ML20203B494
| 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: |
| References | |
| 99990002-94-05, 99990002-94-5, SSD, NUDOCS 9902100327 | |
| Download: ML20203B494 (17) | |
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't' m ne!uy UNITED STATES m
NUCLEAR REGULATORY COMMISSION p
REGloN 11 o
101 MARIETTA STREET. N.W.. SUITE 2B00
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ATLANTA. GEORGIA 303230190 l'
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. Report No.:
94-0.4' License No.: License No. General' License (10 CFR 31.5)
Docket No. 999-90002-Licensee: Harman Mining Corporation Harman, Virginia
- Inspection Conducted: October 18 and 19, 1994 i
Inspector:
Ni A.
nes, Radiation pecialist Date Signed
' Approved By:
A 07 Ol? 'N' 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).
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REPORT DETAILS L
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. 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.
+C. Allen Cook, Former Vice President of Processing,.HMC
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- Attended ekit interview
- %8y telephone on October 18, 1994
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+By telephone on October. 19, 1994 4
- By telephone'on_ October 26,_1994 i
- 2..
Program Scope and Licensee Organization.
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.The.licenseef is authorized to possess and use. radioactive material under o
~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 __
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authorized recipient on December 15, 1993. -The inspection was conducted
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'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
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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 that Par' Industries, Inc., an. independent salvaging company located in m
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. Nitro,1 est Virginia, was then contacted by L & G Salvage Company to W
- 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 was surveyed with a portable meter by Mansbach personnel and readings of 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 metal.. Although the stainless steel encapsulated source was damaged, leak test performed by the recovery company indicated the source was not
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. leaking. The source was placed in a shielded container by the recovery 1
company and, transferred to an authorized recipient.
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.
Through discussion with past and.present Harman Mining management, the i
. 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,
'1994, the date at which the source was discovered at Mansbach Metal 4
i Company, no leak test had been performed.on the source since it original leak test date. The aforementioned time period is in excess of the j
i 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.
On October 19, 1994, the inspection scope and results were summarized with the individual. indicated in Paragraph 1 above. The inspector 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 Tuesday, November 15, 1994 at 10:30 A.M.
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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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AM INSING PROCEEDINGS.-
Appenses C-GeneralSistement of Polley one Proceansre serpeRC Entoseement Acuens
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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 C.WulfulVieistname -
a 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 - (al m -
3 (b)Consense Acusa E
(c) Lisanese Pertennemme R (d) Fateroppennesey esidemenfy a
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= el Enferemment sensesses e
(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
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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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App,C PART 2 o Rul.ES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS *
- App.GID '
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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
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pohey sno proceoute explains tne 4
i enforcement poney ano oroceoutes of however, willlicensees wno cannot enmmai pensities may be imposeo on acmove ano mamtam aceouste seveis of g persons wno mtenere with mspectors.
the U.S. Nuclear Resutatory Commission 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 actions. This statement is appitcable t Fremework nucasar f acahty or to nucasar fuel.
Ausseo or susoected cnmanat vionauens enforcement m matters mvolving the d n he Erig M m MMo,
pubhn health and safety. the common defense and scounty and the The NRC's enforcement sunsdicuan is the Department of lusuce for environment.a This statement of general drawn item the Atomic Energy Act of appropriate acuen.
pohcv and procedure is published in tne 1954. as amended, and the Energy Reorganisation Act (ERA) of 1974. es Code of Federal Regulauons to prende amenced l
4 wieespread eha===mauon of the i
Comunission's Enforcement Pohey.
Secuon tel of the Atomic Energy Act 1
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 consrectors. and employees of any of tegenatory requweenoms.
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
,,,,,,,, w,,,,,,,,,,,,,,,,,,,,,semer,,, s under sections 66.181(bl.161(il, of mean Nac.nemenee seener er esmewy, 161(o)of the Act.Section 223 peondes a nte some, samens, ensommen me emmene w 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 ~ ^
7 " ""# Y e E e"e."mm'"'.""e"e"r or sopplymg basic
.----.a ene sesesses a sees semer snu me emme.e==paaants of any utthastion facdity if 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 PART 2 o RULES OF PRACTICEFOR DOMESTIC LICENSING PROCEEDINGS...
App, C(II' B. ProceouroiFrameworn til. Responsibilities In recognition that the regusation of Subpan B of to CFR part 2 of NRC's l
reeuianons sets forth the proceoures ine The Executive Director for Operations nuclear scunun m many cam ms NRC uses m exerctame its enforcement (EDO) ano tite onnciosi enforcement l
authontv.to CFR 2.201 sets forth the officers of the NRC. the Deoutv J
proceoutes for tesums notices os Execuuve Director for Nucisar Matenai
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8 vio suon.
Safety Saleeuares and Operanons he o t nd Support (DEDS) ano the Deputy appropnete enforcement===eaa==
The procedure to be used m, assessing civil pensiues is set forth in 10 CFR Execuuve Director for Nuclear Reactor includme tne cecision to issue a Notice 1 Requisuon. Restonal Operetions. ano of V oleuon. or to propose orimpose a !
2.205.This reguantion provides that the Researen (DEDR). have been deleested civil pensity sna the amount of this civil pensity process is initiated by the authonty to approve or issue all penalty, after considenng the general issuing a Notice of Violataan ano 1
escalated enforcement actions.* The pnnciples of this statenient of policy er ;
Proposeo imposanon of a Civil Penalty..
DEDS is responsible to the EDO for the the tecnmcal significance of the The beensee or other person is provided NRC enforceamnt programa. The Office violations and the surrounding circumstanca.
an opportumty to contest m wntmg the 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 enforcement matters in their absence or in the pubhc's mterest. from this pohey with the approval of the appespriate for a hearms if a emi penalty is as delegated. Subiect to the oversight Deputy Execuuve Director and imposed.lf a cmi pensity is not pauf and direction of OE. and with the consultation with the EDO as
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followmg a heanns or if a hearms is not approval of the appropnate Deputy warranted. (See also Section Vll.
reonestec. the matter may be referreo to
' Executive Director, where necessary.
" Exercise oi Discreuen.")
3" the U.S. Department of justice to R the regional offices normally issue
$ msutute a cml acuan m Distnct Court.
E Nouces of Victation and proposed civil The Comnussion will be provided 1
wnttett nouficatiori of all asiforossment
% The procedure for issuing an order to O pensities. However. subject to the same acuens mvolving civil penaltnes or
- insutute a proceedmg to niodify.
- "erught as the regiosial ofnema. the orders. The Commianian will also be 4
suspend. or revoke a license or to take OfBee of Nucisar Reactor Regulation R, provided nouco m those cases other scuan agamat a liema=== or other (NRR) issues Notices of Violation and discretion is exercised and disomseed ir !
person subject to the jurianheHan of the proposed emi penalues to vendors and a: Secuon VII.B.S. In addition. the r a-.p.=== is set forth in to CR 2.202.
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
effective if required to protect the pubhc violations mvoavmg matenal control and operetion that requires h=1=aa==I the l
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 order or other enforcement action invoivmg the more signaficant matters.
Seventy Leveii values shown in Table should be issued. The Demana does not The Directors of NRR sad NMSS have 1A:
provide beanns rights. as oniy also been delegated authonty to issue (3) Any proposed enforooment actaar informauon is being sought. A licensee orders. but it is expected that normal that involves a Seventy imweii use of this authonty by NRR and NMSS violation:
must answer a Demand. An unncensed will be cot $tned to actions not (4) Any enforcement accan that person may answer a Demana by either 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 (5) Exercising discretion for matters have seen issued.
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 penaltV or oroer to srl *'#~ ~ d e.ee a mis om cv meene e re. nee of Vietenen io' 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.
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(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 aces on a parucular type of violauon occurmL es maany M the wolations 1
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- 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 requirement, t ag=6~a~ d se mistions. W categensed in terms of five levels of 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 T da nointion. In sosse cases.
Willful violations are by definition of 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.
on licensees and their contractors.
VI. Fuel Cycle and Matanals Operetsens:
VIL Misesinameses Metiers: and A h of Violossene employees, and agents acung with VIILInsesency prepassammes.
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 to wulful violations co==mamarate with by one of the above listed areas. e.g.,
underlying cause or programmistic the ciremnstances such that it export license activities. Within each danaimae== or the violations demonstrates the sonousness of the cetrvity area. Seventy 14 vel I has been contributed to or were unavadable violation thereby creatmg a deterrent assagned to notations that are the most consequences of the uanariymg effect within the hcensee e organasation.
sigmhemar and Seventy Level V 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 disciphnary acuan is expected.
very signaficant regulatory concern. in The purpose of aggregatmg wolations general. violataons that are included in is to focus the hcensee s attention on the these seventy categones involve actual or high potentialimpact on the public.
funda - ammal - W - o causes for i
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 senous but are of mese than numer may be more a qnine==t collocuvely concesLa.ifleftansanected they than individuauy and may therdore, 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 PROCEED Therefore. tne severtty levei of a l
violation may oe meresseo if the
- trcumstances surrouname the matter. A i When neeoed to protect the public licensee will not normauv be caten for a circumstances surrounding the matter failure to report a conctuon or event hesith ano safety or common defense involve caresess nisregare of untese the licensee was actually aware and secunty. escalated enforessment reoutrements. oeceouon. or otner of the conosuon or event tnat it f ailed to acuan. sucn as the issuance of an mdicauons of willfulness. The term
" willfulness' as useo m this poucy report. A licensee w il. on the other immediately effective oroer modifyms.
suspenoms or revosung a license, waii emoraces a soectrum of violauens hand. normaily be etted for a fadure to be taken pnor to the enforcement report a conoition or evem if the reneing from neliberate intent to violate licensee knew of the mformauon to be conference. In these cases an or falsify to and including cereases enforcement conference may be held' distseerd for requirements. Willfulness reported. but did not recognise tnat it after the escalated enforcement accon is does not mciude acts which do not rise was requireo to make a report.
taken.
i to the level of caresses disregard. e.g V. Enfosceanent Conferesses I
inadvenant ciencal errors m a document subanitted to the NRC. In deterummt Whenever the NRC has learned of the VL Enferossent Actions 1
the specific seventy level of a vionauon existence 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
,"g
" ** "A"uWe.g., licens" the NRC will normally provide an which eacn may be used.The bases I
opportunity for an enforcement sanctions are Notices of Violation. civil the si noe of' ny conference wah the hcensee, wndor, or E penalties, and orders of vances types.
a 3 As discussed further m Section VI.D.
E violation. the intent of the viola' tor ti.e-PM88 PMW 88f#C888" 3
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 se enforcement confomace is to (1) selectag the enforcement seanness to violation. However. the seventy level of discuss se misuons w be apphed. the NRC will comender 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 D. Violations of Reportmg Requirements licensee's or vendor's correcuve actions.
in transpaetation matters. UsesRy, The NRC expects hcensees to provide (2) detennme whether there wwe any
&. a violation of NRC asyavating or niitigaung circumstances.
requirements is identified, seiernamnet complete.accarete and timely and (3) obtam other taformauon that action is taken. The nature and ameant of informanon and reports. Acconhagiy.
wdl help the NRC determine the the enforcement action is intended to unless otherwise caugensed in the Supplements. the sewnty level of a appropnate enforc===at scuen.
reflect the senousness of the violation violation involving the failure to make a During the enforcement conference.
Involved. For the vast ms6onty of violauons. a Notice of Violation er a required report to the NRC will be based the bcensee vendor,or other person wdl l
upon the significance of and the be given an opportumty to provide Notice of Nonconformance is the nonmei 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
.. - - - ~
App, C(VI)
PART2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~
App.C(VI)'
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 impact of a cml penalty be so severe j; penalty. Allowmg matagnuon in the latter enforcement accon taken. except in e
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 nim. ratne inan cml paalues am 5 rnanagment inmvment in hcensed a
caenana VI.B and VI.C. respecovely. are uses when the intent is to suspend or 3 actmties and a decrease m prosecuan of met. However. special circumstances unnmate hcensed activities) or the public heahh and safety.
regardmg th vidadon fiantinge any adversely affects a licensee's ability to (a) Mentificocon. The purposes of this 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 in addiben. hceneses am not admanly
" ability to pay."In determtrung the penalty shown in Tables 1A and 15 may 3
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.
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
"***8"*"' '""I'* O*"*'*UY' I consee can demonstrate financial identifies a violauon resulting from a however. licensees are held responsible hardship. the NRC will consider 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 (1) take the immecaste acuons necessary performance appears to clearly be notification: or t3l throuan other improvmg. Pnor performance, as used in reasonaose moscauon of a potenual upon otscovery of a violation that will this poitev statement. refers to the proolem or viosauon. sucn as restore seiety anc compuance witn tne license, reeulanoms), or other licensee a certermance normany (1) observations of emaioyees and w thm the test two years of the contractors, anc had failed to take effecuve correcuve steps. Prior requirementist: ano (21 davleon anc 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.
whichever is longer. in assessmg the NRC. the hcensee. or maustry niano at 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 given the sigmficance and complexity of consideration will be given to. among licensee to take scuon to identdy or other tamos, the effecuveness oi the v olation. to prevent occurrence of previous corrective ecuan for sumiar prevent sumiar proolema at the facahty similar vioisuons. Therefore the base subiect to the enforcement action at cml pensity shown m Tobles tA and 1B prooiems, overall pertermance sucn as issue. in assessing this factor, Systematsc Assessment of Licensee considereuon will be gen to, among may oe enher mitigated or escalated by Performance (SALP) ovaluauona for as muca ss 50% decenamg on tne power reactors. and the licensee's pnor other things. she opportunsties available promorness sna extensiveness of the enforcement history oversil and in the to discover the wolation the sees of licensee : corrective ecuan. In assessmsarea of concern.mciuding escalated and discovery, the simdarity between the this factor, considersuon will be given non. escalated enforcement acuona anc violation ana the nonfication, the pened to, amons other thmes, the timeimess of any enforcement acttons that the NRC of time between when the violation the correcuve acuan (including tne exercised discreuen and reframed from occomd and when the nonfication was promotness m oeveioping the senedule issuing m accordance with Secuan issued. the scuon taken lor planned) by for lone term correcuve actioni the VII.B.Notw thstancias soon onor the licensee m response to the
~
_ nonficauen. and the level of deerte of heensee imustave ti.e_
_ perionnance. mitiganon of the emi R mananoment renew anat the noufication wnetner NRCicyosvement was reoutred R penalty basso on this factoris not before accentable scuon was takenl. the g normally warranted where the cumnt y received for snould have received).
- Escalation of the emi penalty based adequacy of the bcensee's root cause E performance that has occuma over the' violation reflects a suost R annivsis for the violation. and. given the E sigmficance and complexity of the issue.
ume smce the last NRC Inspecuen. In not womated where the ucensee appropnately renewed the nonficatsen
- the comprenensiveness of the corrective 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 eriough to establish a pnor performance planned to be taken within a reasonable time.
of concerns.Notwnhatandme good or mspecuan history. Similarly.
(e) Multale occurrences. The purpose comprenensive corrective ecuan. if mitigetson based on this factor is not of this factor is to reflect the addar*
immediate correcuve acuan was not nonnally appropnate where the area of significance resulting from maittpie taken to restore safety and compisance 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 (d) prior opporturury to identsfy. The 1A and IB may be escalated by as much as 2005 where multiple exampies of a consideren and escalation snay be Purpose of this factor is to encourage particular violation are identified dunas considered to address the licensee's licensees to take effective ecuan m the inspecuon penod. Escalation of the failur$e response te opportumues to identify or emi pensity based on this factor will ic) censee acr/ormance. The punt problems or violations.
g nd Therefore. the base cml pensity shown normally be considered only when there neour se e o ir gi in Tables 1A and 18 may be escalated are muttiole examones of Seventy Level 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.
licensee snould have idenufied the causes. Alternauvely, separate cml 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) that will be considereo to lower a case licensee is aware or clearly should have 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 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 these events and the importance or i
may unpose daily civil penalties for conducting licensed activities in a j
violations that contmue for more than 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 Trenamenemen R
neem i Seisemme
, g, easer,m,e,n T,ype A Tyee A sum.mer er g
- envous one op e,
igen i
E
- e. Pomer :
stesAcos steno 0c i siomo00,
saano tt Tese -
10 Age i 10.000 t 10.000 6 2.000
- c. Asemesen funesse one eens emessee---
$Agg l 5.000 l SADO I 1.000
- e. Fuel luenemure are staussel eroammense
- 25,gM i 100A00l 25.000 1 5.000
- e. tese ens urenese sensesen lamens
?
10Aget SADO l 2A00
- f. Insiesem unse se mensees 8. and eeneestore one - __
l seAgo 8
-i 5,000 t IAES
- 9. womes esseem tomanos 10.000 1
-4 S.000 1 2.1M0
- h. Asseamme er messes mesoamene
- SADO I 2.800 1 1A00 L inemanneene emene eues sie messesse seseusses sensege masses. l l
~
21800 100A00 i 25.000 1 5.000
& Omar esensies teamese i
g,gge g 2.500 1 1.000
' inmenge==seme nause,i n.e ensam ensiesema seem enemie. ene en, amor.memen e,ine ime e ease 4 trimesse leur mens emus sang SLSAL sour seuse semen. Tyse A senseeee6 ene mennene cueneene one erestee.
a ta,ge Inne enenges a snesseammung er eeneuten of eueremuel eenses, or senses stumamer megenet
- Tvue meews feims in cansary i mes eme see samme e to cPn vs. L unusene a,a esenseems non eusamme is seeness m i memast esse a esen e
sense, eased en as0 Ann.
- treasons almastet estegenere, festener i _
ene ester steuseet egge 8 TIue messe W fierWIWe em feet emermee mangenese wiser essasse "
- emeugn "g" in eus teele ene meine nuester genntes.
i
~ TAats 1 B-Baas Cava.PsNAL1Ms3 i emme ces poem, Ameise 8*'""*"
Poemd et emmee asses a Tease tA I
too a
so un So IV 1$
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.
an opportumty to show wny the orner cease and desist from a given precuce (3) Revocauon Orders may oe usea:
should not ce tasued m the proposeo (a) When a hcensee is unsole or or actmty; or to take suca other acuan as may be proper (see to CFR 2.2021.
unwilling to comply witn NRC manner oy way of a Demand for 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 a violation:
appropnate for Severity Lavet i.11. or ill 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.
(1) License blodification oniers are was reoutred:
cm1 penames, and orders. the NRC also 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 (b) To stop facility construction when.
of a license on an onginal apphcation).
to any ochgauons and coassutments cc; (i) Further wore could preclude or (4) Cease and Desist Orders may be remdung fran mese processes and will si.2.ady lunder the identafication or used to stop an unsuAonsed actmty not hessiste to issue appropnete orders d
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 ? -
2 E no(tices desenbing a hcensee a failure t
- 1) Notices of Devietson ere written c persons.
-- including venoors ano contractors. and to provide conndence that construcuonprogram unpieasentation as not adequate t et_,
. of any of them, are used a ammtem Wu es actmties are being properly carned out:
when the NRC has identified dehberste ; commutment mvoived has not been a
(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 n,
immeonately, without pnor opportumty to premde wnnen expianauens or m
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 beheves a oasis could reasonably exist (CALa) are letters confirming a licensee s or vendor's agreement to take e
t j
4 App,C(VU App.C(VU). I PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS..?
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 NRC's concern renarams the violanon ai (4itetters of repnmand are ietters 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 the approval of the appropnate Deputy sigmfacant deficiency m their poor performance m an area of concern.
Execuuve Director, consultauon mth periormance of bcensed acuvities, or senous breakdowns m management the Commission is reoutred if the (5) Demands for information are controls, the NRC may apply its full devtauon tn the amount of the cml
/
demands for informanon from heensees enforcement authonty wnere_the action pensity proposee under this discreuon or otner persons for the purpose of is warranted. NRC action may incluae enabling NRC to determme whether an (1) escalaung civil penalties. (2) lasums from tne amount of the civil penalty v
assessed unoer the normal process is order or other enforcement scuan appropnate orners. and (3) assessma E more than two times the base cavil should be issued.
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 (2) Ordere. The NRC will. where limit of $100.000 per violation, per day.
3 Notwithstanding the normal guidance m
necessary issues orders in contencuan
()
6 pena nes. N tm standing contamed in this pokcy. the NRC may choose to exercise discretion and either es matcome of 6e normal cml penahy with civil penalties to achieve or escalate or mitigate enforcement assessment process ti.e base civil formahze corrective acuens and to deter sancuons within the Caan====on's penahy adjusted bassa on apphcation of further recurrence of senous violations, Examples of enforcement acuans that I
b P*""
",d',"*
[,
could be taken for simdar Seventy Level g statutory authority to ensure that the I
,y resuitmg enforcement acuan 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 A. Escalocon o/ Enforcement Sanecons proposing a cavel penalty wnere sanctacms mil stormally escalate for 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 i les aussagen,es,tu,sen sie,spetuna,,,ese yese n,,
er se my orv meen i
e geese
,s 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.
- b. suesmusen et eneseos comresens unal sie Ofece Oseener e emesses eine eiere se seamenema esmeense enet the econses een esersee si eenum esse 1_
_. er Inessammen el the acertes, se _ __ ___.
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)
.i PART2 o RULES OF PRACTICE FOR DOMESTIC LICENSING P App,C(Y i
{
- 13) Dailyem/ penomes. In orcer to (b)It was or will be correcteo within a i
recoipuze ene added tecnmcal asiety reasonsole time. by specific correcuve (3) Violations identified Durms stamhcance or reguaatory sigmiicance Extenced Shutdowns or Work for those cases wnere e very strong scuon committed to by the beensee oy Stoppages. The NRC may refrem from the eno of the inspection. mcmdma 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 (c)It was not a willful violauon.
taken sigmficant enforc====* acuan violation ans attendant cml penalty up (2) Licensee identified Seventy Level basen uoon a maior safety event -
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 Violation for a Seventy LevelIV or V hconseeior a work stoppage at a l
ccostrucuan site), or tii) the bceasse a ntaus a n an aw or y
av noen aware of a wonation. or if the licensee inspecuan report tot official field notes enan an uunded shah or wwk i
had an opportunity to identify and for some maanal camei previoed that stoppage related to generauy poor correct the wolation but failed to do so.
the inspecuan report includes a bnef periormance over a taas pened of tiene.
desenption of the corrective action ami pamded that the nolation is i
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.
fouowmq critena:
casest and that it meets allof the Because the NRC wants to encourage including as a reemat af a self-disclosms (a) It wee either licensee hi== eta==8 a t
and support hcenses mitiative for self event identificahon and cotwcuan of (b)It was not a noiation that could a reenkt of a comprehenenve program fo; proolems.tne NRC may exercise reasonably be expected to have been probless idennfication and correcuam discreuen and refrem troni assums a pesvented by the licenses a correcuve that was neveloped m resposes to the civil penaity and/or tsamas a Notice of acnon for a pronous wolation or a shutdown or identified as a reonit of an previous hcanese finding that occurred employee alleganon to the licanese:(if 2 Violauon under certain circuman=a,=.
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 t this discronen for wointione moeung the thelast two mopecnons, wiuchever is should deteneans whether sederessme a 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 E
(biltis based upon activities of the noneauy be inmed for the he====='s
" 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*
tamediate correcove scuou and a theshutdown:
y comprehenenve conecove acuan to (c)It would not be categensed at a IOUN Prevent recurrence:
esventy level higher than Seventy Levei 11.
(d)lt was not a willful violation or if it was a willful violation:
(d)It was not willful; and (ilne infonestion concernmg the (e) he licensee's desseios to restart
[1] Seventy Level V Violations. The violation. if not required to be reported.
the plant requires NRC concenonce.
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
'"*"*"""" (or official field notes cMeh Level 11 or til violanon evolving a past i
for some matsnal caseen provided that (ii) he violation savolved the acts of problem. sucn' as in ugmeenus, demen.
the inspecnon myn inciodes a bnef a low levelindividual(and not a orinstallation. provided that the desenpuan of the correcove action and licensee official as defined in secuan violation is docu==ated in an aspecuse that the noistion meets au of the IV.Ch report (or official field notes for some followmq cr wns:
(iii)De violation appears to be the matenalcases) that includes a (a)It was not a violation that could isolated action of the employee without desenption of the correcove acnou and that it meets all of the ' "-. cnterte:
reasonably be expected to have been managementinvolvement and the (a)It was a licensee *=e88='t as a prevented by the licensee e correcove vioisuon was not caused by lack of 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 Program that has a defined scope and the last two mapecuona. whichever is (lvl SigatAcant remedial action timetable and is being aggreservely longer:
ea======ste with the circiunstances i=P===nted:
i was taken by the h-such that it demonstrated the senousness of the (b)It was or will be corrected.
violation to other employees and inchidag unmediate corrective acnon and long terni compremenesve conective contractors, thereby creatmg a deterrent schon to prevent recurrence. within a effect within the licensee's organization.
While removal of the employee from reasonable time following 6dentification (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
D'
~
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 pus.m mapsy deisying sinna eens em in addition. the NRC may refrem from
- 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 C Esause e/Duureses foren t>petoong ag, m ma==di=g es condiuoes ed es occurnns dunng plant construcuoni and rocsh'Y hceau mmeqmpmemorsynsedoes not periena a sansey tuassaan a the modo in there had not been pnor notaca so tha 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 D,,,,,,8 M*',wie pe nded p sa me preanum on licensees initiatang efforts ta identify and correct subtle vioisuons plaat esammet se perimmanme ei tesung.
%, c@ondiusm seamm a mm.tasp m W W wmam humu i=.y.-== or syems tumusammet est is that are not likely to be identified by taappsopness wisa the spam6c plant syseem renagement tant as tasppsopnose 'or routine efforts before degraded safety
- a=====
or unmensnaary deisys na plant i um penseuner piens ensanness, as shes et dans systems are called upon to worst.
stasess wmheet e a--'- r--d==f henne ud (5) Violanons identafied Due to anime, somet la these-----=== me not psevies e esima, homent. er may 6a lect.
u-e be esenament se enemy a the penasmier Prewous Escalated Enforcement Action.
NAC stadimay emmene est to essons see n
lE 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 enforcement action for a Seventy Level sessangtheamusesef aminemusm8 say violetten emot may have ese se me v6elenom si nasmo. as seem case whose the d'.'.".a"'."". *e'r'in --- ----- where gned
!! or til violation. premded that the
'""d* * ""#88
}=
NRC staff hea sanoen to aussene enheemmena violation is riacumented in an inspection
- report tor official field notes for some muss a shows.meWarman== huswee m dias'===== -
smass wiu mesmany wmnmmmm
$ matenal caseel that includes a
[
as possene by.,sen, p aa.==
viaa.a== wm mveneed. em he => es which demansmen the entsey heems ser me e desenption of the corrective menon and request and psevides whammeurenter yu derwhichanimusement
% that it rasete all of the following critens: e tassemmelse she NRC staE domme mensemary to disseuse was used. The endosamment acamen naamsadeinema wheemer est m La tassaded to esapanese that lissesses (a) It wee a licensee identified as part e
of the corrective action for the previous * 'm"m **4mW8mm dim 8888.
should not seiy es the NBC's =mh=s#y w emusenes seimmset diseman es a seessee escalated enforceont action:
8M"* 8W"*
(b)It has the same or sinnilar root his desegman.ney eussense discustana waa*
substitum tw empiaasce er du aqueang e bcease c========'
om sensam,na
- m. is um,,se,y and cause as the violation for which
==---r-ins wham ase---=--== is not Fiamuy. u se==r="= a that ee NRC staff wiu enssene -'---- ---. dsessosame as this escalated enforcement action was presassL The Dhemer.Omos eiNuenser issued:
Ramsear Regidanen. er his dansmen. may aree tahoguesuy. Althemes a plant omst shut down.sehseita or plaat sterm,s estivitass may he suspensed (c)It does not substanually change ename dummen if he empmed may 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,,,,,,
,,,,,,,,,,s,,,,,,,,,,,,,,e ag unearthepawnseemsof toUK The demsnen to imago seienament n (d)It was or wtll be corrected.
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
'"*9"etw Circumgennene. Notwithstansanas the d===-a====='y pine seemems wie, i,,,,,,
~
y,,,,,,,,,,,,,g,g,g,,,
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 PART 2 e RULES OF PR ACTICE FOR DOMESTIC 1.lCENSING PRO App C(V
- inadvertently misemg an Insionahcant proceoural requirement
- Derelicuan of duty.
- 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 followoo step.by.etep.
invesagator with inaccurate or l
- Compliance with an express incomplete miormation on a matter 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
individual did not express his or her appropnate supervisory or tschacal VIH y,
- 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 should have recognised it as y licensee by a contractor or osiner pere such.
aud iodiciously apphed. An enforcement who provmes test or other services.
)
c action mvolvmg an mdividual will
. Violations resulting front t when the data affects the licensee's normally be taken only when the NRC is inadequate procedures unless h a
satisfied that the mdsvidual fully individual used a faulty proceaste compliance with 10 CFR part 30.
imoarstood. or sneund have unoerstood.
knowing u was faulty and had not appenota B. or other regulatory reqmromant.
his or her responsibdity: knew. or snould attempted to get the procedure
- Willfully providing falso have known. the requred acuans: and corrected.
certificauon anat constionants seenhe Listed below are examples of requarements of their tatended use. such knowmsiy, or with careises disregato (Ls. with more than anere neghgeocal lC situations which could result in as ASME Code.
- enforcement acuens mvolving failed to take regered actions wnich E ndividuals. licensed or unlicensed. lf
- Willfully supplying. by vendere of i
have actual or potential safety equipment fonransponauen of 3
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:
Technical 5oecification Linuting Condinami theimproperacnon by the individual
. Willfully causms a heensee to be m for Operense er oser numemmeasume was caused by management failures.
vionsuon of NRC requirements.
Ih mTM*
The following exampies of situations
. WiHfully takimt acuan that would illustrate this concept have caused a licensee to be in violation E o sesogo sem
- Iriadvertantiridivlshaalmistakes of NRCrequiremenis but the scuon did 1
i resulting front tnadequate trainmg or not do so because it was detected and a sp.ma neserenhorHassesasematenersi 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 !
procedural reqmroments and willfully unsensemakky===aw===g ein the menessa 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.
1 i
I l
i l
1
_m PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ** _
l l
'.The nearee of supervision of the Examones of sancuans that may be in decidme wnether to assue an mdmduai. i.e now closety is tne appropnote aasmat momdt.als are:
. )
i enforcement scuon to an uniscensed individual monnorea or audited. and the
- lseuance of a letter of repnmano.
L person rather tnan to the licensee. tne likeuhood of detecuon tsuen as a
- lssuance of a Nouce of Violation.
1 NRC recogmass that tuagments will have to ne maae on a case by case radiograpner worsting moepenaently m and j
the held as contrasted with a team
- issuance of Orders.
basis. In masung tasse cecisions. the actmty at a power piantl.
, Orders to NRC licensed resctor NRC will constner factors sucn as the
- 6. The employer a response. e.g.,
operators may mvolve suspension for a E followmg:
disciplmary scuon taken.
specified penoa. modification, or
- 1. The level of the indmdual withm
=
E the organization.
7.The attitude of the wrongdoer, e.g..
revocanon of their mdividuallicenses.
admission of wrongooms. acceptance of Orders to uniscensed individuals snight Oi
- 2. The momdual's tromms and responsability, include provisions that would:
exponence as well as knowledge of the 8.The degree of manasement
- Prohibit involvement in NRC potential consequences of the responsibihty or culpability.
licensed actmties for a spec Aed penod wronguoms.
- 9. Who identsfied the misconduct.
of tune (normally the period of 3.T1'a sefety consequences of the
$ Any proposed enforcement action suspension would not exceed five years) 4 miseraduct.
m involyms adividuals must be issued or until certain conditions are satsened.
- 4. '.*he benefit to the wrongdoer. e.g.
% with the concurrence of the appropnate e.g completing speci6ed training or personal or corporate gam.
- Deputy Executive Director.The meeting certam qualme=tions.
f'a==iaaton mil be consulted onor to
- Reqere notification to the NRC j
issums a cml penalty or order to an before resumms work in hceased 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 a Notice of Violation will be issued for 1
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 seaman sto of the AEA as imelude endsvedeale.e i
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 to such factors as 11) the deeree of information became avedable or the possession of an tilegal crue sa also knowiedee tnat the communicator advancement m tecnnology was smaae.
subiect to license suspension.
revoceuon. or comal.
shouid have ned. resarome tne metter, the inmal suomittal was corrected.
in addition. the NRC may take in new of his or her position. trainme.
The failure to correct mascurate or enforcement action asaanst a hcensee and exponence. (2) the opportumty a'no incompsete mformation wnich the that may impact an indmdual. wnere time avadable pnor to the licensee ooes not identdy as ang=Acaa' a
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==
assurance that hcensed acuvities will be the degree of intent or neghgence. if any.
surroundag the failure to correct may property conoucted.The NRC may take involved.14) the formahty of the be considered relevant to the i
l 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
person from alllicensed scavities for a scuan may be taken for an signahcant mformanon. in any event. in
,,,,,,g,,g g,,,,,g g,,,,,,,,
senous cases where the licenses a speedied penon of time or mdefinitely, y
(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
- the issuance of such an order to othe welinformanon and premied to se truimereiram, se Cansumos may 2' persons mvolved in licaaaad activities 88 exercise its authonty to teses orders 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 + - Et venAcetion of activities 3 contaming the error was made avsniable made on a case-by. case basis, taking into considersuon the issess elesenbod performed by the person. if the person is in this section to be involved in licensed scavities.
, 8IY g,,,,;y 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 ca===iscation. and whether the NRC egregious volations. Violations 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 normally wdl be categorued licensee pnor to reliance by the NRC. or before the NRC raised a quesuon about based on the guadance herem a Section the information. no enfore==aat action IV " Seventy of Violatione and in will be taken for the iniusiinaccurate or Supplement VII.
incoenplete information. On the other The 'a======an recogmsse that oral hand. if the====fansnation u identdied r
informanon may a soone situations be after the NRC relies on it. or after some inherently less reliable than written i
subetttais because of the absence of an question is raised regarding the oppercenty for reflesman and accuracy of the informenon. then some enforcement acuan connally will be manage.inent review. However, the.
taken even if it is in fact corrected.
ran==.=9:en must be able to rely on oral 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 t.. 4 mformanen or advance in 1
take enforcement action for an oral 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 Alleged or suspected crtmmal This supplement provides exampies of
{
is also apphcable to non-incensees, violations of the Atonne Energy Act violations in eacn of the hve seventy 4
inesudmg empsoyees of licensees. to (and of other relevant Federat lawei are leveis as guidance m cetermining tne contractors ano subcontractors, and to referred to the Deoartment of lustice in the area of reactor operations.
{
appropriate severity level for vioianons empsoyees of contractors and (DOI) for mvesuganon. Referral to the suocontrsesors. who knowmgiy provide DOI does not preclude the NRC from A. Severity Level /-Violations j
components. equipment. or other goocs takmg otner enforcement action unoer involvmg for example:
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 actions will be coordmated with the 50.36 and the Techmcal Specsfacanons 1
pronibitions and amnesiaan for any of DOIin accordance with the bems exceeded these persons who engage a dehberete rrumaandne' or subensesen of iaranipiste Memoraneum of Understanshne
- 2. A system
- designed to prevent or l
between the NRC and the DOI.53 FR mitigate a senous safety event not bems or inaccurate alarmanen are provided 50317 (Decemoer 14.1988).
able to perform its intended safety l
funcuon ** when actually called upon to 8 10 CFR 30. 0 XE.Pubuc Diocleeum ofInferommet Vendors of products or semcas Asdoms
- 3. An accidental criticality: or provioed for use m nuclear activities are Enforcement actsons and licensees'
- 4. A licensed operenor at the controis subsect to certain reqamenents designed to ensure that the products or services responses. in at:cordance with 10 CFR of a nuclear reactor, or a semor operator suppised that could affect safety are of 2.790. are publicly available for directmg licensed activities tavolved m F--
I*
" hich i
high quahty. Througa procurement g
=== la addition. press releases
,,,,",,th co contracts with reactor heensees, g are generally issued for orders and civil an aint penalties and are imamed at the same or higher level emergency and who. as a a:
- venoors may be roomrod to have quality 7 time tne order or proposed imposition of !!* result of subsequent tesung. receive assurance programs anat useet 1
E appiscable reqmrements ine6ma'"410
- the civil penalty is sassed.la addition.
- contartnea posauve test result for drugs 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 l are subject to the raqaranamana of 10matenals and to CFR part 71 licensees Press roleeses are not normally issued
- 1. A system d886ned to pmmt w for Notices of Violation that are not suingate 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 beverages. within the protected area: or
)
fulfill contracusal connutments (e.g 10 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 wes incorrectly appbed. considereuon directing licensed activities. involved in significant product or service, 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 insposed agaanst individual directors or Deputy Execouve Director.
Operation where the appropnata acnon 4
respaamhla officers of a vendor was not taken within the reqmrod tune.
orgemsation who knowmgiy and such as:
-"y fail to provnie the notace (a)in a V n J waterreactor.m L
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 PART2 e RULES OF PRACTICE FOR DOMEST
~
App.C Supp 4
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-Ib)in a coalms water reactor. one
- 1. A less ugmhcant failure to compty
,,g, 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.
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 O lb)in a boilmg weter reactor. on*
completed " in such a niaaner that the operable urdeos offsite poweris 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 in a involving for example:
determme its opersbelity (e.g.,
Seventy Leni L IL or til violation:
- 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 Severrey Level V-Violations that normany mvolve the beensee's failure te E
E oflicensed persana.h3. Insttentiveness to duty on the pan have mmor safety or environmental conduct adeouate audits or to take
('
E signahcance.
prompt conective acuan oss the basis of
- 4. t%nagma m reactor parameters that E such andata and normally involve
% cause unanucipated reductions m S multiple examples of dancient i
margins of safety:
- 5. A.gneemat failuse to meet the f construcnon or construction of t regareements of 10 CFR 50.5e. includmg 3 quahty due to inadequate program implementauon:or a failure such that a required license
- 2. A stmeture or system thatis amendment was not sought:
completed in such a en===me that it comic
- 6. A licenses failure to conduct adequate oversaght of vendors resulting liste en soverse effect on the safety of oPersuons.
in the use of products or services that are of defective or mdatermmate C Seventy LevelIll-Violations and that have safety significance:quahty invoinns for nample-I A d*08U"*Y '"
- N8***** OA
- 7. A breakdown m the control of program for construction related to a licensed activities involving a number of single we actsMe.g. stmetural.
l vtalations that are related for. sf piping. electncal or foundauonal. This isoisted. that are recurrms violational that collectively represent a potentiallv mgm6 cant dehcieng nonnah indw significant lack of attenoon or
- N"*"""*"*****"""""
urhums towwd limand
- * " * * " * * " " * " ' * *" *I'"*
m'. "A licensed operator.
sudos."ano normally involves m
""Mtk w 8
a confirmed examples o deficient construction or i
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 system as a result ofinadequate enance 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
- 8. A breasoown m tne secunty seaslet recon-mvoivme for examons:
program mvoivmq a numoer of D. Seventv Level /V-Violations
- 1. A failure or maoihtv to contros violations tnat are reisted lor. if involvine failure to meet renutatory access througn estaolisned systems or isolated. that are recurnns viciational requirements mciuning one or more proceoutes, sucn that an unautnonzec that collectively reflect a potentially Quality Assurance Critenon not mdividualli.e not autnonzed sigmficant lack of attenuon or amountmg to Seventy Level 1.11. or til 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.
into a vital area from outside the D. Seventy Level /V-Violations E Seventy Level V-Violations anat 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 devices and reasonable facamules from maide the protected area or mio a leveis as guidance in determmme the thereof that could sigmficantly assist controlled access area:
appropnate seventy leven for violanons radioloeical sabotage or theft of
- 2. A failure to respond to a suspected m the area of safeguards.
strategic SNM:
event m either a timely nienner or with A. Seventy Levell-Violations
- 3. A ladure. degradation. or other an adeouste response force:
1 invoivmg for example:
deficiency of the protected area
- 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
- 4. A fadiere to maae. maataus. or e (a) A Safety 1.imit. as denned in to e of conhoence without mander provide los entries in accordance with
% CFR 50.36 and the Technical
% knowledge. or other sigmficant to CFR 73.71 (c) and (d). where the
- Spec hcanons. was exceeded.
- 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 able to perform its miended safety safeguares systems designed or used to E abdity of either the NRC or the licensee t
funenan when actually called upon to prevent or detect the theft, loss. or g to identify a programmatic breakdown-work: or 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 wiuch could assist an individual in an fonnula quanuty of SNM 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
- 7. A failure to control access such that mto a vital area " from outside the response force:
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
- 10. Other violauons that have amore o sw is cra n. tw u. e.4 an. Pin e amv' than sannor safeguares sigmacance.
m.'..The i.e..u n
meme r u e
- E Serenry Level V-Violations that have aunor safeguares eM-
-u
. n.ein nu..=.=
e
_ =
. u.
aTh.
u===
w.
.=
.n a
., =
a hi e
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is S.e se CFR r3.2 f.t ih. e.finsee.n ei "s se.i nute t t.n. elSt r.t..Gr.0.eBS.aphsit nc..
3..a
- e. f.cs.es ca.s pr.esst.nehov. seen.d. entity,
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.a 4e bt Denomiser30,1998(reest) 2 92
.yp. C Supp. IV App.CSupp. IV PART 2. RULES OF PRACTICE FOR DOMESTIC LICENSING PR
} Part20nSuopiement IV-Heshh Physics tio CFR Pareseene 4.-E.
i
> 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 heetth Onystes.10 CFR part 20" total effective 60se equivstent. 73 tems 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 rems.
or 100reas to the 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.
- 6. A suustanttal outenttai for
- 4. Faiiure to maintam ano impiement 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:
l
- 5. Doses to a memoet of the public in effective ouse eouivaient:
- 9. Disposa of heensco matenai not 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 20.22011al(1)(ii) or 20.2203tah operation up to 0 5 rem a year has been 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
- ^"I quantities or concentrauons m excess of 11.Conouct at licensee acuvities os a envimnmental stemhcance. " '
five times the hmits of 10 CFR 20.2003-mca unnauhed Demm f S,emty % Molaues that I
- 7. A latlure to make an immediate
- 12. A sismiicant failure to contro!
are et a mmor satetv. health. or o.
~ nottfv: anon as reouireo by to CFR 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 2 isolateu. tnat are recurnnel that g violations in eacn of the five seventy
-p year ct a worxer m excess of 5 rems 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 s'e'e"m' note 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 PROCEEDING 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
- 1. Surface contanunation in excess of levess as guidance m determmmg the at cod"ecttwh upusen"t a potentiaHy five but not more than 10 times the NRC apprognate severirv level for vioistions d""*"'"""
limit:
in the area of fuel cycle ano matenais e,ammesness mwant Heensed opereuons.
responsibuities:
- 2. External radiation m excess of one but not more than five times the NRC A. Seventy Levell-Violations
- 8. A fauum. dunns udsocupaic involyms for exampie:
OPeretions, to have present or to use limit:
- 1. Radiation leveis, contammation radiograpnic equipment. radianon
- 3. Any naneampliance with labeling.
leveis. or releases inat exceso 10 times sawy matranenta. anct/or personnel placardmg. shippmg paper, packaging, loading. or other reqarements that could '
the limits specified in the hcense:
monitorias devices as required by to
- 2. A systent designed to prewnt or CN part 34:
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
- 10. A failure to receive regered NRC to exermee adequate controis: or 3;
- 4. A failure to follow the procedures of (c) A substantial potential for either 3 es qualW management program.
approval pnor to the insplassestatten of personnel exposure or contemanation 5 regered by i 35.32. that resets in a g a change in heensed activines est has show regulamrv huum a um 3 desta or serious mmry (e.g., substantial 7 mi of programmatic w signsficance.such as, a change a g,,g, og,,,,,,,,g.
orgen unpannmenti to a passent.
O ownerensp: lack of an RSO or
- 4. A failure to make regered initial B. SeventyLevelII-Violations unneadon assomaW me Sewny involvmg for example:
replacement of an RSO with an I'*"I IU '"I'd*" "'
- 1. Radiation levels, contaminatson unquahned individual: a change a the
- 5. A breakdown m the lir====='s levels. or releases that exceed five times location where licensed activities are the limits specified in the license:
being conducted, or where leonesed g
for the.
~+.a of
- 7. icensed material involWe a nnmoer of
- 2. A systems damagaad o prevent or materialis being stoeed whose the new t
violations that are related (or,if mitigate a sonous safety ownt beeg facilities do not meet safety gmd=h===-
, inoperable: or or a change in the quantity or type of
%_08" "" "**'"'8 d***I 4
radionettve niatenal being passessed or
'~
used that has radiological sisatAcance.
significantiac~i of attannon or
- 3. A substantial programmede fauure D.Severrty Level /V-Violations car =6======= toward ucensed gin theimplementeden of the involving for example:
respa==* muss.
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 exceeding se DC Emit w meout C. Seventy Level ///-Violations commamaum man or m me paspaly
- '*"'"*"*" I*"I' **"**"8 I'"
involving for examsle:
cahbreted equipment:
uma the MC Haum:
- 1. A failure to control access to
- 2. Othernotauons that have enore
- 2. Surface contemanation m excess of licensed matenals for radiation than mmor safety or environessatal sigmficance: or but not more than five times the NRC purposes as specified by NRC 4
limit:
to:
- 3. A faGure to register as an possessmen or use of unauthorised 3.Fauuro 2 h &
uthorised user an NRC-Cartified eqmpment or matanais in the condect of t=a5="""' Program.
h activities which degrades P,
W'8 ",
,g g,
a
- 4. A naaamapliam with shipping 5
- 3. Use of radicactive muenal on I"U"#** *"
papers. mattung. labeling. placarding a humans where euch use is not g.a pmgramma g
pacmaging or loading not annoumeng to a authertsed:
I
'""gg f ]"i-Amisia=** anon Seventy Levell. H. orlH violation:
C:
,g
- 4. Conduct of licenend activities by a d < a'i
- =a==
- 5. A fallare to dessenstrate that tectuucally e.
.usied person:
m 77 for spemal fore radanactive
- 5. Radiation leveis, contanunation g
9"*"
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'
- 7. Other violations that have more the quauty ni===5=====* program as I.
4' ^ IIure to the roosnis than minor safety or environmental by 6 35.32 that does not result R aqm by H significanos.
3 a miand-inimavation: failure to report E Seventy Level V-Violadens that n
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 l
sigmficance.
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 " " "'""""'"ldns m 6v= = - dr>=>i6 -== d m 6 - = = d 'a = = = a " aaa " a '"-
a e
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 the informanon. had it been complete violation. or Ib)if the miormauon, had it l
involvmg for exampse:
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:
position or substanual further inquiry knowledge of a hcensee official that the
- 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 kept by a heensee that is (a) incomplete regulatory action sucn as an immediate 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 inquiry sucn as an additional na=paenaa been complete and accurate wnen 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:
in violation of to CFR 50.7 or similar implications for public health and safety
- 5. A failure to provide the notice regulations against an 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 "e. mens - ermummm.ms.m e
r msm 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 a e s tvn fitneso ior daty program that a m 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
- 1. Incomotete or inaccurate invosyms for exempie:
informanon of more inanimner in a general emergency, licensee signahcance that is provtood to the NRC failure to promptly (1) correctly clase fy but not amounung to a Seventy Leven 1.
the event.12) make regered nonfications to responesole Federst
!!. orill violation:
- 2. Information that the NRC requares -
State. and local agencies. or 13) respona be kept by a heenees sna thatis to the event (e.g., assess actual or incomoiste or maccurate and of more potentaal offsite consequences. activate emergency respones facilitsee.and them minor stemficance but not '.
anp===* ahift suff.)
amounung to e Seventy Level L IL or!!!
B.Severrerleest /I-Violatione violation:.
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
- age==== or (3) respeed to the event 3
- 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
- etafft: or
- 5. A failure to report sets of lie== mad
- 2. Alicenses fallere to seest or operators or supervisore parement to 10 impiamant one emergsacy plananaq CPR 26.73.
etandard involving==t m or E. Seventy Level V-Violations nonfication: or invoivmq for exampie:
C.SevensyLeve//fl-Violations
- 1. Incomplete or inaccurate Infonnauen that is provided to the involvingforexasqede:
in an aiort.licemees failure to Comeuseson and ne '
inaccuracy is of minor signmemme -
prompdy (1) corready classafy the event.
- - ~ or (2) make reguared helaaa to 2.Information that the NRC requerer be kept by a Licensee that is incompsete reopenedde FedereL State,and local or maccurate end the incomedetensee or.
(e.g., asesse s(3) respond to the event assaces.or inaccuracyis of minor engadicanos:
omeel or pesandal o# site
- 3. Minor proceoural regersaiente of aa===1====== activate emergency roepense facilides, and augment shift 10 CFR part 21: or staff):
- 4. Minor violations of fitnese4or<iuty
- 2. A licanese falhare to esset or regaremente.
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
_ - -