separate cml licensee snould have idenufied the pensities may be imposed for each Therefore. tne base cml penalty shown on sooner as a result of pnor violation.

in Tables 1A and 1B may be mingated oppornmities. such as (1) through (f) Duration. The purpose of this factor by as much as 1005 If the current normal surveillances. audits, or quality ,

ts to recosmsa the added sisaine=ae=

violation is an isolated failure tnat is assurance (QA) actmties: (2) througn assocasted with those vtoistions (or the inconsistent w th a licensee a pnor nouce L.e. specific NRC or mdustry impact of those violations) that contmue outstandmgly good pnor periormance.

The base cmi penalty may also be '

escalated by as much as 100% if the current violauon as reflecuve of the licensee e poor or deciming pnot performance. Neither mitigauen nor escalation may be appropnate based on 1

kM

• PART 2 o RULES OF Pi(ACTICE FOR DOMESTIC UCENSING PROCEEDINGS ... -

or remain uncorrected for more tnan one' The civil penalty adiustment factors normally the only adiustment factors .

day. Therefore, wnether or not a presented in paragrapns tal througn (f) licensee is aware or clearly should have that will be considereo to lower a case are additive. However, m no mstance civil penalty will be scentificatmn and been aware of a violauon. the base civil will a civil penalty for any one violanon cortucuve scuon factors. In addition. as penalty snown m Tables 1A ano IB may exceed $100.000 per any, provided m Section VII. " Exercise of be escalated by as muen as 100% to Notwithstanoms the appiscauon of the 3; Discreuon." discretion may be exercised reflect the added tecnmcal and/or civil penalty aciustment factors, a civil 3 by entner escalatmg or mitigatmg tne regulatory sigmfacance resultmg from tne penalty wili normally be proposeo in an 5 amount of the civil penalty arrived at violation or the impact of it remaming  ;; amount of atleast 50% of the base value 3 after appiymg the civil penalty uncorrected for more than one any. This e in Tables 1A and 1B for Seventy 1.evel I adiustment factors to ensure that the factor snould normally be applied in c: and 11 violations mvolvmg proposed civil penalty reflects tne cases involvmg parucularly safety  % overexposures. release of radioactive NRC's concern regardmg the violation at significant violauons or where a "' matenal. orloss of radioacuve matenal issue and that it conveys the appropnate I

sigmficant regulatory message is to emphanase to the licensee the message to the licensee, s warranted. In lieu of escalatmg the civil senousness with whica the NRC views penalty based on this factor the NRC l these events and the importance or may unpose daily civil penalties for conducting licensed activities in a i violations that contmue for more than j manner to avoid these violauens. In 1 one day. (See Section VII.A.3. " Daily considerms mitigauon for these cases.

Civil Penalties?')

i TAaLs 1 A-Bass CivL PeMA4.TisS 1

Trenamenemen R . neem i Seisemme g  ; envous one op , g, easer e, T,ype A Tyee Aigen

,, ,m,e,n sum.mer er I i

E '

e. Pomer :

tt Tese -

stesAcos steno 0c i siomo00 , saano I 10 Age i 10.000 t 10.000 6 2.000

c. Asemesen funesse one eens emessee--- $Agg l 5.000 l 1.000

' SADO I

e. Fuel luenemure are staussel eroammense

• 25,gM i 100A00l 25.000 1 5.000

e. tese ens urenese sensesen lamens  ?

10Aget -, SADO l 2A00

f. Insiesem unse se mensees 8. and eeneestore one - __ seAgo 8 -i 5,000 t IAES

9. womes esseem tomanos l 10.000 1 -4 S.000 1 2.1M0

h. Asseamme er messes mesoamene

• SADO I -. 2.800 1 1A00 L inemanneene

~ emene eues sie messesse seseusses sensege masses. l l i

21800 100A00 i 25.000 1 5.000  ;

& Omar esensies teamese g,gge g -; 2.500 1 1.000

' inmenge ==seme nause,i n.e ensam ensiesema seem enemie. ene en, amor .memen e,ine ime e ease 4 trimesse leur mens emus sang SLSAL sour seuse semen. Tyse A senseeee6 ene mennene cueneene one erestee. l a ta,ge Inne enenges a snesseammung er eeneuten of eueremuel eenses, or senses stumamer megenet sense,* Tvue easedmeews en as0 feims Ann. in cansary i mes eme see samme e to cPn vs. L unusene a,a esenseems non eusamme is seeness e m i memast esse a esen

• treasons almastet estegenere, festener i _ ene ester steuseet egge 8 TIue messe W fierWIWe em feet emermee mangenese wiser essasse "

• emeugn "g" in eus teele ene meine nuester genntes.

i 1

~ TAats 1 B- Baas Cava.PsNAL1Ms3 i emme ces poem, Ameise 8*'""*" '

Poemd et emmee asses a

$ Tease tA I

too a so -

un So IV 1$

August 31,1998(ment) 2 42 1

^ ~

PART2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

=

comony with requirements wnere sucn for not takms the action as proposes.

An orderis a wntten NRC directive to failure is not willful ano adequate the heensee will ordmanly oe afforded mootfy, suspend. or revoke a license: to correcuve ecuan nas oeun taken.

(3) Revocauon Orders may oe usea: an opportumty to show wny the orner cease and desist from a given precuce should not ce tasued m the proposeo or actmty; or to take suca other acuan ' (a) When a hcensee is unsole or unwilling to comply witn NRC manner oy way of a Demand for as may be proper (see to CFR 2.2021.

Orders may also be issued tu lieu oL or requirements'- Informanon. lSee 10 CFR 2.204) in addition to cmi penalties, as (b) When e licensee refuses to correct D. Re/oted Adm/mstrotne Acuons appropnate for Severity Lavet i.11. or ill a violation:

violations. Orders may be issued as (c) When heensee does not respond to In addition to the formal enforcement follows: a Notice of Violation wnere a response meeae==a of Notices of Violauen.

was reoutred: cm1 penames, and orders. the NRC also (1) License blodification oniers are issued when some change ta heensee (d) When a licensee refuses to pay an uses anmamstrouve meca====== suca equipnient. procedores. personnel, or appucable fee unoer the Commission a as Notices of Deviauon. Notices of regulations: or Nonconformance. Conhrmatory Action management controla la neesenary.

(2) Suspanoson Orders inay be useo: (e) For any other reason for which Latiers,letiers of reprimand.and (a) To remove a threat to the public revocanon is authorised under secuan Demands for infonnanon to suppiement health and safety, cosamen defense and lasof the AtomicEnergy Act(e.g.,any its enforcement program. The NRC

$ secunty, or the environasant condition which would warrant refusal expects licensees and venders to adhere cc (b) To stop facility construction when. of a license on an onginal apphcation). to any ochgauons and coassutments

(i) Further wore could preclude or (4) Cease and Desist Orders may be remdung fran mese processes and will d

si .2.ady lunder the identafication or used to stop an unsuAonsed actmty not hessiste to issue appropnete orders correenon of an improperty constructen that has contmuod afternouficauon by to esaure me mese obhganons and safety.reisted system or component: or NRC that the actmty is unauthonsen. _ comsnitments are met, lii)The beensee s quahty assurance $ (5) Orders to ? - c persons. 2

1) Notices of Devietson ere written

-- including venoors ano contractors. and 'E no(tices desenbing a hcensee a failure t to provide conndence that construcuonprograma

. of any ofunpieasentation them, are used as not adequate a ammtem t et_,

Wu es actmties are being properly carned out: when the NRC has identified dehberste ; commutment mvoived has not been (c) When the licensee has not mi.=aauct that may cause a licensee to a My biding mquwenom. A responded adequately to other be in violation of an NRC requirement or Notice of Deviation requests a hcensee enforcement acuan: where mconspiece orinaccurate m e a wnupplaneuen or

- (d) When the hcensee interferes with informauen is dehborstely subnutted or state:nont desenbing corrective steps -

the conduct of an mspection or where the NRCloses its reasonsole w pimmwh me remde achieved.

invesugauon: or aneurance that the licensee will meet W se dme who correcun ecuen wiH (e) For any reason not mennoned NRC requirements with that person g,,gg above for which license revocanon is involved in licensed acuvities. (2) Notices of Nonconfor-= are legaHy authonse L Unless a separate response is wntien notices describing vendor a Suspensions may apply to all or part warranted pursuant to 10 CFR 2.201. a fsHuns to rnom commtmans N of the beensed activity. Ordinarily, a Notice of Violauon need not be issued have not been made legally binding licensed activity is not suspended (nor ts where en orderis based on violations regarements by NRC. An exasspie is a a suspension prolongen) for failure to desenbod in tha order. The violations comunstment made in a procureassat desenbed in an order need not be coritreet with a licensee as required by categonzed by severity level. 10 CFR pen sa appendix B. Nonces m Orders are maos effective Nonconformances request nm, immeonately, without pnor opportumty to premde wnnen expianauens or for hesnng.wheneverit is determmed statenients desenbing corrective steps that the public health. interest. or safety (taken or planned). the twenits achsend, so requires or wnen the orderis the dates wnen correcuve acnone will responome to a violation myolvmg be completed. and measures taken to willfulness. Otherwsoe, a pnor preclude recurrence.

opportumty for a hearms on the order is (3) Confirmatory Action Letters afforded. For cases m which the NRC (CALa) are letters confirming a beheves a oasis could reasonably exist licensee s or vendor's agreement to take e

t j .

4 App,C(VU PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ..? App.C(VU). I cenam acuans to remove siemficant to be of significant reeusatory concern. lf aciustea civii cenany to ensure inat tne

• concerns scout health ano safety. the apphcation of the norms: autoance proposeo civil penativ reflects tne safesuaros. or the environment. ' in this pohey ooes not provide an (4itetters of repnmand are ietters NRC's concern renarams the violanon ai appropnate sancuan. or if particularly issue and that it conveys the sopropnate addressed to individuais subject to senous violations occur. suen as m message to the hcensee. In addition to Commission tunsdiction identifying a cases mvolving willfulness. repeatea sigmfacant deficiency m their the approval of the appropnate Deputy poor performance m an area of concern. Execuuve Director, consultauon mth periormance of bcensed acuvities, or senous breakdowns m management (5) Demands for information are the Commission is reoutred if the '

controls, the NRC may apply its full

/ demands for informanon from heensees enforcement authonty wnere_the action devtauon tn the amount of the cml or otner persons for the purpose of pensity proposee under this discreuon v is warranted. NRC action may incluae enabling NRC to determme whether an from tne amount of the civil penalty (1) escalaung civil penalties. (2) lasums order or other enforcement scuan assessed unoer the normal process is appropnate orners. and (3) assessma should be issued. E more than two times the base cavil g civil penalties for conunums violanons

• penalty shown m Tables 1A and 1B.

VIL Exaecame of h n on a per day casta. up to the statutory * '

limit of $100.000 per violation, per day. (2) Ordere. The NRC will. where Notwithstanding the normal guidance m 3 necessary contamed in this pokcy. the NRC may . () 6 pena nes. N tm standing issues orders in contencuan with civil penalties to achieve or choose to exercise discretion and either es matcome of 6e normal cml penahy escalate or mitigate enforcement assessment process ti.e base civil formahze corrective acuens and to deter penahy adjusted bassa on apphcation of further recurrence of senous violations, sancuons within the Caan====on's Examples of enforcement acuans that g statutory authority to ensure that the b P*"" I I resuitmg enforcement acuan , ",d',"*

,y [, could be taken for simdar Seventy Level cc appropnately reflects the level of NRC approval of the appropnate Deouty L IL or 111 violations are set forth in

{ concern regarding tne violation at issue " , ,g

' th ti e ED a a a eNRC used m a parucular case wdl depone on he1 may exercise nascretion by etther the circumstances. Enforcement proposing a cavel penalty wnere sanctacms mil stormally escalate for A. Escalocon o/ Enforcement Sanecons appucation of the factors would recurrms sindar violations.

The NRC considers violations othermee result in zero penalty or by categorized at Seventy 14 vel L IL or 111 further escalatmg the amount of the TAatA 2.-ExAusstas osr PmOonasslON Osr EscALAfro ENFOmrMasetT ACTIONS FOR StulLAR VIOLATIONS IN THE SAuE AC AstEA UNDEM THE SAus ucaNas i Nimmer et esoner wommene som sw one se sw se my orv meen er ii les aussagen,es,tu,sen n,, e geese sie,spetuna,,,ese

,s yese I t ai ans me i i i

, a+c! a+e+cI e gg as a+D+Cl a+t+c e+ 3+cI a+e noenet a cant monenv.

esse b. 1_

suesmusen _.etereneseos comresens Inessammen unalse el the acertes, sie_ Ofece __ ___. Oseener e emesses eine eiere se seamenema esmeense enet the econses een esersee si eenum C. carmeer en erger ser niemmenert aussessen. er fewemmen of the 6Cenos, se aggagensie girougn use et e Dennens ter m 1

l l

1 Aasplastat1993 peset) 2-84

i i- . App, C(VII)

App,C(Y

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PART2 o RULES OF PRACTICE FOR DOMESTIC LICENSING P '

i -

13) Dailyem/ penomes. In orcer to ,

{ (b)It was or will be correcteo within a recoipuze ene added tecnmcal asiety i reasonsole time. by specific correcuve (3) Violations identified Durms stamhcance or reguaatory sigmiicance scuon committed to by the beensee oy Extenced Shutdowns or Work )

for those cases wnere e very strong the eno of the inspection. mcmdma Stoppages. The NRC may refrem from

! messaee is warranted for a siemficant immediate corrective menon ano issums a Notice of Violation or a

- violetton tnat contmuss for m' ore than comprenensive conective acuan to proposeo emi pena.tv for a notadon one say, the NRC may exerase prevent recurrence: that is noenufied afte r 11) the NRC ha 1

discreuon ena assess a separate taken sigmficant enforc====* acuan (c)It was not a willful violauon. basen uoon a maior safety event -

violation ans attendant cml penalty up (2) Licensee identified Seventy Level to the statutory hmit of $100.000 for esca IV ano V Violauons. The NRC may contributmg to an extended shutdown a day the violation continues. The NRC refrem fr m tasumq a Notice et an operetag reactor or a masenal l

"

• Violation for a Seventy LevelIV or V hconseeior a work stoppage at a aw or a ntaus ccostrucuan site), or tii) the bceasse i

y av noen a n an aware of a wonation. or if the licensee inspecuan report tot official field notes enan an uunded shah or wwk had an opportunity to identify and for some maanal camei previoed that stoppage related to generauy poor the inspecuan report includes a bnef periormance over a taas pened of tiene.

i correct the wolation but failed to do so. pamded that the nolation is desenption of the corrective action ami i that the molation aisees all of the claan===ted in an naspoones report (or

- followmg cnterta: official field notes for sosse masenal B. Mitigation o/En/arcement Sanctions (a)It was ini==edad by es bcensee. casest and that it meets allof the t

fouowmq critena:

Because the NRC wants to encourage including as a reemat af a self-disclosms

event (a) It wee either licensee hi== eta ==8 a and support hcenses mitiative for self a reenkt of a comprehenenve program fo; identificahon and cotwcuan of (b)It was not a noiation that could probless idennfication and correcuam proolems.tne NRC may exercise reasonably be expected to have been pesvented by the licenses a correcuve that was neveloped m resposes to the discreuen and refrem troni assums a acnon for a pronous wolation or a shutdown or identified as a reonit of an civil penaity and/or tsamas a Notice of employee alleganon to the licanese

(if 2 Violauon under certain circuman=a,=. previous hcanese finding that occurred within tne past two years of the the NRC Identifies the violation and all E In addition. while the NRC may exercise inspecuan at aseue. or the pened within of the other entens are seet, the NRC ta this discronen for wointione moeung the thelast two mopecnons, wiuchever is should deteneans whether sederessme required entens where the licensee . longer: annon is nee ====>y to achieve sessedsel failed to make a required report to the g NRC. a separate enforceanent actaan will g reasonable time, by specafic coneco noneauy be inmed for the he ====='s E (biltis based upon activities of the

" acnon commutted to by the licensee by faume m as a rgared """ 'I'h*  ;; theend of thelampacetan ineimisag  ;; licensee prior to the events leading to

• I* a theshutdown:

tamediate correcove scuou and (c)It would not be categensed at a y , , , , comprehenenve conecove acuan to IOUN Prevent recurrence: esventy level higher than Seventy Levei 11.

(d)lt was not a willful violation or if it (d)It was not willful; and was a willful violation:

(ilne infonestion concernmg the (e) he licensee's desseios to restart

[1] Seventy Level V Violations. The the plant requires NRC concenonce.

violation. if not required to be reported.

NRC may refrain from issuang a Notice was promptly provided to appropnate (4) Violations involvmg Old Design of Violauen for a Seventy Leves V NRC personnai.such as a ressoent lasues. Re NRC may refrein from violanon tnat is documented in an inspector or regional section or oranch proposing a cml penalty for a Seventy i

'"*"*"""" (or official field notes cMeh Level 11 or til violanon evolving a past for some matsnal caseen provided that problem. sucn' as in ugmeenus, demen.

(ii) he violation savolved the acts of orinstallation. provided that the the inspecnon myn inciodes a bnef a low levelindividual(and not a desenpuan of the correcove action and violation is docu==ated in an aspecuse licensee official as defined in secuan report (or official field notes for some that the noistion meets au of the IV.Ch followmq cr wns: (iii)De violation appears to be the matenalcases) that includes a desenption of the correcove acnou and (a)It was not a violation that could isolated action of the employee without reasonably be expected to have been managementinvolvement and the that it meets all of the ' "-. cnterte:

vioisuon was not caused by lack of (a)It was a licensee *=e88='t as a prevented by the licensee e correcove result of a licenses a voluntary fonsai acuon for a previous violation or a manaymanas oversight sa evidenced by initiative.such as a Safety Systema previous bcensee finding that occurred either a history of toalated wtLitul Funcnonalinspecuan. Design ,

within the past two years of the violations or a lack of adequate audita Reconsutution Program.or other inspecnon at issue. or the pened within or supervision of employees: and (lvl SigatAcant remedial action Program that has a defined scope and the last two mapecuona. whichever is timetable and is being aggreservely longer: ea======ste with the circiunstances i=P i===nted:

was taken by the h- such that it (b)It was or will be corrected.

demonstrated the senousness of the inchidag unmediate corrective acnon violation to other employees and and long terni compremenesve conective contractors, thereby creatmg a deterrent schon to prevent recurrence. within a effect within the licensee's organization. reasonable time following 6dentification While removal of the employee from (this acuan should involve ==p=='i=6 licensed activstles is not necessanly the initiative. se neccesary, to identify required. substanual discaphaary acuon other failures caused by sunder root is expected.

causeenand 2-85 Auouet 31.1993 fr**o*t

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PART 2 o RUL.ES OF PRACTTCE FOR DOMESTIC LICENSIN3 PROCEEDINGS ~

(c) It was not likely to be toenufted periormance of the hcensea. ano otner does nos previsa e emisev honeAt or mav. in -

(after tne violanon occurreal by routme reievant circumstances. mcludme anv 1:e commamet saaery panacuaar beensee efforts sucn as normal  ;;; triat may nave enangen smce tne surveillance or quahty assurance iQA)  ;; viosauon. provided prior notice nas oeen

,,,,,,,,,,g,,,g,,,,,,,,,,,,,,,,,,,,,,,

actmues, e given the Commission. This utscrenon is wu iw man enacassas si kr en opaming in addition. the NRC may refrem from pus.m mapsy deisying sinna eens em

a. expectea to ne exercised only wnere

• usuelty leave too plaat na a ==== a iseums a Notice of Violanon for cases appucanon of the normal gutaance m which ti could espenence unoesirehle that meet the soove critens provided the poincy is unwarranted. transients. in suca saaes. me Comunneson the violanon was caused by conouct ""'d "" '8" d""*** **"Ad I" that is not reasonably imked to present -

esercased wita sospect to equapanent or i- performance (normally. violauons tnat symais omy woes u hu m mem ===e hidad i are at leset three years old or violanons ag, m ma==di=g es condiuoes ed es C Esause e/Duureses foren t>petoong occurnns dunng plant construcuoni and rocsh'Y hceau mmeqmpmemorsynsedoes there had not been pnor notaca so tha not periena a sansey tuassaan a the modo in

'. Os sammen.cuummsenesse unov anse which opumans in to aanari tal the esisty the hcensee enould have reasonsolv ***** a insensee a ammphanse wie a funcune partenmed byit egenpassa er

' idenufied the violabon earher.This Techassanapsmesman minsauas syeum is of only megamen andmy homent.

exercise of discreuonis to place a preanum on licensees initiatang efforts ta D,,,,,,8 M*',wie pe nded p sa me identify and correct subtle vioisuons plaat esammet se perimmanme ei tesung.

i=.y.-== or syems tumusammet est is m W W wmam humu that are not likely to be identified by taappsopness wisa the spam6c plant  %,syseem c@ondiusm seamm a mm.tasp renagement tant as tasppsopnose 'or routine efforts before degraded safety *a=====

systems are called upon to worst. or unmensnaary deisys na plant i um penseuner piens ensanness, as shes et dans stasess wmheet e a--'- r--d==f henne ud u-(5) Violanons identafied Due to anime, somet la these-----=== me e not psevies e esima, homent. er may 6a lect.

NAC stadimay emmene est to essons see n be esenament se enemy a the penasmier Prewous Escalated Enforcement Action. El aat e The NRC may refrein from issunne a appusahieTs e mar heum sammun.

This endasemmens dammeums will eniv be m m m-ht Notice of Violation or a proposee civil enesamed if the NRC seas la steerty senseed dussemos esas not caeage tas inst tant a penalty for a wolation that is identified that tae senas ne ammsesamme wie preessmans vbletma wn!muurme ones a kapiy em after the NRC has taken escalated tam pehtie beseth and esimey. A usums" esimessanes diseados in W emmened ser sessangtheamusesef aminemusm8 say violetten emot may have ese se me enforcement action for a Seventy Level v6elenom si nasmo. as seem case whose the

!! or til violation. premded that the '""d* * ""#88 violation is riacumented in an inspection d'.'.".a"'."".

}= *e'r'in --- ----- where gned NRC staff hea sanoen to aussene enheemmena dias'===== - smass wiu mesmany

- report tor official field notes for some muss a shows.meWarman== huswee m as possene by .,sen, p aa .== wmnmmmm

$ matenal caseel that includes a [ which demansmen the entsey heems ser me viaa.a== wm mveneed. em he => es e desenption of the corrective menon and request and psevides whammeurenter yu derwhichanimusement

% disseuse was used. The endosamment acamen

• that it rasete all of the following critens: e tassemmelse she NRC staE domme mensemary to La tassaded to esapanese that lissesses (a) It wee a licensee identified as part e naamsadeinema wheemer est m should not seiy es the NBC's =mh=s#y w of the corrective action for the previous * 'm"m **4mW8mm dim 8888. emusenes seimmset diseman es a seessee 8M"* 8W"*

escalated enforceont action: ." substitum tw empiaasce er du aqueang e his desegman.ney eussense discustana waa*

(b)It has the same or sinnilar root om sensam,na m. is um,,se,y and bcease c========'

cause as the violation for which Fiamuy. u se ==r="= a that ee NRC staff

==---r-ins wham as e---=--== is not wiu enssene -'---- ---. dsessosame as this escalated enforcement action was presassL The Dhemer.Omos eiNuenser issued: aree tahoguesuy. Althemes a plant omst shut Ramsear Regidanen. er his dansmen. may down.sehseita (c)It does not substanually change ename dummen if he empmed or plaat sterm,s mayestivitass may he suspensed he deleved.aineet es the safety 83 cance or the cnaracter m W sourdurans eslinef emean of seememem eiscreuos. tae NRC of the regulatory concern arising out of pened ei timme it suspenses the NRC stas to stag is uneer no ahu aaa= to seas suces e the initsal violabon: and -

p, ,,,,,,, , ,,,,,, , ,,,,,,g,,,,,,

unearthepawnseemsof toUK

,,,,,,,,,,s,,,,,,,,,,,,,,e ag (d)It was or wtll be corrected. The demsnen to imago seienament n Schatteltal er tel. The poseen eussemas d%. Whose endesumment assesumon including ieumediate correcove action =d======a dammettes will domemnant the

^=""== is to be omssmeed. it is to to ammemmed saly and long term 1 , ' --- ve corrective if the NRC stadi es clearly saus6sd that such actson to prevent recurrence, within a Por as opmotas pleet.this eassaan of actase is wanesed h a health W andey reasonable tune followag identificahon. endmemme diameos is imeended to perspective.

(s) Violations Inyeiving Specsal """*I ""

Circumgennene. Notwithstansanas the '"*9"etw ~

d ===-a====='y

, y,,, ,,,,,,,,,,g pine,g,g, seemems,, wie, i ,,,,,,

outcome of the normal civil penalty or se ebensmess sesses, assysatana. or syman assessment process (i.e base envil er=hg====a which to tempyrepnose ser the penahy adjusted based on appucation of panssider plaat eendettees. For plaats in a the civil penalty adiusunent factors shameown andamen. emestes endonument addressed in Section VI.Bl. as provided d'"'unes to senseded es sedeem snuedows in Secuan 111. "Responsabilities." the risk by. esus. emedtag esong. tospense er appropnete Deputy Executive Director syseman seekssummet which is temppsopnees may reduce orrefrain frosi tassing a formepasadapint eem.a civil penahy or a Notice of Violation for a Seventy level !! or til violanon based on the ments of the case after

-M e the suunance in this statement of polscy and stach factors as the age of the violation. the safety sismiscance of the violation. the overall Aestunt31,1993(reesti 2-06

_ _ _ _ _ _ _ , ~ __-

j 1. # .

A,,. cmm

_ App C(V PART 2 e RULES OF PR ACTICE FOR DOMESTIC 1.lCENSING PRO

• inadvertently misemg an

• Derelicuan of duty.

Insionahcant proceoural requirement

• Falsifymg tecores reqared by NRC when the acuan is rouune, fairly reguaat ons or oy the faciitty hoense.

uncomphcated. ano tnere is no unusual

• Willfully providing. or causing a circumstance indicatine that the licenses to provide an NRC inspector o- ,

procedures enould be referred to and invesagator with inaccurate or l followoo step.by.etep. 1 incomplete miormation on a matter '

• Compliance with an express matenal to the NRC.

diracuon of management. such as tne  ;

• Willfully withholdag safety '

Shift Supervisor or Plant Manager. sigmficant mformation rather thea

- reeuitedin a violanon unless the niawag such informauen known to j VIH y , individual did not express his or her appropnate supervisory or tschacal

- Acdoulading concern or obiecuan to the direcuen. personnel in the licensee's orgeassation. k

.* Individual erter directly resultmg

• Submittmg falso unformonen and as '

Enforcement actaans involving frees followmg the technical advice of a result sanning unescorted aosses to a individuals. including heansed an expert undees the advise was clearly nuclear power plant.

' operators, are significant personnel unreasonable and the licensed

• Willfully providing false data to a acuens. which wdl be closely controlled individual such. should have recognised it as y licensee by a contractor or osiner pere aud iodiciously apphed. An enforcement c who provmes test or other services. )

action mvolvmg an mdividual will . Violations resulting front i inadequate procedures unless h ta when the data affects the licensee's normally be taken only when the NRC is compliance with 10 CFR part 30.

satisfied that the mdsvidual fully individual used a faulty proceaste appenota B. or other regulatory imoarstood. or sneund have unoerstood.

knowing u was faulty and had not reqmromant.

his or her responsibdity: knew. or snould attempted to get the procedure

• Willfully providing falso have known. the requred acuans: and corrected.

Listed below are examples of certificauon anat constionants seenhe knowmsiy, or with careises disregato requarements of their tatended use. such (Ls. with more than anere neghgeocal lC situations which could result in as ASME Code.

failed to take regered actions wnich

• enforcement acuens mvolving

• Willfully supplying. by vendere of have actual or potential safety E i ndividuals. licensed or unlicensed.

3 lf equipment fonransponauen of j significance.Most transgressions of the actions desenbed in these examples radioactive matenal casks that do not e individuale at the level of Seventy Level are taken by a hcensed operator or cosaply with their ceridicates of

' E !!! IV. or V vloistions will be bandledtaken deliberately by an unheensed comphance.

3 by citing only the facility licensee individual enforcement accon may be

• Willfully performme unsushensed More serious violations. including taken directly agamst the mdividust bypassing of required reasser or other -

those involving the integrity of an However. violauons mvolving willful facihty safety systems.

Individual (e.g lying to the NRC) ' conouct not amounting to deliberate -

concernmg inatters withhi the scope of action by an =le- t individual m the individual's responenbilities. will be these situations may result in considered for enforcement acuan enforcement acuon agamet a licensee ~

speanst the individual as wed as agamst that may impact an mdividual The the facility licensee. Action agemst the situnuons melude. but are not linuted to. . Willfully takana scnons that violene individual. however. will not be taken tf violanons anat involve:

. Willfully causms a heensee to be m Technical 5oecification Linuting Condinami theimproperacnon by the individual for Operense er oser numemmeasume was caused by management failures.

The following exampies of situations vionsuon of NRC requirements.

. WiHfully takimt acuan that would Ih mTM* ,,,,

illustrate this concept have caused a licensee to bei in violation E o sesogo sem of NRCrequiremenis but the scuon did

• Iriadvertantiridivlshaalmistakes a sp.ma neserenhorHassesasematenersi 1 resulting front tnadequate trainmg or not do so because it was detected and p*ianes provided by the facility corrective action was taken. the spesener senses eine sequsemeses of to d licensee . Recognisms a violation of CFR SIL54 ish La unless the spessur seesd !

unsensemakky ===aw===g ein the menessa procedural reqmroments and willfully j not taking correcuve action. casuu meensem sensundees ans sosignesyJ t

• Willfully defestag alarms which ~ t have safety sigmficance. , I e Unautnonzed abandoning of reactor i controls.

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l PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ** _ -

l l

'.The nearee of supervision of the i

in decidme wnether to assue an enforcement scuon to an uniscensed mdmduai. i.e now closety is tne Examones of sancuans that may be appropnote aasmat momdt.als are: .)

individual monnorea or audited. and the l L person rather tnan to the licensee. tne

• lseuance of a letter of repnmano. 1 likeuhood of detecuon tsuen as a

• lssuance of a Nouce of Violation.

NRC recogmass that tuagments will radiograpner worsting moepenaently m have to ne maae on a case by case and j basis. In masung tasse cecisions. the the held as contrasted with a team

• issuance of Orders.

actmty at a power piantl. , Orders to NRC licensed resctor 1

NRC will constner factors sucn as the 6. The employer a response. e.g.,

E followmg: disciplmary scuon taken.

operators may mvolve suspension for a I

= specified penoa. modification, or

1. The level of the indmdual withm 7.The attitude of the wrongdoer, e.g..

E the organization. revocanon of their mdividuallicenses.

Oi admission of wrongooms. acceptance of Orders to uniscensed individuals snight

2. The momdual's tromms and responsability, include provisions that would:

' exponence as well as knowledge of the 8.The degree of manasement potential consequences of the

• Prohibit involvement in NRC wronguoms. responsibihty or culpability. licensed actmties for a spec Aed penod 3.T1'a sefety consequences of the 9. Who identsfied the misconduct. of tune (normally the period of 4

$ Any proposed enforcement action suspension would not exceed five years) miseraduct. m involyms adividuals must be issued  ;

4. '.*he benefit to the wrongdoer. e.g. or until certain conditions are satsened.

% with the concurrence of the appropnate e.g completing speci6ed training or personal or corporate gam.

• Deputy Executive Director.The meeting certam qualme=tions.

j f'a==iaaton mil be consulted onor to

• Reqere notification to the NRC --

• issums a cml penalty or order to an before resumms work in hceased I

unhconsed individual or a civd penalty activities.  !

to a heensed reactor operator. Prior '

• Require the person to tell a j notace wdl be given to the Comaussion prospective employeror customer -

ors Notices of Violation without civil engaged in licensed activities that the penalues anat are issues to unhcensed person nas been subject to an NRC individuals and enforcement actions order.

taken agaanst other unhe====ri persons. In the case of a He====nl operator's I such as corporations or permerships. failure to meet appheahl= Staess for.

The parucular sancuan to be used 2 duty requar===a*= (10 CML 55.5301) the should. be determined on a case.by. case E NRC may issue a Notice of Violation or basis. g a civil penalty to the Part 8818-==== or

=> an order to suspeed. sandify, or seveks  !

the Part as license. These actions may I be taken the Bret tune a hommeed operator fails a drug or alcohol test. that is, receives a cannneed possove test

^ that amonods the cutoffleveis of to CFR as or the facility licassee's ontof iflower.However,nonmally only 1 a Notice of Violation will be issued for the first confamed positive test en the absence of aspevatang summessemese such as errors in the perfennemme of licensed duties or evidenes of pasionged use.In addition.the NRClatends to issue an order to suspeed the Part 86 license for up to three yeese the sensed times a heemsed operator exceeds these cases levels. la the event these are less

than three years rinomaastag in the term of the individual's license. tiae NRC may canader not renewing the individual's license or not issoing a new Mcense after i the three year pened is completed. The .

NRC Intends to issue an order to revoke the Part as license the third thee a licensed opereter exceeds those estos levels. A licensed operetot or apphoent who refuses to paracipate in the drug

• Exames ser inems.sie e een se ama some6mes aind alcohol testing programs asser esemes as se iam asses, see, seinemes Aci established by the iscihty heemsee or et twe. as - Nac mu nei merena, amosse e ami,eman, e,emen e. meme.st no.e , .

seeman ase of the Asemme sessey Ace IAEAl swee the essaarisy se assesse ased pennense on 'emy pew -pereen'* le beeanly deamme an i

seaman sto of the AEA as imelude endsvedeale.e vensey el assumusseemew aus any pepsummannenes er 1 esesse. This pues es ceummsessus amasessly se ameans emi peastems en amenopean of insumanos er en essesmes amanes mese a vaneamus of a rogmammes eussey mesesse en esas e, sammamed.

3- NOkUI I=$$

PART2 o RULES OF PRACTICEFOR DOMESTTC LICENSING PROCEED l

who is involved in the seie. use, or possession of an tilegal crue sa also to such factors as 11) the deeree of knowiedee tnat the communicator information became avedable or the subiect to license suspension. advancement m tecnnology was smaae.

revoceuon. or comal. shouid have ned. resarome tne metter, in new of his or her position. trainme. the inmal suomittal was corrected.

in addition. the NRC may take The failure to correct mascurate or and exponence. (2) the opportumty a'no incompsete mformation wnich the enforcement action asaanst a hcensee time avadable pnor to the a that may impact an indmdual. wnere licensee ooes not identdy as ang=Acaa' the conouct of the individual places m commumcanon to assure the accuraev normally will not consutute a separate quesuon tne NRC's reasonsole or comoieteness of the informanon.13) violation. However. the cerea ==*aa ==

the degree of intent or neghgence. if any. surroundag the failure to correct may i assurance that hcensed acuvities will be involved.14) the formahty of the l property conoucted.The NRC may take be considered relevant to the enforcement acuan for reasons that covamumcation.15) the reasonableness determanon of etiforcement action for would warrmat refusal to issue a license of NRC rahance on the informanon.161 the initial inaccurate or anosampiete on an ongmal apphcanon. Accormngly. the importance of the taformanon which statement. For exampie. an appropnate enforcement accons may 68 was wrong or not prended. and (7) the umatonnonally inaccurate or inconspiece taken regarang matters tnet raise issues reasonableness of the esplanation for saha===a may be treeted as a snom of integrity, competence. intnese for duty. not prendmg complete ano accurate seemmatteif thelicenseslater or other matters that may not informanon. g deternunes that the initial suhauttal was necessarily be a violation of specdic Absent at least careless disregard. an 3 la error and does not correctit or d Coomussion regereness. incomplete or maccurate unsworn oral g there were clear opportunities to in the case of an ^-M person- statement normally will not be subject g idenefy se enor.Hinfonusson not whether a firm or an mdividual. an oncer to enforcement action unless it involves cwmend was mcosamed by a Hoensee modtivmg tne facihty license may be sigadicant mformanen provided by a as mendicant. a sepamm stamos may issues to regare (1) the reasovel of the licensee official.However enforceement be made for the indure to provide i scuan may be taken for an person from alllicensed scavities for a signahcant mformanon. in any event. in speedied penon of time or mdefinitely, ,,,,,,g,,g y g,,,,,g g ,,,,,,,, senous cases where the licenses a (2) prior nonce to the NRC before oral statement provided to the NRC by a acumu is not cwmeung or prombag utilizing the person in licensed acuvities. Ucensee ofAclal e o em on oehaH of a informstion raise quesmans about its or (3) the beensee to prende nonce of licensee. d a record was made of the ,, ,,,,,,,,,,,,g,,y ,,,,,,,,a, _ ,p welinformanon and premied to se truimereiram, se Cansumos may

- the issuance of such an order to othe exercise its authonty to teses orders 2' persons mvolved in licaaaad activities 88 making reference mquanes. In addinon. E opportumty to correct the oral moddying. susperiding. or revoidag the

'"corders to employers maght egenre  ; informahon. such as W a transcnyt of tim Heense. The t'a=====am renegemes diet E retraining. additional overessht. or E '"""""**8H"8 " 8"**"E 8"""8'Y enforcement determinations ammet be

'a i + - made on a case-by. case basis, taking Et venAcetion of activities 3 contaming the error was made avsniable performed by the person. if the person is ,' ', ' 8IY

,"' ' into considersuon the issess elesenbod to be involved in licensed scavities. g, ,,,;y in this section inammer.

IL 8a""--a= and Ra====1=A=*=

lefor-sha" When a laconsee has corrected ineoeurste or incomplete information.

A violation of the regulations the daeaaaaa to tsees a Notice of involyms subenittal of inconspiete and/ Violation for the initiat inaccurate or or maccurate mfonnamon, wnether or incomplete information normany will be not consmered a matensk falso dependent on the care ==anaacas statement. can result in the full rense of incinding the ease of detection of the enforcement aaaa+=== The labeling of a error. the tunehness of the correcuan.

ca==ameauen failure as a matenal whether the NRC or the ucenses falso statement wel be niede on a case. idamediad the problem with the by. case basas and wel be reserved for egregious volations. Violations ca===iscation. and whether the NRC rehed on the infonnataan pner to the invoivmg maccurate orincomplete correction. Generally,if the matter was infonnauon or the failure to provide promptly ident:Aed and corrected by the sig=ficant mformataan identtfled by a licensee pnor to reliance by the NRC. or

' licensee normally wdl be categorued before the NRC raised a quesuon about based on the guadance herem a Section IV " Seventy of Violatione and in the information. no enfore==aat action .

Supplement VII. will be taken for the iniusiinaccurate or The r'a======an recogmsse that oral incoenplete information. On the other informanon may a soone situations be hand. if the ====fansnation u identdied i

inherently less reliable than written after the NRC relies on it. or after some question is raised regarding the subetttais because of the absence of an accuracy of the informenon. then some oppercenty for reflesman and manage.inent review. However, the . enforcement acuan connally will be ra n==.=9:en must be able to rely on oral taken even if it is in fact corrected.

However. d the initialsubentsat wse en:w.aameauens from iscensee officiais accurate when made but later turns out concename =fadeaa'safonaanon. to be erroneous because of newly Therefore.in detennames whether to 1

take enforcement action for an oral t.. 4 mformanen or advance in technology, a citation normaaily would statement.conaderenen may be given not be appropnate if. when the new y, . .. . ee.ae, e-..n

MO PART2 o RULSS OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS."

• X. Enforcessent Actaos Against Noo.

ucassees XI. Referrais to the Deperuneet of Suppiement I-Reactor Opersuons ~

luence The Commission's enforcement policy This supplement provides exampies of Alleged or suspected crtmmal {

4

' is also apphcable to non-incensees, violations in eacn of the hve seventy inesudmg empsoyees of licensees. to violations of the Atonne Energy Act leveis as guidance m cetermining tne I

contractors ano subcontractors, and to (and of other relevant Federat lawei are appropriate severity level for vioianons

! empsoyees of contractors and referred to the Deoartment of lustice in the area of reactor operations.

(DOI) for mvesuganon. Referral to the A. Severity Level /-Violations {

suocontrsesors. who knowmgiy provide DOI does not preclude the NRC from j components. equipment. or other goocs involvmg for example:

takmg otner enforcement action unoer l or services inat relate to a hcensee s this poncy. However, enforcement 1. A Safety Limit. as defined m 10 CFR l acuvities suotect to NRC regulation. The 50.36 and the Techmcal Specsfacanons 1 pronibitions and amnesiaan for any of actions will be coordmated with the bems exceeded these persons who engage a dehberete DOIin accordance with the ,

2. A system

• designed to prevent or l rrumaandne' or subensesen of iaranipiste Memoraneum of Understanshne mitigate a senous safety event not bems or inaccurate alarmanen are provided between the NRC and the DOI.53 FR  !

able to perform its intended safety l 50317 (Decemoer 14.1988).

funcuon ** when actually called upon to I 8 10 CFR 30. 0 Vendors of products or semcas XE.Pubuc Diocleeum ofInferommet

• Asdoms 3. An accidental criticality: or provioed for use m nuclear activities are 4. A licensed operenor at the controis subsect to certain reqamenents designed Enforcement actsons and licensees' responses. in at:cordance with 10 CFR of a nuclear reactor, or a semor operator

' to ensure that the products or services I 2.790. are publicly available for directmg licensed activities tavolved m suppised that could affect safety are of high quahty. Througa procurement g F-- === la addition. press releases I* " hich

,,,," , ,th co i '

contracts with reactor heensees, g are generally issued for orders and civil an aint a: penalties and are imamed at the same or higher level emergency and who. as a l

- assurance venoors programs may be roomrod anat useet to have quality 7 time tne order or proposed imposition of !!* result of subsequent tesung. receive 1 E appiscable reqmrements ine6ma'"410

• the civil penalty is sassed.la addition.

• contartnea posauve test result for drugs I E CFR part 80. appendix B. and 10 CFR press releases are usua ly issued when a E *I** 'I*

E part 71. subpart H. Veeders supplyms proposed civil penaltyis withdrawn or E #* I###I L*"'/ #f~Vi' "' ""'

g products or services to mector. substantially mitigated by some amount. I"I'I"8 ***N Press roleeses are not normally issued 1. A system d886ned to pmmt w l are subject to the raqaranamana of for10matenals andthat Notices of Violation to CFR are notpart 71 suingate licensees senous safety emis not bems CFR part at regenhas reporting of ma===Paaamd by ordere or proposed civil able to perform tis mtended safety penalties. funcnom dedeste in beanc ea apan==.a When inspeceans detensame that XEL Rempamme Cleend Enfeseement 2. A licensed operator involved in the violations of NRC regenoments have Aename use. sale, or poessesion of illagel drugs or the ceasemption of slaeahr occurred. or that vendors have failed to if significant new infonnation is )

fulfill contracusal connutments (e.g 10 beverages. within the protected area: or CFR part 50. append *v Bl that could received or obtained by NRC which 3. A licensed operefor at the control of adversely affect the quality of a safety indicates that an enforceanent sanction a nuclear reactor. or a semor operator significant product or service, wes incorrectly appbed. considereuon directing licensed activities. involved in sney be given, dependent on the procedural errors and who. as a result of

' enforcement acuan will be taken.

Notscos of Violation and civil penalties circuanetenses. to reopening a closed s"- , _ :t tesang. receives a enafused will be used. as appropnate. for licenses enforcessant action to increase or postive test reseh for drugs or sicohol failures to ensure that their vendors decrease the seventy of a sancuan or to C SeverreyLeye////-Violauens

~ have programs that meet apphceble correct the record. Roopening deciosons involving for exampie:

requireemnts. Notices of Violation will will be made on a esse-by case basis. 1. A signaficant failure to comply with be issued for vendors that violate to are expected to occur rareiy, and reqmre the Action Statement for a Techancal CFR part 21. Civil posaines will be h specific approval of the appropnete Specification Limiting Condation for 4

insposed agaanst individual directors or Deputy Execouve Director. Operation where the appropnata acnon respaamhla officers of a vendor was not taken within the reqmrod tune.

orgemsation who knowmgiy and such as:

L

-"y fail to provnie the notace (a)in a V n J waterreactor.m required by 10 CFR 21.21(b)(1). Notices b apphcable mones. having one high.

of Nonconfonnance will be used for ,

venoors wnich fail to meet commutments related to NRC acovities.

• ne earm "ermem es e e e asse euestammme. sostados semassereine and mamassnessamoelsysesum.es med88savuosi efEEEERA.

se 'inessend emissy dumetess" means the setet seissy femense and a met emusene essess a less of seemmeeusy. A less ei ene essoresse esse am dahet me amasaded sensey funames se tems se the seher ausepusam se seemete.

Augustat1eesgesen 2-oo

App.CSupp. i

~

4 App.C Supp PART2 e RULES OF PRACTICE FOR DOMESTI pressure safety infection pump inoperable for a pened in excess of that - D. Seventy Level /V-Violauons allowed by the action statement: or invosymg for examois: Swla'a-M II-Peet se FeeWity r- ,,g, Ib)in a coalms water reactor. one 1. A less ugmhcant failure to compty i

primary contamment isolauon vaive with the Action Statement for a This supplement provides examokes moperable for a pened in excess of that Techmcal Specificahon 1.imatmg violations m each of the five seventy allowoo by the actton statement. Condtuon for Operation wnere the - levens as guidance in deteemming the

2. A system dessened to prevent or appropriate action was not taken within appropriate seventy levei for vioiauen !

mitigate a sonous safety event: the required time such as: in the area of part 50 facuity (a) Not bems able to perform its (a)In a pressunsed water reactor, a construction.

1 intended funcuon under certam 5% deficiency m ine required volume of A. Sevenry Level /-Violations conditions (e.g., safety system not 3 the condensate storage tank:or involvme structures or systems that are operable urdeos offsite poweris O lb)in a boilmg weter reactor. on* completed " in such a niaaner that the a vailable: materiais or components not g subsystem of the two mdepencent MSIV would not have satisfied their mien environmentaHy qualified): or g leakage control subsystems moperable: safety reisted purpose.

(b) Being degraded to the extent that a 2. A failure to meet the requirements B. Severrry Leveill-Violations detailed evaluation would be requttee to of to CFR 50.50 that does not result involving for example:

Seventy Leni L IL or til violation:

in a determme its opersbelity (e.g., 1. A bteakdown m the Quality component parameters outande 3. A failure to meet regulatory Assurance IQA) program as examphfie-approved limits such as pump ibw requirmnents that have more than mmor by danciencies m construction QA rates, heat exchanger transfer safety or environmental significance: or related to more than one work activity charactenstics, safety valve lift 4. A failure to make a required (e.g., structural pipmg. electncal setpoints. or valve stroke timesi: Licensee Event Reoort. foundationst. These denciencies E E Severrey Level V-Violations that normany mvolve the beensee's failure te

(' E oflicensed persana.h3. Insttentiveness to duty on the pan have mmor safety or environmental signahcance. conduct adeouate audits or to take E prompt conective acuan oss the basis of

! 4. t%nagma m reactor parameters that i  % cause unanucipated reductions m E such andata and normally involve margins of safety: S multiple examples of dancient

5. A .gneemat failuse to meet the f construcnon or construction of t 3 quahty due to inadequate program regareements of 10 CFR 50.5e. includmg implementauon:or a failure such that a required license amendment was not sought: 2. A stmeture or system thatis completed in such a en===me that it comic

6. A licenses failure to conduct liste en soverse effect on the safety of adequate oversaght of vendors resulting oPersuons.

in the use of products or services that C Seventy LevelIll-Violations are of defective or mdatermmate invoinns for nample-and that have safety significance:quahty I A d*08U"*Y '"

• N8***** OA

7. A breakdown m the control of program for construction related to a l

licensed activities involving a number of single we actsMe.g. stmetural.

vtalations that are related for. sf piping. electncal or foundauonal. This isoisted. that are recurrms violational mgm6 cant dehcieng nonnah indw that collectively represent a potentiallv """******

significant lack of attenoon or

• N"*"""*"*****"""""

urhums towwd limand * * " * * " * * "normally

" * " ' * *"involves

• I'"*

""Mtk w sudos."ano m m'.8 "A licensed operator.

examples o deficient construction or i a confirmed positive test for drugs or alcohol that consttucuan of unknown quality due to does not result in a Seventy Level i or 11 inadequate program amplementation:

v olation. 2. A failure to conhrm the desagtt

9. Equipment fallieres caused by salety requirements of a structure or

. inadequate orimproper mamt enance system as a result ofinadequate that substaatsally conspiicates recovery pesoperational test program from a plant tranesent. implementshon: or i

u vi. e c.. e m

. e n..w.m..aa n.#e.a.waea.a sacs. dine esmer .co .cc.vn.ne. 9v m.

can w.ction QA .ceaniaanan.

2-91 Auoust 31.1993 freemt

App. C Srpp. II App.C Sapp.111

• PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS. -

3. A failure to mese a reeutree to Cnt C. Seventv Leves ///-Violauons seaslet recon- 8. A breasoown m tne secunty '

mvoivme for examons: program mvoivmq a numoer of D. Seventv Level /V-Violations 1. A failure or maoihtv to contros involvine failure to meet renutatory violations tnat are reisted lor. if access througn estaolisned systems or requirements mciuning one or more proceoutes, sucn that an unautnonzec isolated. that are recurnns viciational Quality Assurance Critenon not that collectively reflect a potentially amountmg to Seventy Level 1.11. or til mdividualli.e not autnonzed sigmficant lack of attenuon or unescorten access to protected arest carenessness toward bcensed violations that have more trian minor could easily gam unestected access 68 responsibilities.

safety or environmental siemhcance.

E Seventy Level V-Violations anat into a vital area from outside the D. Seventy Level /V-Violations protected area: invoivmg for examote.

j have mmor seiety or environmerital 2. A failure to conouct any searen at 1. A failure or mabihty to control sigmhcance.

the access control comt or conouctmg acesse suca that an unautaonsea a, p ,ggg_g g.,,,,g, an madeouste search that resulteo in mdividual(i.e sumortsed to protected the mtroduction to the protected area of area but not to vital areal could easily q This supplement provides enamoles of firearms. expiosives. or incenciary gem unestecteo access mto a vital ares violations m esca of the hve seventy from maide the protected area or mio a devices and reasonable facamules leveis as guidance in determmme the thereof that could sigmficantly assist l

controlled access area:

appropnate seventy leven for violanons radioloeical sabotage or theft of m the area of safeguards. 2. A failure to respond to a suspected strategic SNM: event m either a timely nienner or with A. Seventy Levell-Violations 3. A ladure. degradation. or other an adeouste response force:

invoivmg for example: deficiency of the protected area 1

3. A failure to implement to CFR parts

, ' t. An act of radiological sabotage m intrusion estection or alarut assessment 25 and 95 with respect to the which the secanty system did not systems suca that an unauthonzed information addressed under secuon 142  ;

funcuon as reouired and as a resuit of individual who represents a threat could of the Act. and the NRC approved g the fadure, there was a significant event. g predictatdy circumvent the system or secunty plan reievent to those parts:

3 sucnas: a defea' a soecific zone with a high oogree e (a) A Safety 1.imit. as denned in to 4. A fadiere to maae. maataus. or e of conhoence without mander provide los entries in accordance with

% CFR 50.36 and the Technical  % knowledge. or other sigmficant

• Spec hcanons. was exceeded. to CFR 73.71 (c) and (d). where the

• degrecation of overall system oenitted information (i) is not otherwise (b) A system designed to prevent or capabasty: E avadable in osedy reinevalsie records.

mitigate a senous safety event was not 4. A sigmficant failure of the 3 and (11) mignerantly contnbutes to the t able to perform its miended safety safeguares systems designed or used to E abdity of either the NRC or the licensee funenan when actually called upon to prevent or detect the theft, loss. or work: or g to identify a programmatic breakdown-diversion of strategic SNM: 5. A failure to eaadaee a proper search (c) An accidental enticality occurred: 5. A failure to protect or control at the access control point-2.The theft. loss. or diversion of a classified or safeguards information 6. A faihire to property secure or formula quanuty it of special nucisar considered to be significant while the protect clase:fied or safeguards matenal(3NM): or information is outside the protected area informataan inside the protected area

3. Actual unauthorised produchon of a and accessible to those not authorised fonnula quanuty of SNM wiuch could assist an individual in an access to the protected ares: act of reealace.1 sabotage or theft of S. Seventy Leveill-Violahons 6. A significant failure to respond to strategic SNM where the infonmatmn invoivmg for exannoie: an event either m sufficient tems to was not removed from the protected 1.The entry of an unauthorised Provide protecuan to vital ogwoment or area:

individual 88 who represents a threat strategic SNM. or with an adequate response force: 7. A failure to control access such that mto a vital area " from outside the an opportimity exists that could allow protected area: or 7. A failure to perform an approonste

• unauthonsed and undetected access

2. The theft. loss or diversion of SNM evaluauon or background mvesuganon into the protected area but which was of moderate strategic sigmficance a in so that mformauon reievent to the neither easdy or likely to be exploitable:

which the secunty system did not access determmation was not obtamed s. A failure to conduct an adequate funcuon as required: or or considered and as a result a person. search at the exit frani a matenal access

3. Actual unauthonsed production of who would likely not have been granted ares:

SNM. access by the licensee,if the required 9. A theft or loss of SNM of low invesugation of evaluation had been strenegic sigmficance that was not performeo. was granted access: or desseted within the time period speedied in the secunty plan.other relevant document, or requieuosa or o sw is cra n. tw u. e.4 an . Pin 10. Other violauons that have amore e amv' than sannor safeguares sigmacance.

n meme r u e

• E Serenry Level V-Violations that m.'..The i.e. .u -u have aunor safeguares eM-

. n.ein nu..=.= e .

.- _ = . u. -

aTh. ... u===

.. w. .= .n a

. , =

a hi e . .. = ,

is S.e se CFR r3.2 f.t ih. e.finsee.n ei "s se.i e. f.cs.es ca .s pr.esst.nehov. seen.d. entity, nute t t.n. elSt r.t..Gr.0.eBS.aphsit nc.. 3..a

.le .I .a 4e bt -

Denomiser30,1998(reest) 2 92

.yp. C Supp. IV

. App.CSupp. IV

._ PART 2 . RULES OF PRACTICE FOR DOMESTIC LICENSING PR

}i Part20nSuopiement IV-Heshh Physics tio CFR Pareseene 4.-E.

> IReserwo 38 FR 676571 Seemens as.10s1 24.2481 S

F. Severttv Level /-Violations 3 )This sucoiement orovices examores et invomas for examoie:

3 *c:oiations in eacn et tas sve severiev seveis 1. A raatation exoosure cunnq any

3. tr autaance in osterminmg tne soproottete yearof a worter m excess of 25 rems severity tevet for vlotations in tne area et total effective 60se equivstent. 73 tems heetth Onystes.10 CFR part 20"

- to the lens of the eve. or 250 reas to the

. skin of the wnole body. or to the feet.

. anhies. hands or forearms or to any other organ or tassee:

2. A rensanon exposure over the gestatsoet pornoe of the amoryotfetus of a declarse pregnant woman en escess of 2.5 rems total silective dose eqmvanenc

3. A radiataan exposure durms any year of a minor m excess of 2.3 rems total effecuve dose equsvalent. 7.5 rems to the lens of the eye. or 28 reais to the skin of the whole body. or to the feet.

ankles. hands or forearms. or to any other orfan or tissue:

4. An annual exoosure of a memberof 2 the puolic in excess of 1.0 rem total

$ offectsve cose eouivaienc ll-

5. A release oi reasoscuve matenal to a su unrestrteted ares at concentrations in excess of SO times the liinits for members of the puolic as desertbed in 10 CFR 20.13021b)(2)(1): or

6. Disposal oflicensed matertalin quenuties or concentrations m excess of 10 times the limits of to CFR 20.2003.

C. Seewerty /.orel//-Violations involving for example-

1. A radiation exposure donne any year of a worker m excess of to roses total effecuve dose e to the lens of the eye.qmveient.30 or 100reas to the rems .

skin of the whole body. or to the feet.

ankles, hands or forearms.or to any other orten or nesee:

2. A redsstion exoosure over the gestation period of the amoryotfetus of a ceclarea pregnant womaa m excess of '

g 1.0 rem total effecuve dose eqmveienc

" Pueeseems aus esseswee viennesse sesenes emme a sneesome w ease eessement suspesas seen eien se emesse se e enes.

& messa.

a tassereed as ra sraer.1 -

2 08- Deessubor30,9W

. - . - . - . - - - - - - ~ . - - - - . ~ .

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

L A raatation etoosure tiurme any A failure to meme a 24. hour 3. A rsonation oose rate m an year or a mmor in excess oi 1 rem totai

tottiscation reoutreo ov 10 CFR .mrestncteo or controlied area m excess '

wifective cose euulvaienu 3.0 rems to Ine 20.2202!b) or an tmmeciate notificanon of 0.002 tem 'n any I nour 12 millitems

! ens of tne eye. or ;0 rems to the smin ci requireo ov to CFR 20.2201tal(1)(th hours or 50 riillirems m a year:

tne wnote couv. ut to tne feet, anxies. 4. Faiiure to maintam ano impiement

6. A suustanttal outenttai for nanas or tercarms. or to any otner crean exposures or reitases m excess of the , raciauon orograms to neen racianon or tissue: appucaote hmits m 10 CFR oart 20 ' exoosures as now as is reasonsoly

4. An unnuaiexoosure of a memoet or i l 20.1001-20.2401 wnetner or not an acntevaoie:

tne puolte in excess oi 0.5 rem total exposure or release occurs: 5. Doses to a memoet of the public in effective ouse eouivaient: 9. Disposa of heensco matenai not l excess of any EPA eenerally appucable

, 3. A reiesse ut rectoacuve matenal to covereo m seventy Leveis i or th environmental raciauon stancaros. such

, an unresmeteo area at concentrations m 10. A reiease for unrestncted use of as 40 CFR part 190;

- 1, excess et 10 times tne hmits tor contammaten or raamactive matenai or 6. A failure to make the 30-dav

• • Ehteers at the nuouc as desenbed in 10 equipment inat ooses a reanstic notification reouireo by to CFR CFR 20.1302tbil21til f except when potentisi for exoosure of the puoiic to operation up to 0 5 rem a year has been 20.22011al(1)(ii) or 20.2203tah leveis or ooses exceoume tne annual 7. A failure to mane a timely wntten sporoved by the Commission unoer dose inmits for memoers of the puohc. or I report as requireo oy 10 CFR 20.22011b).

s i of heensed matertalin * **"""

quantities or concentrauons m excess of

"" #"""" * ^"I ** .' "

five times the hmits of 10 CFR 20.2003- "*" " " *""-

11.Conouct at licensee acuvities os a envimnmental stemhcance. " '

I 7. A latlure to make an immediate mca unnauhed Demm f S,emty % Molaues that

o. ~ nottfv: anon as reouireo by to CFR 12. A sismiicant failure to contro! are et a mmor satetv. health. or licensen matenai: r environmental sientitcance.

{ 20.2202 lailli or ia1821 sa o a ne a n of "' ""

inv s a rexa e {

j 1. A raciauon exoosure during any  ; vimaums snat au munect tm. u, ,g , ihls supplement provices examples of

-p year ct a worxer m excess of 5 rems 2 isolateu. tnat are recurnnel that g violations in eacn of the five seventy 3 totti effect:ye cose equivalent.15 rems g collectiveiy represent a potentially g leveis as guidance in determmme the 5 to the iens of sne eye. or 50 fems to the ' 3 s@tuicant lacx of attention or  : appropnate seventy level for violations

. % skm ci tne whole tiody or to the feet, carenessness towaro heensea 3 in the area of NRC transportation ankles. nands or foreareas. or to any responsioilities. requirements **.

cthw wenn or ussus- .. /. Seventy levelly-Violauons A. Seventy LevelI--Violanons

2. A radianon exposure over the involvmg ior exampie: involvmq for example:

gestition genoc of the emotyo/ fetus of 1. Exposures m excess of the hmits of 1. Failure to meet transportation a (eciated pregnant woman m excess of to CFR 20.1201. 20.1207. or 20.1206 not requirements that resulted in loss of 0.5 rem total effectsve cose equivalent constitutmg Seventy 1.evel 1. !!. or ill control of radioscuve matenal with a (except wnen doses are in accordanca vionsuons: .

breach in package mt,ogrity such that the with the provisions of 6 20.120A(d)); 2. A reiease of radioactive matenal to matenal caused a rautation exposure to

3. A radnauon exposure durms any an unrestncted area ai concentrations m - a member of the public and there was year of a mmor m excess of 0.5 rem total excess of the hmits for memoers of the . clear potential for the public to receive effective cose ecuiveient:1.5 reme to she public as reterenced in 10 CFR more than .1 rem to the wnole body:

lens on the eve. or 5 rems to the skm of 20.13021bl(2)(1) lencept when operation 2. Surface contammaaen m excess of the wnoie boov. nr to the feet. anxies. up to 0.5 rem a year nas been approveo - 50 times tne NRC linut: or hanos or torearms. or to any other oreen by the Commission unoer i 20.1301tcll: 3. Externai raciation ieveis m excess

~

or ussue: of to times the NRC limit.

4. A worker exoosure above B. Seventy Levei//~Violauons requietorv inmits when such exposure involvmg for exampie:

r:flects a programmenc trather than an 1. Failure to meet transportanon isolateal weauness m the radiauon regarements that resuited in loss of control program: control of radioscuve matenal with a

5. An annual exoosure of a memoer on bresca m packase mtegnty such that the pt.blic in excess of 0.1 rem total . there was a clear potential for the effective cose eautvalent (except when member of the public to receive more operation up to 0.5 rem a veer has been _ than.1 rem to the whole body:

rpproved by the Commission under 2. Surface containmation in excess of i 20.1301f cl1: 10. but not more than 50 times the NRC

6. A toisese of radioactive matenal to limit: -

cs unresmcied area at concentrations m 3. External redsauon levels m excess Cxcess of two times tne effluent of five. but not more than 10 times the conceintration hmits referenced in 10 NRC limit: or CFR 20.13021b)(2)(1)(except whert opereuon up to 0.5 rem a year has been " Sameweesonnessa. .- em esemed cyproved by the Comaussion unoer. "'""8"'"""*""'8***'*""

l 30.1301(c))-- '""m'e'n'"e's"se"e'n*e*'se"e's"se'm"e'e'n note s'e'e"m's eseem unit he deseies seamm me mesoammin lassesse weseh, esser me elthe som may be ses or mese of she leasessen usessued.

M N E NSSSN 2M

' App CSEpp V PART2 e RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS t

A

4. A failure to maxe required imtial Suppaement VI-Fuel Cycle ane notificat one associated with Seventy Matenais Operaucos 7. A breakdown m the controlof I" *""**' licensea acuvities mvoivmg a numoer of C. Seventy Leveill/~ Violations This suppiament provides exampies of "**' "" * #*

involvtag for exampse: violanons m eacn of the five seventy ' *d " ' * " " " " " "I**""* 8 levess as guidance m determmmg the

1. Surface contanunation in excess of apprognate severirv level for vioistions at cod"ecttwh upusen"t a potentiaHy

'#'*"" d""*"'"""

five limit: but not more than 10 times the NRC in the area of fuel cycle ano matenais e,ammesness mwant Heensed opereuons. responsibuities:

2. External radiation m excess of one A. Seventy Levell-Violations but not more than five times the NRC 8. A fauum. dunns udsocupaic limit: involyms for exampie: OPeretions, to have present or to use

- 1. Radiation leveis, contammation radiograpnic equipment. radianon

! 3. Any naneampliance with labeling.

placardmg. shippmg paper, packaging, leveis. or releases inat exceso 10 times sawy matranenta. anct/or personnel the limits specified in the hcense: monitorias devices as required by to loading. or other reqarements that could ' CN part 34:

2. A systent designed to prewnt or reasonably resultin the followmg:

mingate a senous safety event not being 9. A failure to subaut an NRC Fona (s) A aigmaeaae failure to identify the opersole when actually required to type. quantity, or fonn of anstenal: perform its design function: 241 &n acconiance me the roomessen in i150JD of 10 CFR part tilot or (b) A failure of the carner or recaptent 3. A nuclear criticality accident: or to exermee adequate controis: or 10. A failure to receive regered NRC 3; 4. A failure to follow the procedures of (c) A substantial potential for either approval pnor to the insplassestatten of 3 es qualW management program.

personnel exposure or contemanation g a change in heensed activines est has 5 regered by i 35.32. that resets in a mi of programmatic show g

regulamrv huum a um

,,g, og ,,,,,,,,g. 3 desta or serious mmry (e.g., substantial 7 w signsficance.such as, a change a orgen unpannmenti to a passent.

O ownerensp: lack of an RSO or

4. A failure to make regered initial B. SeventyLevelII-Violations replacement of an RSO with an unneadon assomaW me Sewny involvmg for example:

unquahned individual: a change a the I'*"I IU '"I'd*" "' 1. Radiation levels, contaminatson levels. or releases that exceed five times being conducted, location where licensed activities are

5. A breakdown m the lir====='s or where leonesed g for the . ~+.a of the limits specified in the license:

2. A systems damagaadt o prevent or materialis being stoeed whose the new

7. icensed material involWe a nnmoer of facilities do not meet safety gmd=h===-

violations that are related (or,if mitigate a sonous safety ownt beeg 4

• , inoperable: or or a change in the quantity or type of

%_08" "" -

"**'"'8 d***I '~

radionettve niatenal being passessed or significantiac~i of attannon or used that has radiological sisatAcance.

3. A substantial programmede fauure D.Severrty Level /V-Violations car =6======= toward ucensed respa==* muss. gin theimplementeden of the involving for example:

C"a"a6===== program byto 1. A failure to matatsin patiemm D.SeventyLevellV-Violadoes f CFR 35.32 that results in a hospitalised who have cobals.co.

involvmg for example-*

3 "'aad"*"'a"etiens. cenium 137, or indium tet leapiants or to

1. A breach of package antagnty conduct required leakage er meout exanalrashauon lemis commamaum man or m me paspaly exceeding se DC Emit w meout C. Seventy Level ///-Violations cahbreted equipment:

• • • '*"'"*"*" I*"I' **"**"8 I'" involving for examsle:

uma the MC Haum: 1. A failure to control access to 2. Othernotauons that have enore than mmor safety or environessatal 4 2. Surface contemanation m excess of licensed matenals for radiation sigmficance: or but not more than five times the NRC purposes as specified by NRC -

limit: to: -

3. A faGure to register as an possessmen or use of unauthorised 3.Fauuro 2 h &

eqmpment or matanais in the condect of t=a5="""' Program.

uthorised user an NRC-Cartified h activities which degrades " " "

a P, W'8,g ", g,

4. A naaamapliam with shipping 5 I"U"#** *"

papers. mattung. labeling. placarding a

3. Use of radicactive muenal on humans where euch use is not g.a pmgramma

"", g pacmaging or loading not annoumeng to a authertsed: I '""gg Seventy Levell. H. orlH violation: C: ,g

4. Conduct of licenend activities by a d < a'i *=a==

5. A fallare to dessenstrate that 77 for spemal fore radanactive tectuucally e. .usied person:

5. Radiation leveis, contanunation fg ]"i-Amisia=**

m

• • 9"*"

anon matenal meets appucable regulatory levels. or releases that exceed the heits

, g"corradve ecnens requirements:

spoofied in the license: mgideal by $ 35.32 or

6. A faGure to demonstrate that C ,,

packages eneet DOT Specahcanoes for 4

7A Type A packages: or 6. Sah=*==*ial failure to implement f' the quauty ni===5=====* program as I. 4' ^ IIure to the roosnis

7. Other violations that have more -

by 6 35.32 that does not result R aqm by H than minor safety or environmental significanos. 3 a miand-inimavation: failure to report n E Seventy Level V-Violadens that a sniendministration: or progr===a..,, f haw mmw safey w ennnamemal E SeventyLevel V-Violations that E weenness an the implementeuen of the a sigmficance.

have mmer safety or environmental 3 quaktv ==aa9====e program that sigmficance. l l reensits in a miaad=iana*=staan, i

1

, , ,m~ ~ - a , - , . . . - ,

App.C Supp. VII Apg. C Stapp. VII

• PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENS8NG PROCEEDINGS -

Suppeesnoot Vil-Mia-allaaaaaa Matters B. Seventy Levei//-Violations C. Seremy Leve/ ///-Violanons

• This supplement provides examples of "**

violations m esen of the five severity h I"""#' "' '""'"'I'" I' " # ' " "' * *

mformanon that is provided to trie NRC mformanon tnat is pronced to the NRC

O'p','.'"eT a " " e"'""""'"ldns m 6v= = - dr>=>i6 - == d m 6 - = = d 'a = = = a " aaa " a '"-

invoivmg miscellaneous matters. careness mereeero for the comoteteness part of hcensee othenais out not A. Seventy Levet I-Violations or accuracy of the information. or (b) if amounung to a Seventy LevelI or 11 involvmg for exampse: the informanon. had it been complete violation. or Ib)if the miormauon, had it l and accurate at the time provided. likely been complete sno accurate at the ume i

1. inaccurate or mcomoiste would have resuited m requistory action provided. likely would have resuhed in information 88 that is provided to the suen as a snow cause orner or a a reconsiderauon of a regulatory NRC (a) deliberately with the different regulatory posinon:

knowledge of a hcensee official that the position or substanual further inquiry

2. Incomplete or maccurate sucn as an additional mspection or a information is mcomplete or maccurate. informauon that the NRC requires be formal request forinformauon:

or Ib)if the informanon. had it been kept by a hcensee wiuch is (a) 2. Innamplete or maccurate comp 6ete and accurate at the time incomplete or inaccurate because of informauon that the NRC requires be provided. likely would have resulted in carenesa disregare for the accuracy of regulatory action sucn as an immediate kept by a heensee that is (a) incomplete the information on the part of a licensee or maccurate because of inadequate order regured by the public health ano _ official. or (b) if the informauon. had it actions on the part of licensee ofHeials safety.  !? been complete and accurate when E but not amountmg to a Severity Level I E 2. lacomp6ete or maccurate

• reviewed by the NRC. likely would have 0i or il violation, or (b)if the mforusanon.

• informauon that the NRC requires be g resulted in regulatory acuon such as a $ had it been complete and accurate when w kept by a hcensee that is (a) incomplete e show cause order or a different 0; renewed by the NRC. likaiy would have 7 or inaccurate pecouse of falsificauon by regulatory position: resulted in a reconstoeranon of a or with the knowledes of a bcensee 3. "Significant mformanon identified regulatory posinon or suostannal further official, or (b) if the informanon. had at by a incensee" and not prended to tne been complete and accurate wnen inquiry sucn as an additional na=paenaa Commission because of careless or a forinal request for information:

renewed by the NRC.likely would have disregard on the part of a licensee 3. A failure to prende "signanoent resuited in regulatory action such as an official: information identified by a hasasse ' to immediate order required by public 4. An acuon by plant management health and safety considereuons: above first.line supervision in violanon the t'a==ianian and not amounting to a Seventy inveil or 11 violation:

3. Informauon that the licensee has of to CFR 50.7 or similar regulations 4. An action by first.line superviseen identified as havmg sigmficant against an employee:

5. A failure to provide the notice in violation of to CFR 50.7 or similar implications for public health and safety regulations against an employes:

or the common defense and security required by 10 CFR part 21: 5. An inadequate renew or failure to

("significant mformanon identified by a 6. A failure to remove an individual review such that,if an appropnate licensee") and is deliberately withheld from unescorted access who has been renew had been made as required.a 10 from the Commission: involved in the sale. use. or possesanon CFR part 21 report would have been

4. Action by sensor corporate of illegal drugs within the protected area inada:

management m nointion of to CFR 80.7 or take action for on duty nuouse of 6. A failure to complete a suitable or sunglar regulations against an alcohol, presenption drugs. or over.the- inquiry on the bases of10 CFR part 26.

employee: counter crugs: keep records concermag the denist of

5. A knowmg and intentional failure 7. A failure to taka reasonable acuan acones or respond to ingenes to prende the nouce regured by to CFR when ooserved behavior within the concernme denials of acones so that. as part 21: or Protected area or cremble mfermauon a result of the fathers.a person

6. A failure to substantially impiement concerning activities within the previously densed acones for 8tness dor-the required fitness-for-duty program.si protected area indicates possible duty reasons was unproperly gram =d unfitness for duty based on drug or aosses:

alcohol use: or 7. A failure to take the requesd action

a. A deliberets failure of the beensee's for a person ennfamed to have been Employee Assistance Program iEAP) to tested postave forillegal drug use or notify heensee's ="aae==aat when taka action for caste sloohol som not EAP's staffis aware that an mdividual's amounting to a SeventylevelII condition may adversely affect safety violation: .

related acuvmes. 8. A failure to assure, as required. that

• contractors or vendors have an effective "I..som.suma shemiheosonem.m fitnese for. duty prograsc or

- ermummm.ms.m e "e.

r mensmsm u.a m. see. is m. 9. A breakdown a the 8tness fordisty ame ms sx.-i ea m a pregram savoinns a ammber of tasmo. . e n n.e.a w -t violations of the basic elements of the

.m.s i aes tvn fitneso ior daty program that am mm. s., a ser am.y "

. ;, reflect a segm8aent leak of ream i. .= = w is cru een an. attention or careissenses towards ameting the obesenves of to CPR 25.10.

e

(

• App, C Supp. VH PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PMCEEDINGS ...~ App,C Sapp w D. Seventv LevelIV-Vlolations' invosvms; for antamoie: A. Seventy Level 1-Violauens invosyms for exempie:

1. Incomotete or inaccurate in a general emergency, licensee informanon of more inanimner failure to promptly (1) correctly clase fy signahcance that is provtood to the NRC the event.12) make regered but not amounung to a Seventy Leven 1. nonfications to responesole Federst

!!. orill violation:

2. Information that the NRC requares - State. and local agencies. or 13) respona to the event (e.g., assess actual or be kept by a heenees sna thatis potentaal offsite consequences. activate incomoiste or maccurate and of more emergency respones facilitsee.and them minor stemficance but not ' . anp===* ahift suff.)

amounung to e Seventy Level L IL or!!!

violation: . B.Severrerleest /I-Violatione invotnas for example:

3. An inadeguate renew or failure to in a site essergency. licenese failure to review unoer to CFR part 21 or other .

promptly (1) corrently clasesfy the event.

procedural violatione associated with to - (2) make roguared nonfications to CFR part 21 with more than sunor safety responsible Federal State. and local

sismficance

3 - age ==== or (3) respeed to the event

4. laoisted failures to niest basic = $ (e.g., assoas actual or potential offeite 3 ma===== of the fitnese.6ee. duty program g consequences, acewate emergency g not mvoinns a Seventy Level L IL or 111 ~ respones facdities, and augment shift violatson: or

5. A failure to report sets of lie == mad

• etafft: or operators or supervisore parement to 10 2. Alicenses fallere to seest or CPR 26.73. impiamant one emergsacy plananaq E. Seventy Level V-Violations etandard involving ==t m or invoivmq for exampie:

nonfication: or ,

1. Incomplete or inaccurate C.SevensyLeve//fl-Violations involvingforexasqede:

Infonnauen that is provided to the Comeuseson and ne ' ' in an aiort.licemees failure to

- - ~ or prompdy (1) corready classafy the event.

inaccuracy is of minor signmemme - (2) make reguared helaaa to 2.Information that the NRC requerer reopenedde FedereL State,and local be kept by a Licensee that is incompsete assaces.or or maccurate end the incomedetensee or . (e.g., asesseomeel s(3) or respond pesandaltoo#thesiteevent inaccuracyis of minor engadicanos:

aa===1====== activate emergency

3. Minor proceoural regersaiente of 10 CFR part 21: or roepense facilides, and augment shift staff):

4. Minor violations of fitnese4or<iuty regaremente. 2. A licanese falhare to esset or i=ph==== more than see emergency SuppiesamesVn. -

pleaning standard invoivtes acessement orneancation.

This suppiennent provides examples of 3. A breakdown in the esseon of violations m eacn of the five seventy licensed activities involving a number of

_ levels as smamara m deseramias the violations that are reisted (or.if -

appropnete seventy level for noisuono isolated. that are recurnas violational m the area of ernstyency preparoonese, that collectively represent a potenually sigmaficant lack of attestson er it should be noted that citattone are not careioseness toward licensed normally maos for violations invoinns responesbdities.

emergency preparedases occomag D. SeventyLe4/IV-Violatione dunne emergency exercises. However, involving for exatapie:

where exercises reveal (1) training. A licensee failure to meet or g L.l. or repettiive Isilures for impiessent any essergency plaamns which correcove acueno have not been standard or requarament not directly taken. iii) an overall concern regardmg related to nesseement and notificauon.

the liceasse e ability to tandement its E. Seventy Level V-Vioist6ans that plan m a meaner that adequately have minor safety or environmental protects public health and eefety, or (lill signancance.

poor self enuques of the tiema== a exermosa, enforcessent acason snay be appropriate.

/

2-97 Auoust 31.1995 freestl

_ - -