ML20210U228

Refers to Apparent Violation of NRC Requirements Prohibiting Deliberate Misconduct by Individuals & Discrimination by Employers Against Employees Who Engage in Protected Activities,Investigation Rept 1-98-005

ML20210U228
Person / Time
Site:	Seabrook
Issue date:	03/16/1999
From:	Blough A NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I)
To:	Pageau G AFFILIATION NOT ASSIGNED
References
IA-99-003, NUDOCS 9908200041
Download: ML20210U228 (6)

Text

Q UNITED STATES 4

[

g NUCLEAR REGULATORY COMMISSION G

j REGION I c-475 ALLENDALE ROAD D

,o KING OF PRUSSIA, PENNSYLVANIA 19406-1415

+...*

March 16,1999

'A 99-003 Mr. Gary Pageau

[HOME ADDRESS DELETED UNDER 10 CFR 2.790(A)]

SUBJECT:

PREDECISIONAL ENFORCEMENT CONFERENCE (NRC OFFICE OF INVESTIGATIONS REPORT NO.1-98-005) 1 De Mr.Pageau:

This letter is in reference to apparent violations of U.S. Nuclear Regulatory Commission (NRC) requirements prohibiting deliberate misconduct by individuals and discrimination by employers 1

against their employees who engage in protected activities. The NRC Office of Investigations

]

(01) conducted an investigation into whether you discriminated against an electrician for j

engaging in protected activities while working at the North Atlantic Energy Service Corporation j

(NAESCO) Seabrook Station, thereby causing NAESCO to be in violation of NRC regulations l

prohibiting discrimination against employees who engage in protected activities. O1 interviewed you on two separate occasions about this matter, once on February 17,1998 and again on March 3,1998. Ol investigation found that you apparently engaged in deliberate misconduct, in violation of 10 CFR 50.5, by discriminating against an electrician for raising a safety concern, and also by deliberately creating an inaccurate document related to electrical work you were involved with at the Seabrook Station on January 7,1998.

The investigation found that on January 12 or 13,1998, you recommended a particular electrician for a proposed layoff because the electrician had raised a safety concern about two wires you had ordered the electrician to terminate in a configuration opposite that shown in a NAESCO design document. As a result of your recommendation, the electrician was laid off on January 16,1998. In addition, the 01 investigation found that you deliberately created an l

inaccurate record regarding whether the wires had been landed in accordance with the NAESCO design document, and caused the electrician to initial and sign the inaccurate ll document out of fear of retaliation.

An employee's reporting of safety concerns at an NRC-licensed facility is considered a protected activity and any retaliatory employment action taken against an employee for such is a violation of 10 CFR 50.7, " Employee Protection." Based on the investigation findings, it appears that your actions have caused NAESCO to be in violation of 10 CFR 50.7 and 10 CFR 50.9 and you to be in violation of 10 CFR 50.5," Deliberate Misconduct." Copies of the synopsis of the Ol report,10 CFR 50.5,10 CFR 50.7, and 10 CFR 50.9 are enclosed. Also enclosed is a copy of the NRC's " General Statement of Policy and Procedures for NRC Enforcement Actions (Enforcement Policy), Revision 1."

. tt 9908200041 990316 gDR ADOCK 05000443 PDR

d Gary Pageau 2

At this time, the NRC is considering whether to take enforcement against you for violating the NRC regulation against engaging in deliberate misconduct,10 CFR 50.5. However, before the NRC makes its final enforcement decision, we are providing you an opportunity to either provide a written response to the apparent violation discussed above, under oath or affirmation, within 30 days of the date of this letter, or request a predecisional enforcement conference within 7 days of the date of this letter, if the NRC concludes that you engaged in deliberate misconduct, the possible sanctions available to the NRC include issuing to you a Notice of Violation, a civil penalty,' or an order. If the NRC issues an order to you, the order may prohibit your future involvement in NRC-licensed activities.

You are not required to attend a conference and you are not required to provide a response to either this letter or the apparent violation at this time. However, you should understand that if you do not respond to this letter or request an enforcement conference, the NRC will make an enforcement decision based on its investigative findings and the information provided to the NRC by NAESCO.

A predecisional enforcement conference is being arranged with North Atlantic Energy Service Corporation and the Williams Power Company to discuss this matter at our Region i Office in King of Prussia, PA. Mr. Clifford Anderson of this office will notify you of the date and time of that conference. For your information, that conference will be closed to public observation and transcribed. Since you are an employee of the Williams Power Company located at the Seabrook Station, we requested the licensee and Williams Power Company to make arrangements with you to attend the conference with their organization, if you so choose.

However, you may request a separate predecisional enforcement conference between yourself and the NRC to discuss your involvement in this matter. Such a conference with you, should you choose one, will be closed to public observation and transcribed. Please note that you may be accompanied by legal counsel or represented during the conference but it should be understood that the NRC will address its questions to you. These conferences are predecisional because the NRC has not made a final determination that violations of NRC requirements occurred or that enforcement action will be taken against you, Williams Power Company, or North Atlantic Energy Service Corporation.

We have offered the contract electrician who was terminated, the opportunity to observe the closed enforcement conference with North Atlantic Energy Service Corporation and Williams Power Company. We have informed him that, if he so chooses, we will arrange for him to interact with the NRC staff at the end of the conference without licensee or contractor presence in order to preclude any perception of duress, and that he may be accompanied by legal counsel or representation. If you request a separate predecisional enforcement conference',

the contract electrician will not be allowed to attend that conference.

Please contact Mr. Clifford Anderson at 1-800-432-1156, Extension 5227, within 7 days of the date of this letter to inform him of your decision to participate in a conference with the NRC, or not. If you request a separate conference, please arrange with Mr. Anderson a mutually, agreeable date and time. For your information, we would prefer to hold an indVidual A civil penalty is not normally imposed on unlicensed individuals. See Fettnote 10 of the NRC Enforcement Policy.

i Gary Pageau 3

conference either the same day or the day after the conference with NAESC and Williams Power Company'.

If you choose to respond by letter or attend a predecisional enforcement conference, you are specifically invited to address the factors that the NRC normally considers in determining whether enforcement action should be taken against an individual. These factors are described in Section Vill," Enforcement Actions involving Individuals," of the NRC Enforcement Policy. In addition to responding to these factors, should you admit the violation, the NRC requests that you provide in your written response or present in a predecisional enforcement conference, why the NRC should be confident that while engaged in future licensed nuclear activities, you will abide by the NRC's regulations and your employer's procedures pertinent to your work. You may additionally provide any information you deem relevant to the NRC in making an enforcement decision.

A written response, should you choose to provide one, shall be submitted to the Regional Administrator, U.S. Nuclear Regulatorv Commission,475 Allendale Road, King of Prussia, PA 19406. At the same time, a copy shall be sent to Mr. James Lieberman, Director, Office of Enforcement, U.S. Nuclear Regulatory Commission,11555 Rockville Pike, Rockville, MD 20852-2738. To the extent possible, any response should not include any personal privacy or proprietary information, so that its placement in the NRC Public Document Room (PDR) can be done without redacting any information. If personal privacy information or proprietary information is necessary to provide an acceptable response, then please provide a bracketed copy of your response that identifies the information that should be protected and a redacted copy of your response that deletes such information. If your request withholding of such material, you must specifically identify the portions of your response that you seek to have withheld and provide in detail the bases of your claim for withholding (e.g., explain why the disclosure of the information will create an unwarranted invasion of personal privacy or provide the information required, as well as an affidavit, as required by 10 CFR 2.790(b), to support a request for withholding confidential commercial or finan:ial information).

The NRC will delay placing a copy of this letter and Enclosure 1 into the PDR until a final enforcement decision has been made. At that time, in accordance with 10 CFR 2.790 of the NRC's " Rules of Practice," a copy of this letter and your written response, should you choose to provide a written reply, with your home address removed, along with a copy of Enclosure 1 may be placed in the PDR.

You will be advised by separate correspondence of the results of our deliberations on this matter.

Sincerely, A. Randolph Bio 9, Director Division of Reactor Projects Docket No. 50-443

71,-

Gary Pageau 4

Enclosures:

1.

Investigation Report No.1-98-005 (Synopsis)

}

2.

" General Statement of Policy and Procedures for NRC Enforcement Actions" 3.

10 CFR 50.5,10 CFR 50.7, and 10 CFR 50.9 1

c

,'t Gary Pageau 5

l l-Distribution w/encis:

• PUBLIC

• Do not place in PDR until final Enforcement Decision

• SECY

'CA.

W. Travers, EDO M. Knapp, DEDE l

F. Miraglia, DEDR l

S. Collins, NRR l

B. Boger, NRR J. Lieberman, OE (OEMAIL)

H. Miller, RI F. Davis, OGC l

Enforcement Coordinators RI, Ril, Rlll, RIV W. Beecher, OPA G. Caputo, Ol P. Lohaus, OSP

. H. Bell, OlG OE:Chron OE:EA

• DCS

• NUDOCS D. Screnci, PAO-Ri N. Sheehan, PAO-Rl NRC Resident inspector-Seabrook

• Region I Docket Room (with concurrences)

T. Walker, RI L. Manning, RI l

l l

l l

l L

SYNOPSIS This investigation was initiated by the Office of Investigations (01).

-Region I (RI), on January 29 1998, to determine if an electrician working at North Atlantic Energy Service Corporation's (NAESCO) Seabrook Station (SS),

Seabrook, New Hamps11re, was discriminated against by Williams Power Company (WPC) management, a NAESCO contractor, for raising safety issues regarding electrical wiring in the control panel for the Control Building's Air-Conditioning (CBA) Sub System. Once initiated, the investigation was expanded to determine if the electrician and his supervisor provided incomplete and/or inaccurate information on a Cable Termination Checklist for work performed on January 7, 1998.

Based on the evidence developed during this investigation, 01 concludes that the electrician was discriminated agatnst by a WPC supervisor for raising a sa concern.' In addition, the'same supervisor deliberately chose not to coup with SS procedures, requiring compliance with design documents, and deli rately caused an inaccurate document to be created with regards to the work performed on January 7, 1998.

t 4

t NOT RR'PLBLIC DISC 1ASLRE WIllWT THE APPROVAL ~ 0F' FIELD OFFICE DIRECIUR, OFFICE OF INVESTIGATIONS, REGION I Case No. 1 1998k005 1

c l

NUREG-1600, Rev.1 A

General Statement of Policy and Procedures for NRC Enforcement Actions j

Enforcement Policy Manusaipt Completed:May 1998 Date Published:May 1998 Omce of Enforcement U.S. Nuclear Regulatory Commission Washington, DC 20555-0001 a

~

o 4

1 Abstract This document includes the U.S. Nuclear Regulatory Commission's (NRC's or Commission's) sevised General Statement of Policy and Procedure for Enforcement Actions (Enforcement Policy) as it was published in the Federal Register on May 13,1998 (63 FR 26630). The Enforcement Policy is a general statement of policy explaining the NRC's policies and procedures in initiating enforcement actions, and of the presiding officers and the Commission in reviewing these actions. This policy statement is applicable to enforcement matters involving the radiological health and safety of the public, including employees' health and safety, the common j

defense and security, and the environment. This statement of general policy and procedure is published as NUREG-1600, Rev.1 to provide widespread dissemination of the Commission's Enforcement Policy.

However, this is a policy statement and not a regulation. The Commission may deviate from this statement of policy and procedure as appropriate under the circumstances of a particular case.

Questions concerning the Enforcement Policy should be directed to the NRC's Office of Enforcement at 301-415-2741. 'Ihis document, as well as other enfomement-related information, is available on the NRC's Office of Enforcement's homepage on the Intemet at www.nre. gov /OE/.

I l

i i

111 NUREG 1600, Rev. I

- Contents -

Abstract......'..............................

... iii Statements of Consideration for Revised Enforcement Policy............................

1 Revised Enforcement Policy.................................

3 p

Table of Contents...............................

.3 Preface....................................

....... 3 I.

INTRODUCTION AND PURPOSE......................................... 4 II.

STATUTORY AUTHORITY AND PROCEDURAL FRAMEWORK................. 4 A.

S tatutory Au thority.................................................... 4 B.

Procedural Framework............................................... 4 III.

RES PONSIB ILITIES...................................................... 5 I

IV.

SEVERITY OF VIOLATIONS............................................... 5 l

A.

Aggregation of Violations.....................

6 B.

Repetitive Violations................................................... 6 C.

Willful Violations...................................................... 6 D.

Violations of Reporting Requirements..................................... 6 V.

PREDECISIONAL ENFORCEMENT CONFERENCES............................. 6 VL ENFORCEMENT ACTIONS................................................... 8 A.

Notice of Violation..................................................... 8 B.

Ci vil Penalty......................................................... 8

.?

1.

Base Civil Penalty............................................... 8 2.

Civil Penalty Assessment......................................... 8 a.

Initial Escalated Action................................... 9 b.

Credit for Actions Related to Identification.................... 9 c.

Credit for Prompt and Comprehensive Corrective Action........ I1 d.

Exen:ise of Discretion.................................... 1 1 C.

O rde rs...........................................................

1 1 D.

Related Administrative Actions...................................

12 VII.

EXERCISE OF DISCRETION............................................

12 A.

Escalation of Enforcement Sanctions.....................................

12 1.

Civil Penalties.................................................

12 2.

Orders......................................................

1 3 3.

Daily Civil Penalties..........................................

13 B.

Mitigation of Enforcement Sanctions.....................................

13 1.

Licensee-Identified Severity level IV Violations..

13 2.

Violations Identified During Extended Shutdowns or Work Stoppages.....

13 3.

Violations Involving Old Design Issues.............................

14 4.

Violations Identified Due to Previous Enforcement Action..............

14 I

5.

Violations Involving Discrimination.............

14 6.

Violations Involving Special Circumstances..........................

14 C.

Exercise of Discretion for an Operating Facility.............................

15 VIII.

ENFORCEMENT ACTIONS INVOLVING INDIVIDUALS..................... 15 IX.

INACCURATE AND INCOMPLETE INFORMATION............................

17

(

X.

ENFORCEMENT ACTION AGAINST NON-LICENSEES..........................

17 XI.

REFERRALS TO THE DEPARTMENT OF JUSTICE............................. I 8 XII.

PUBLIC DISCLOSURE OF ENFORCEMENT ACTIONS......................... I8 XIII.

REOPENIN.G CLOSED ENFORCEMENT ACTIONS I8 APPENDIX A: SAFETY AND COMPLIANCE......................................... 18 APPENDIX B: SUPPLEMENTS - VIOLATION EXAMPLES............................ I 8

)>

y NUREG-1600, Rev.1

e 26630 Fed:rr_1 R: gist:r/Vol. 63. No. 92/ Wednesday, May 13.1998 / Notices NUREG-1525. " Assessment of the NRC I

Enforcement Program." and the Commission made revisions to the Enforcement Policy after considering NRC.

those recommendations. The revisions to the Enforcement Policy were intended to, among other things:

g-[

OmeM e Emphasize the importance of identifying problems before events I

occur and of taking prompt.

(

w {a w y gy comprehensive corrective action when problems are identified; j

e Direct agency attention at licensees i

with multiple enforcement actions in a relatively short period; and NUCLEAR REGULATORY COMMISSION e Focus on current performance of I

licensees.

(NUREG-1600, Rev.1]

The revisions to the Enforcement i

Revision of NRC Enforcement Policy Policy were also intended to better focus

]

the inspection and enforcement process f

i AGENCY: Nuclear Regulatory on safety. provide greater incentives for

)

Commission.

strong self-monitoring and corrective ACTION: Policy statement.

action programs in the civil penalty assessment process, provide more j

span 4ARY:The Nuclear Regulatory predictability and consistency in the Commission (NRC) is publishing a civil penalty assessment process, and to complete revision of the agency's better convey clear regulatory messages.

Enforcement Policy (NUREG-1600.

When the Commission published the

" General Statement of Policy and revised Enforcement Policy in the Procedure for NRC Enforcement Federal Register on June 30,1995,it Actions") based on (1) a 2-year review stated that it would provide the public j

of the revised Enforcement Policy, that an opportunity to comment on the 1

was effective June 30,1995 and (2) a revised Enforcement Policy after it had l

consolidation of ch.mges to the been in effect for about 18 months. On Enforcement Policy since June 30,1995. February 5,1997 (62 FR 5495), the

(

DATES:'Ihis action is effective May 13-Commission published an opportunity J

1998, while comments are being for the public to comment on the i

received. Submit comments on or before revised Enforcement Policy.

I june 29.1998.

The NRC has reviewed approximately

.f ADDRESSES: Submit written comments 2 years of experience under the revised to: David L. Meyer. Chief, Rules and Enforcement Policy and considered 3

Directives Branch Division of public comments. The NRC staff Administrative Services. Office oT prepared a report (NUREG-1622.8 "NRC

['

Administration, Mail Stop: T6D59. U.S.

Enforcement Policy Review: July 1995-Nuclear Regulatory Commission.

July 1997." November 1997) that h

Washington. DC 71555. Hand deliver concluded that the changes made to the J.

comments to: 11565 Rockville Pike-Enforcement Policy in 1995 (especially Rockville Maryland, between 7:30 am in the civil penalty assessment process) and 4:15 pm, Federal workdays. Copies have helped to improve the of comments received may be examined predictability and consistency of

/

at the NRC Public Document Room, enforcement actions, while maintaining 2120 L Street. NW. (Lower Level)-

the agency's desire to use enforcement Washington. DC.

sanctions for providing appropriate FOR FURTHER INFORMATION CONTACT:

emphasis and deterrence in a way that James Lieberman Director, Office of helps to support the agency's overall Enforcement U.S.NuclearRegulatory safety mission. This conclusion is I

Cornmission Washington,DC 20555, l

(301) 415-2741.

e copies of NUREG-1622 may be purchased from g

sGPP12MENTARY INFOR44AT10N:OnJune.

the superimerusem of Documents. U.S. Gowmmem t

30.1995' the Commission published a Q3QM*jlscps,,, d w

l complete revision of the NRC 5 b

me Nauonal Technical informauon Service. 5285 Port Enforcement Policy (60 FR 34381). The Royal Road. springfield. vartirds 22161, A copy is

{'

changes to the Enforcement Policy also available for inspecuan and copytre for a fee resulted from the efforts of a review in the NRC Public Document Room. 2120 L street.

h team, established in 1994 to assess the s N "ded The re e Rs f

y NRC s enforcement program. The review Enrorcemencs homepage on the internet :

g team published its recommendations in www.r>rc sov/OE/.

I 1

NUREG 1600, Rev.1

i

)

+

5 i

Fed:rcl R:gistzr/Vol. 63. No. 92/Wednesdty. May 13.1998 / Notices 26631 reflected in several aspects of the Office of the Chief Financial Officer provide a written response.) It is the Enforcement Policy:

(OCFO) was created as part of the NRC's NRC's intent that this approach will

. The current Enforcement Policy is January 5.1997. reorganization. The normally be taken in the event a civil appropriately geared toward creating Office of the Controller has now been penalty is under consideration. This deterrence (i.e. taking action in a incorporated into the OCFO and the section has also been modified to manner that provides incentives to position of the Director. Office of the include an additional option when a identify and correct violations that have Controller (previously identified in the conference is not held, such that the occurred and discourage future policy as having the issuing authority),

NRC may proceed to issue an violations) and is properly structured has been subsumed by the CFO.

enforcement action without first for nuclear regulation.

This section has also been modified to obtaining the licensee's response to the

. The Enforcement Policy recognizes emphasize that the technical and inspection report if the NRC ha that violations have varying degrees of regulatory significance of violations are sufficient information to condude that a safety significance, and that in consideredin conjunction with the civil penalty is not warrrrled.This considering the significance of a principles of the polley statement and approach would still: (il Provide violation, it is appropriate to consider the surrounding circumstances when licensees an opportunity to request a the technical significance (i.e., actual the agency determines the appropriate conference to dispute the action. (2) and potential consequences) and the enforcement strategy.

provide licensees an opportunity to regulatory significance. In addition. risk This section has also been revised to dispute the action in writing through is an appropriate corisideration in indicate that the Commission is to be the provisions of 10 CFR 2.201 (as with evaluating the technical significance of Provided notification (where any Notice of Violation). (3) allow the a violation, appropriate, based on the uniqueness or NRC to conduct a conference where e The Enforcement Policy is significance of the issue) for a plant matters are disputed or where the appropriately structured to maintain a meeting the criteria of Section VII.B.6 licensee's documented corrective focus on safety.

(mitigation for violations involving actions are not sufficiently prompt and

. The current civil penalty special circumstances). This is comprehensive, and (4) provide for assessment process is appropriately consistent with the policy revision to modification or recision of the NOV. if structured to reflect issues the agency Section VIIissued on December 26.

appropriate.

believes are appropriate to consider in 1996 (61 FR 68070).

It should be noted that these m difications are not meant to be assessing whether a civil penalty should IV. Severity of Violations be proposed, i.e.. past performance.

construed as exclusive enforcement identification. corrective action. and This section has been modified such options. In other words, it does not those warranting discretion.

that minor violations will no longer be change the existing practice whereby

• The use of discretion andjudgment noted as Non-Cited Violations (NCVs) the NRC may choose to issue an throughout the deliberative process when they are documented in enforcement action (including civil recognizes that enforcement of NRC inspection reports. Instead,if a minor penalties and orders) without requirements does not lend itself to violation warrants documentation. it conducting a conference.These changes mechanistic treatment.

will be noted as a violation of minor are being made in an effort to make the Notwithstanding the general significance that is not subject to formal enforcement process more efficient (by satisfaction with the Enforcement enforcement action. The definition of an reducing the number of conferences and Policy. the review included a number of NCV included in footnote 6 has also reducing the workload of both the NRC recommendations to the Commission for been deleted. The purpose of these and licensees and improving the revisions to the Enforcement Policy and changes is to avoid confusion between timeliness of enforcement actions).

for development of additional minor violations dispositioned as NCVs enforcement guidance.The Commission in accordance with Section IV and VI. Enforcement Actions is issuing this policy statement after Severity LevelIV violations This general discussion of the NRC's considering those recommendations and dispositioned as NCVs in accordance philosophy and approach to taking the bases for them in NUREG-1622.

with Section VII.B.1, " Licensee-enforcement has been modified by The more significant changes to the Identified Severity LevelIV Violations." including the recognition that Enforcement Policy (in the order that Use of the term "NCV" will now be circumstances regarding a violation may they appear in the Policy) are described reserved for those Severity LevelIV warrant discretion such that the NRC

b. low:

violations that meet the criteria for may refrain from issuing a Notice of discretion in Section VII.B.I.

Violation or other enforcement action.

I. Introduction and Purpose This discussion was previously V. Predecisional Enforcement This section has been modified to included in Section VI.A. " Notice of "I " "C'S include a brief discussion on the Violation." and has been more meaning of " safety" and " compliance" This section has been modified to appropriately relocated to this section.

as they are used in the context of this indicate that a predecisional A. Notice of Violation policy statement.This section also enforcement conference is not required references a new appendix (Appendix if the NRC has sufficient information to The NRC has had a long-standing A) that describes the nexus between make an informed enforcement policy that licensees are not ordinarily safety and compliance.

decision. If a conference is not held, the cited for violations resulting from licensee may be requested to provide a matters not within their control, such as III. Responsibilities written response to an inspection report equipment failures that are not This section has been modified to as to the licensee's views on the avoidable by reasonable licensee quality reflect that the Chief Financial Officer apparent violations and their root assurance measures or management (CFO) is delegated the authority to issue causes and a description of planned or controls. This discussion has been orders where licensees violate implemented corrective actions. (The deleted from this section and more Commission regulations by nonpayment previous discussion indicated that the appropriately included in the of license and inspection fees. The licensee will normallybe requested to discussion on mitigation of sanctions in NUREG-1600, Rev. I 2

e 26632 Fed:rcl Register /Vol. 63. No. 92/ Wednesday. May 13.1998 / Notices Section Vll.B.6. " Violations Involving regulatory requirement that was violated determined that this action is not a Special Circumstances."

was clear. or given the NRC's current major rule and has verified this B. CivilPenal7 inf rmation, appropriate. As previously determination with the Office of addressed, this section also includes information and Regulatory Affairs of

1. Base Civil Penalty that the NRC may refrain from issuing OMB.

Table 1 A'has been r' vised to correct enf reement action for violations Accordingly, the NRC Enforcement e

the inadvertent omission of a footnote resulting from matters beyond a Policy is revised to read as follows:

that indicates that large firms engaged in Itcensee's control. Howiver, licensees GENERAL STATEMENT OF POLICY AND manufacturing or distribution of are generally responsible for the actions PROCEDURE FOR NRC ENFORCEMENT byproduct source, or special nuclear of its employees. The revised text.

ACTIONS material be considered as industrial consistent with long-standing NRC Table of Contents i

processors. Table 1 A had included this interpretation, makes it clear that

}

footnote prior to the 1995 policy licensees are also responsible for the Preface i

revision and this footnote was included actions of their contractors.

1. Introduction and Purpose i

in the table in the draft Federal Register Appendix A: Safety and Compliance

,S tu o y Au

^ "

" pr ity or publ c tion n he ta e {n This appendix has been added to B. Procedural Framework Section II.D.7.c of NUREG-1525. Table address the NRC'r philosophy on the ylgsgns bil tte 1 A has also been revised to include nexus between safety and compliance.

A. Aggregation of Violations additional guidance in determining Appendix B: Supplements-Violation B. Repeutive Violations which category material users should be Examples C. Willful Violations considered under by including "other D. Violadons of Reporting Requirements large material users" in category "c" This appendix was administratively V. Predecisional Enforcement Conferences and "other small materials users" in created as a result of the addition of VI. Enforcement Actions

{

cateEo'Y "d'"

Appendix A and includes the previous A. Notice of Violation guidance included in the Supplements B. Civil Penalty j

VII. Exercise of Discretion section of the policy.

1. Base Civil Penalty

)

2.CivilPenalty Assessment B. Mitigation o/ Enforcement Sanctions Supplement VII-Miscellaneous

a. Initial Escalated Action Section VILB.I. " Licensee-1dentified Matters

b. Credit for Actions Related to i

Severity Leve1IV Violations." is being Examples B.4 and C.4 have been I

c.Cred for Prompt and Comprehensive

{

modified to address licensee-identified revised to reflect NRC practice in Corrective Action j,

violations that are identified as a result applying Severity Level 11 and III

d. Exercise of Discreuon i

of an event.On December 10.1996 (61 categorization for violations involving C. Orders FR 65088), the Commission issued a i

discrimination. In particular. Severity D. Related Administrative Actions revision to the Enforcement Policy that Level Il categorization is appropriate for Vll. Exercise of Discretion l

included a modification to the criterion discriminatory acts by middle to upper A. Escalation of Enforcement Sanctions I

in Section VII.B.I.a. Specifically, the management, not simply any level

1. Civil Penalties

)

phrase " including identification above first-line supervision. Severity iy Civil Penalties through an event was deleted from the Level III categorization is appropriate E. Mitigation of Enforcement Sanctions criterion.The modification was for low-level supervision and

1. Licensee-ldentifled Severity Level IV intended to make it clear that use of management. even if they are above a Violations discretion is not automatic if the first-line supervisor.

2. Violations identified During Extended violation is identified through an event.

Shutdowns or Work Stoppages I

A footnote is being included to the Paperwork Reducuon Act

3. Violations involving old Design Issues criterion to address how the NRC will This policy statement does not

4. Violations identified Due to Previous normally consider violations that are contain a new or amended information vo 10gDiscriminauon identified as a result of an event.

collection requirement subject to the 5.

a lo The Commission recognizes that there Paperwork Reduction Act of 1995 (44

6. ViolauonsInvolving Special circumstances may be particular circumstances in a U.S.C. 3501 et seq.). Existing C. Exercise of Discretion for an Operaung case where discretion is warranted and requirements were approved by the Facility the NRC should refrain from issuing Office of Management and Budget, VIIL Enforcement Actions involving enforcement action. Sections VILB.3.

approval number 3150-0136. The Individuals VILB.4. and Vll.B.6 of the Enforcement approved information collection IX. Inaccurate and incomplete Informadon Policy provide that discretion may be requirements contained in this policy X. Enforcement Action Against Non-warranted for certain Severity Level 11 statement appear in Section VII.C.

LIC'"5

and III violations. If the circumstances XI. Referrais to the Department of justice of a particular case may warrant Public Protection Notification XII. Public Disclosure of Enforcement

^""

discretion at Severity Level 11 or 111. then The NRC may not conduct or sponsor-XIIL R i ening Closed Enforcement Actions discretion may also be appropriate at and a person is not required to respond Appendix A: Safety and Compliance Severity Level IV. Therefore, changes to, a collection of information unless it Appendix B: Supplements-Violation have been made to the examples to displays a currently valid OMB control Examples reflect that the NRC may choose to number.

refrain from issuing a Notice of Ps.eface Violation for a Severity LevelIV Small Business Regulatory Enforcement violation.

Fairness Act The following statement of general policy and procedure explains the Section VILB.6 was also modified to in accordance with the Small enforcement policy and procedures of include additional factors for Business Regulatory Enforcement the U.S. Nuclear Regulatory consideration. including whether the Fairness Act of 1996, the NRC has Commission (NRC or Commission) and 3

NUREG 1600, Rev.1

- a

Frd:rcl RIgister/Vol. 63. No. 92/ Wednesday May 13.1998 / Notices 26633 the NRC staff (staff) in initiating providing reasonable assurance of penalties (i.e.. monetary fines and enforcement actions, and of the adequate protection for the public in imprisonment) for willful violations of presiding officers and the Commission connection with the use of source.

the Act and regulations or orders issued in reviewing these actions.This byproduct and special nuclear under sections 65.161(b).161(i). or statement is applicable to enforcement materials. Compliance means meeting 161(o) of the Act. Section 223 provides in matters involving the radiological regulatoryrequirements. Appendix A to that criminal penalties may be imposed health and safety of the public, this policy statement describes the on certain individuals employed by including employees' health and safety, nexus between safety and compliance.

firms constructing or supplying basic components of any utilization facility if the common defense and security, and II. Statutory Authority and Procedural the individual knowingly and willfully the environment.1 This statement of Framework g neral policy and procedure will be violates NRC requirements such that a published as NUREG-1600 to provide A. Statutory Authority basic component could be significantly impaired. Section 235 provides that widespread dissemination of the The NRC's enforcementjurisdiction is criminal penalties may be imposed on Commission s Enforcement Policy.

drawn from the Atomic Energy Act of Persons who interfere with inspectors.

However, this is a policy statement and 1954, as amended, and the Energy Seed n 236 provides that criminal not a regulation.The Commission may Reorganization Act (ERA) of 1974, as Penalties may be imposed on persons deviate from this statement of policy amended' 61 of the Atomic Energy Act who attempt to or cause sabotage at a and procedure as appropriate under the Section 1 nuclear facuhy or to uclear fuel.

circumstances of a particular case.

authorizes the NRC to conduct Alleged or suspected criminal violations

1. Introduction and Purpose inspections and investigations and to f the Atomic Energy Act are referred to issue orders as may be necessary or the Department of Justice for The purpose of the NRC enforcement desirable to promote the common appropriate action.

program is to support the NRC s overall defense and security or to protect health or to minimize danger to life or B. ProceduralFramework saf ssion n P

c g

nt Property. Section 186 authorizes the Subpart B of 10 CFR Part 2 of NRC's that purpose, enforcement action should NRC to revoke licenses under certain regulations sets forth the procedures the W ed-circumstances (e.g., for material false NRC uses in exercising its enforcement e As a deterrent to emphastre the Statements in re5Ponse to conditions authority.10 CFR 2.201 sets forth the

.importance of compliance with that would have wananted refusal of a procedures for issuing notices of requirements. and HCerm 2 an original application. for a violation.

. To encourage prompt identification licensee s allure t build or operhte a The procedure to be used in assessing and prompt, comprehensive correction facility in accordance with the terms of civil penalties is set forth in 10 CFR of violations-the permit or license, and for violation 2.205. This regulation provides that the Consistent with the purpose of this of an NRC regulation).Section 234 civil penalty process is initiated by authorizes the NRC to impose civil issuing a Notice of Violation and reerne e ion i aken when dealing with licensees. contractors.2 and-Penalties not to exceed $100.000 per Proposed Imposition of a Civil Penalty.

vi lation per day for the violadon of The licensee or other person is provided their employees. who do not achieve the certain specified licensing provisions of an opportunity to contest in writing the necessary meticulous attention to detail the Act, rules, orders, and license terms proposed imposition of a civil penalty.

cnd the high standard of comp ance implementing these provisions, and for After evaluation of the response, the li which the NRC expects.8 Each violations for which licenses can be civil penalty may be mitigated, remitted.

enforcement action is dependent on the revoked. in addition to the enumerated or imposed. An opportunity is provided circumstances of the case and requires provisions in section 234 sections 84 for a hearing if a civil penalty is the exercise of discretion after and 147 authorize the imposition of imposed. lf a civil penalty is not paid consideration of this enforcement civil penalties for violations of following a hearing or if a hearing is not policy. In no case, however, will regulations implementing those requested, the matter may be refened to licensees who cannot achieve and provisions. Section 232 authorizes the the U.S. Department of Justice to maintain adequate levels of afety be NRC to seek injunctive or other institute a civil action in District Court.

The procedure for issuing an order to permitted to conduct licensed activities. equitable relief for violation of institute a proceeding to modify, Far purposes of this policy statement, regulatory requirements, sa'ety means avoiding undue risk, i.e..

Section 206 of the Energy suspend. or revoke a license or to take Reorganization Act authorizes the NRC other action against a licensee or other to impose civil penalties for knowing person subject to the jurisdiction of the Anutrust e orce nt matters wul be dealt with and conscious failures to provide Commission is set forth in 10 CFR

The term contractor" as used in this policy inicudes vendors who supply products or services certain safety information to the NRC.

2.202. The licensee or any other person to be used in an NRC. licensed facility or activity Notwithstanding the $100.000 limit adverrely affected by the order may sThis poucy primartly addresses the acuvities of stated in the Atomic Energy Act. the request a bearing.The NRC is Y

Commission may impose higher civil authorized to make orders immediately eTtNn iIrNN ghou i

che poucy. However. in those cases where the NRC Penalties as provided by the Debt effective if required to protect the public determines that it is appropriate to take Collectiorilmprovement Act of 1996.

health, safety, or interest or if the enforcement neuon against a non.ucensee or Under the Act, the Commission is violation is willful. Section 2.204 sets individual. the guidance in Ons pohey win be used required to modify civil monetary out the procedures for issuing a Demand suNb"' ho1Nrs of or penalties to reflect inflation. The for Information (Demand) to a licensee appucants for. NRC approvals. e g. certificates of adjusted maximum civil penalty amount or other person subject to the co r comphance, early site permits. or standard design is reflected in 10 CFR 2.205 and this Commission'sjurisdiction for the

$fcNUNc *g*iWregaYng"erdorcement Policy Statement.

purpose of determining whether an Chapter 18 of the Atomic Energy Act order or other enforcement action action against individuals and non-hcensees is

~ hould be issued. The Demand does not addressed in sections vin and x. respectively.

provides for varying levels of criminal s

NUREG-1600, Rev.1 4

I l

26634 Fed:rtl R:girttr/Vol. 63. No. 92/Wedn:sday. May 13.1998 / Notices provide hearing rights, as only penalty, after considering the general significance, is evaluated as the first information is being sought. A licensee principles of this statement of policy step in the enforcement process. In must answer a Demand. An unlicensed and the technical and regulatory considering the significance of a i

person may answer a Demand by either significance of the violations and the violation, the staff considers the 1

providing the requested information or surrounding circumstances.

technical significance, i.e.. actual and I

explaining why the Derhand should not Unless Commission consultation or potential consequences, and the have been issued.

notification is required by this policy, regulatory significance. In evaluating III. Responsibilities the NRC staff may depart, where the technical significance, risk is an warranted in the public's interest. from appropriate consideration.

The Executive Director for Operations this policy as provided in Section VII, Consequently, for purposes of formal (EDO) and the principal enforcement

" Exercise of Enforcement Discretion.-

enforcement action, violations are officer of the NRC the Deputy Executive The Commission will be provided normally categorized in terms of four Director for Regulatory Effectiveness, written notification of all enforcement levels of severity to show their relative hereafter referred to as the Deputy actions involving civil penalties or importance within each of the following Executive Director, has been delegated orders. The Commission will also be eight activity areas:

i the authority to approve or issue all provided notice the first time that I. Reactor Operations:

escalated enforcement actions.4 The discretion is exercised for a plant II. Facility Construction; Deputy Executive Director is meeting the criteria of Section VII.B.2.

III. Safeguards; responsible to the EDO for the NRC The Commission is also to be provided IV. Health Physics; enforcement program.The Office of notification (where appropriate, based V. Transportation:

Enforcement (OE) exercises oversight of n the uniqueness or significance of the VII. Miscellaneous Matters; and VI. Fuel Cycle and Materials Operations:

and implements the NRC enforcement

" e g e iteria of VI!!. Emergency Preparedness.

program. The Director. OE, acts for the ct I 6 In s Deputy Executive Director in Commission will be consulted prior to Licensed activities will be placed in enforcement matters in his absence or as taking action in the following situations the activity area most suitable in light of delegated.

Subject to the oversight and direction (unless the urE*"#Y of the situation the particular violation involved dictates immediate action):

including activities not directly covered of OE, and with the approval of the by one of the above listed areas, e.g.,

II}

Deputy Executive Director, where export license activities. Within each necessary. the regional offices normally oPer t e9 c 8 he issue Notices of Violation and proposed Public health and safety or common activity area. Severity Level I has been assigned to violations that are the most civil penalties. However, subject to the defense and security implications of not 51 nificant and Severity LevelIV 8

same oversight as the regional offices, perating with the potential radiological violations are the least significant.

r ther hazards associated with the Office of Nuclear Reactor Regulation Severity Level I and 11 violations are of (NRR) and the Office of Nuclear e ntinuedoperation:

very significant regulatory concern. In Material Safety and Safeguards (NMSS)

(2) Proposals to impose a civil penalty general, violations that are included in may also issue Notices of Violation and for a single violation or problem that is these severity categories involve actual proposed civil penalties for certain greater than 3 times the Severity Level

. or high potential impact on the public.

activities. Enforcement orders are I value shown in Table 1 A for that class Severity Level III violations are cause f licensee; normally issued by the Deputy for significant regulatory concern.

Executive Director or the Director. OE.

(3) Any proposed enforcement action Severity Level IV violations are less However, orders may also be issued by that involves a Severity LevelI serious but are of more than minor the EDO. especially those involving the violation; concern; i.e., if left uncorrected. they more significant matters. The Directors (4) Any action the EDO believes could lead to a more serious concern.

of NRR and NMSS have also been warrants Commission involvement:

The Commission recognizes that there delegated authority to issue orders, but (5) Any proposed enforcement case are other violations of minor safety or it is expected that normal use of this involving an Office of Investigations environmental concern which are below authority by NRR and NMSS will be (01) report where the NRC staff (other the level of significance of Severity confined to actions not associated with than the 01 staff) does not arrive at the LevelIV violations. These minor compliance issues. The Chief Financial same conclusions as those in the 01

. violations are not the subject of formal l

Officer has been delegated the authority report concerning issues of intent if the enforcement action and are not usually to.ssue orders where licensees violate Director of OI concludes that described in inspection reports. To the Commission regulations by nonpayment Commission consultation is warranted; extent such violations are described.

of license and ins etion fees.

and they will be noted as violations of minor in recognition t the regulation of (6) Any proposed enforcement action significance that are not subject to nuclear activities in many cases does on which the Commission asks to be formal enforcement action.

not lend itself to a mechanistic consulted.

Comparisons of significance between treatment, judgment and discretion IV. Severity of Violations activity areas are inappropriate. For must be exercised in determining the example, the immediacy of any hazard severity levels of the violations and the Regulatoryrequirements have to the public associated with Severity s

a 1,

appropriate enforcement sanctions, varying degrees of safety, safeguards. or Level l violations in Reactor Operations including the decision to issue a Notice environmental significance. Therefore, is not directly comparable to that of Violation, or to propose or impose a the relative importance of each associated with Severity Levell civil penalty and the amount of this violation. including both the technical violations in Facility Construction.

significance and the regulatory Supplements I through VIII provide me term escalated enforcement acuon as examples and serve as guidance in used in this policy means a Nouce of v olation or s The term " requirement" as used in this policy civil penalty for any severity Level 1.11. or !!!

means a legally binding requirement such as a determining the appropriate severity violauon (or problem) or any order based upon a statute. regulauon. license condiuon. techrucal level for violations in each of the eight.

violauon.

spectncauon. or order.

activity areas. However, the examples j

5 NUREG 1600, Rev. I

Fed:rcl R:gisttr/Vol. 63. No. 92 / Wednesday. May 13.1998 / Notices 26635 tre neither exhaustive nor controlling.

previous corrective actions, the period time such that it willfully continues, the in addition. these examples do not of time between the violations, and the violation should be categorized at least create new requirements. Each is significance of the violations.

at a Severity Level IV.

designed to illustrate the significance C. Willful Violation D. Violations of Reporting Requirements that the NRC places on a particular type of violation of NRC requirernents. Each Willful violations are by definition of The NRC expects licensees to provide of the examples in the supplements is Particular concern to the Commission complete, accurate, and timely predicated on a violation of a regulatory because its regulatory program is based mformation and reports. Accordingly, on licensees and their contractors, unless otherwise categorized in the 4

requirement.

The NRC reviews each case being employees, and agents acting with Supplements, the severity level of a considered for enforcement action on its integrity and communicating with violation involving the failure to make own merits to ensure that the severity of candor. Willful violations cannot be a required report to the NRC will be a violation is characterized at the level tolerated by either the Commission or a based upon the significance of and the best suited to the significance of the licensee. Licensees are expected to take circumstances surrounding the matter particular violation. In some cases, significant remedial action in that should have been reported.

special circumstances may warrant an responding to willful violations However the severitylevelof an cdjustment to the severity level commensurate with the circumstances untimely report in contrast to no report.

such that it demonstrates the may be reduced depending on the cctegorization.

seriousness of the violation thereby circumstances surrounding the matter.

A. Aggregation of Violations creating a deterrent effect within the A licensee will not normally be cited for A group of Severity LevellV licensee's organization. Although a failure to repon a condition or event violations may be evaluated in the removal of the person is not necessarily unless the licensee was actually aware rggregata and assigned a single, required. substantial disciplinary action of the condition or event that it failed increased severity level thereby is expected.

to report. A licensee will, on the other resulting in a Severity Leveilli problem.

Therefore, the severity level of a hand. normally be cited for a failure to if the violations have the same violation may be increased if the report a condition or event if the underlying cause or programmatic circumstances surrounding the matter licensee knew of the information to be deficiencies, or the violations involve careless disregard of reported, but did not recognize that it contributed to or were unavoidable requirements. deception, or other was required to make a teport.

consequencesof theunderlying indications of willfulness. The term V. Predecisional Enforcement problem. Normally Severity Level 11 willfulness as used in this policy Conferences tnd 111 violations are not aggregated into embraces a spectrum of violations Whenever the NRC has learned of the a higher severity level.

ranging from deliberate intent to violate The purpose of aggregatingviolations or falsify to and including careless existence of a potential violation for which escalated enforcement action is to focus the licensee's attention on the disregard for requirements. Willfulness fundamental underlying causes for does not include acts which do not rise appears to be warranted, or recurring nonconformance on the part of a which enforcement action appears to the level of careless disregard. e.g..

c ntractor, the NRC may provide an warranted and to reflect the fact that inadvertent clerical errors in a several violations with a common cause document submitted to the NRC. In Opportunity for a predecisional enforcement conference with the may be more significant collectively determining the specific sever;ty level licensee, contractor, or other person than individually and may, therefore, of a violation involving willfulness, before taking enforcement action. The warrant a more substantial enforcement consideration will be given to such Purpose of the conference is to obtain action.

factors as the position and inf rmation that will assist the NRC in responsibilities of the person involved B. Repetitive Violations in the violation (e.g.. licensee official, determining the appropriate enforcement action, such as: (1) A The severity level of a Severity Level or non-supervisory employee), the comm n understanding of facts, root IV violation may be increased to significance of any underlying violation, causes and missed opportunities Severity LevelIII, if the violation can be the intent of the violator (i.e., careless associated with the apparent violations, considered a repetitive violation.* The disregard or deliberateness), and the (2) a common understanding of purcose of escalating the severity level economic or other advantage,if any.

corrective actions taken or planned and of '. repetitive violation is to gained as a result 'of the violation.The (3) a common understanding of the ac Knowledge the added significance of relative weight given to each of these significance of issues and the need for the situation based on the licensee's factors in arriving at the appropriate last ng c eh bs failure to implement effective corrective severity level will be dependent on the

(

e 9

es action for the previous violation. The circumstances of the violation.

sufficient information to make an decision to escalate the severity level of However. If a licensee refuses to correct informed enforcement decision. a a repetitive violation will depend on the a minor violation within a reasonable conference will not normally be held.

circumstances, such as, but not limited However, an opportunity for a to, the number of times the violation has

'The tam licensee ofncial" as used in this conference will normally be provided

{

occurred, the similarity of the violations Pohey "atemun uns a tira.lirw supervisor or above. a licensed individual. a radiation safety before issuing an order based on a and their root causes. the adequacy of orncer. or an authorized user of licensed material violation of the rule on Deliberate h" "di"8 Misconduct or a civil penalty to an

• The term *repeutive violation *' or "similar ind i ua s ti e I unlicensed person. lf a conference is not violauon" as used in this policy statement means categorization for willful acts involving individuais a violauon that reasonably could have been who can de considered incensee ornciais will held, the licensee may be requested to prevented by a licensee's correcuve acuon for a consider seve al factors. including the postuon of provide a written response to an previous violadon normally occurring (1) within the indav6 dual relauve to tre licensee's in5Pection report, if issued, as to the the past 2 years of the inspecuon at issue. or (2) th organizational structure and the indMoual's licensee s views on the apparent period within the last two inspections, whichever responsibilities relative to the oversight of licensed is longer.

acuvlues and to the use of incensed material.

violations and their root causes and a NUREG 1600, Rev.1 6

}

26636 Fed:ral R gist:r/Vol. 63. No. 92/ Wednesday. May 13.1998 / Notices description of planned or implemented conferences, with the approval of the case the associated predecisional corrective actions. However if the NRC Executive Director for Operations, enforcement conference will normally has sufficient information to conclude conferences may either be open or be open to public observation. In a that a civil penalty is not warranted, it closed to the public after balancing the conference where a particular may proceed to issue an enforcement benefit of the public's observation individualis being considered action without first obtaining the against the potentialimpact on the potentially responsible for the licensee's response to the inspection agency's decision-making process in a discrimination. the conference will

report, particular case.

remain closed. In either case (i.e..

During the predecisional enforcement The NRC will notify the licensee that whether the conference is open or conference, the licensee, contractor. or the conference will be open to public closed).the employee or former other persons will be given an observation. Consistent with the employee who was the subject of the i

opportunity to provide information agency's policy on open meetings. " Staff alleged discrimination (hereafter consistent with the purpose of the Meetings Open to Public." published referred to as " complainant") will conference, including an explanation to September 20.1994 (59 FR 48340), the normally be provided an opportunity to the NRC of the immediate corrective NRC intends to announce open participate in the predecisional actions (if any) that were taken conferences normally at least 10 enforcement conference with the I

following identification of the potential working days in advance of conferences licensee / employer.This participation violation or nonconformance and the through (1) notices posted in the Public will normally be in the form of a i

long term comprehensive actions that Document Room. (2) a toll free complainant statement and comment on were taken or will be taken to prevent telephone recording at 800-952-9674.

the licensee's presentation. followed in recurrence. Licensees. contractors, or (3) a toll-free electronic bulletin board at turn by an opportunity for the licensee other persons will be told when a 800-952-9676, and on the World Wide to respond to the complainant's meeting is a predecisional enforcement Web at the NRC Office of Enforcement presentation. In cases where the i

conference.

homepage (www.nrc. gov /OE). In complainant is unable to attend in l

A predecisional enforcement addition the NRC will also issue a press person arrangements will be made for I

conference is a meeting between the release and notify appropriate State the complainant's participation by i

NRC and the licensee. Conferences are liaison officers that a predecisional telephone or an opportunity given for j'

normally held in the regional offices enforcement conference has been the complainant to submit a written and are normally open to public scheduled and that it is open to public response to the licensee's presentation.

observation. Conferences will not observation.

If the licensee chooses to forego an normally be open to the public if the The public attending open enforcement conference and instead, enforcement action being contemplated: conferences may observe but may not responds to the NRC's findings in (1) Would be taken against an Participate in the conference. it is noted writing. the complainant will be

' individual, or if the action though not that the purpose of conducting open provided the opportunity to submit taken against an individual, turns on conferences is not to maximize public written comments on the licensee's whether an individual has committed attendance, but rather to provide the response. For cases involving potential wrongdoing; Public with opportunities to be discrimination by a contractor any (2) Involves significant personnel with the NRC,RC activities consistent associated predecisional enforcement informed of N s ability to exercise its conference with the contractor would be failures where the NRC has requested that the individual (s) involved be regulatory and safety responsibilities.

present at the conference.

Therefore, members of the public will handled similarlY. These arran8ements (3) is based on the findings of an NRC be allowed access to the NRC regional I'[e]sio Pe n r nt c er ce Office ofInvestigations report that has offices to attend open enforcement are not to be conducted or viewed in not been publicly disclosed; or conferences in accordance with the (4) Involves safeguards information,

" Standard Operating Procedures For any respect as an adjudicatory hearing.

Privacy Act information, or information Providing Security Support For NRC The purpose of the complainant s which could be considered proprietary; Hearings and Meetings." published Panicipation is to provide information to the NRC to assist it in its enforcement In addition. conferences will not November 1.1991 (56 FR 56251).These deliberations.

normally be open to the public if:

procedures provide that visitors may be (5) The conference involves medical subject to personnel screening. that A predecisional enforcement 1

mindministrations or overexposures signs. banners posters etc.. not larger conference may not need to be held in 4

aru the conference cannot be conducted than 18" be permitted, and that cases where there is a full adjudicatory I

without disclosing the exposed disruptive persons may be removed.

record before the Department of Labor.

if a conference is held in such cases.

I individual's name; or The open conference will be terminated (6) The conference will be conducted if disruption interferes with a successful generally the conference will focus ort by telephone or the conference will be conference. NRC's Predecisional the licensee's corrective action. As with conducted at a relatively small Enforcement Conferences (whether open discrimination cases based on O!

licensee's facility.

or closed) normally will be held at the investigations, the complainant may be Notwithstanding meeting any of these NRC's regional offices or in NRC allowed to participate.

criteria, a conference may still be open Headquarters Offices and not in the Members of the public attending open l

if the conference involves issues related vicinity of the licensee's facility.

conferences will be reminded that (1)

?

to an ongoing adjudicatory proceeding For a case in which an NRC Office of the apparent violations discussed at with one or more intervenors or where Investigations (01) report finds that predecisional enforcement conferences the evidentiary basis for the conference discrimination as defined under 10 CFR are subject to further review and may be f

is a matter of public record, such as an 50.7 (or similar provisions in Parts 30.

subject to change prior to any resulting adjudicatory decision by the 40,60. 70. or 72) has occurred. the 01 enforcement action and (2) the Department of Labor. In addition.

report may be made public, subject to statements of views or expressions of notwithstanding the above normal withholding certain information (i.e.,

opinion made by NRC employees at criteria for opening or closing after appropriate redaction), in which predecisional enforcement conferences.

7 NUREG 1600, Rev.1

Feder:1 Regist;r/Vol. 63. No. 92/Wedn sday M y 13.1998 / Notices 26637 or the lack'thereof, are not int;ndrd to require r:sponses to Notices cf Violation into tccount the gravity of the violition r:present final determinations or beliefs. to be under oath. Normally, responses as a primary consideration and the When needed to protect the public under oath will be required only in ability to pay as a secondary health and safety or common defense connection with Severity Level 1.11. or consideration. Generally operations cnd security, escalated enforcement til violations or orders.

involving greater nuclear material action such as the issu nce,of an The NRC uses the Notice of Violation inventories and greater potential immediately effective order, will be as the usual method for formalizing the consequences to the public and licensee taken before the conference. In these existence of a violation. Issuance of a employees receive higher civil c:ses, a conference may be held after the Notice of Violation is normally the only penalties. Regarding the secondary escalated enforcement action is taken.

enforcement action taken except in factor of ability of various classes of cases where the criteria for issuance of licensees to pay the civil penalties, it is VI' Enforcement Actions civil penalties and orders, as set forth in not the NRC's intention that the This section describes the Sections VI R and VI.C. respectively, are economic impact of a civil penalty be so anforcement sanctions available to the met.

severe that it puts a licensee out of NRC ar.. specifies the conditions under business (orders, rather than civil which each may be used.The basic B. Civf1 Penalty penalties, are used when the intent is to c nforcement sanctions are Notices of A civil penalty is a monetary penalty suspend or terminate licensed activities)

Violation. civil penalties, and orders of that may be imposed for violation of (1) or adversely affects a licensee's ability various types. As discussed farther in certain specified licensing provistor.s of to safely conduct licensed activities.

Section VI.D. related administrative the Atomic Energy Act or The deterrent effect of civil penalties is cctions such as Notices of supplementary NRC rules or orders: (2) best served when the amounts of the Nonconformance. Notices of Deviation, any requirement for which a license penalties take into account a licensee's Confirmatory Action Letters. Letters of may be revoked;or (3) reporting ability to pay,in determining the Reprimand and Demands for requirements under section 206 of the amount of civil penalties for licensees Information are used to supplement the Energy Reorganization Act. Civil for whom the tables do not reflect the enforcement program. In selecting the penalties are designed to deter future ability to pay or the gravity of the cnforcement sanctions or administrative violations both by the involved licensee violation.the NRC will consider as actions the NRC will consider as well as by other licensees conducting necessary ary/ncrease or decrease on a enforcement actions taken by other similar activities and to emphasize the case-by-case basis. Normally. If a Federal or State regulatory bodies need for licensees to identify violations licensee can demonstrate financial having concurrentjurisdiction, such as and take prompt comprehensive hardship, the NRC will consider in transportation matters.

corrective action.

payments over time, including interest.

Usually, whenever a violation of NRC Civil penalties are considered for rather than reducing the amount of the requirements cf more than a minor Severity Level III violations. In addition. civil penalty. However, where a licensee concern is identified, enforcement civil penalties will normally be assessed claims financial hardship, the licensee action is taken. The nature and extent of for Severity Level I and 11 violations and will normally be required to address the enforcement action is intended to knowing and conscious violations of the why it has sufficient resources to safely r;ilect the seriousness of the violation reporting requirements of section 206 of conduct licensed activities and pay involved. For the vast majority of the Energy Reorganization Act.

license and inspection fees.

j violations, a Notice of Violation or a Civil penalties are used to encourage

2. Civil Penahy Assessment Notice of Nonconformance is the normal prompt identification and prompt and action.

comprehensive correction of viointions.

In an effort to (1) emphasize the However, circumstances regarding the to emphasize compliance in a manner importance of adherence to violation findings may warrant that deters future violations, and to requirements and (2) reinforce prompt discretion being exercised such that the serve to focus licensees

• attention on self identification of problems and root NRC refrains from issuing a Notice of violations of significant regulatory causes and prompt and comprehensive correction of violations, the NRC Violation or other enforcement action.

concern.

(See Section VII.B. " Mitigation of Although management involvement, reviews each proposed civil penalty on Enforcement Sanctions.")

direct or indirect. In a violation may its own merits and, after considering all lead to an increase in the civil penalty, relevant circumstances. may adjust the A. Notice of Violation the lack of management involvement base civil penalties shown in Table 1 A 5 Notice of Violation is a written may not be used to mitigate a civil and 1B for Severity Level 1.11. and 111 notice setting forth one or more penalty. Allowing mitigation in the violations as described below.

violations of a legally binding latter case could encourage the lack of The civil penalty assessment process requirement.The Notice of Violation management involvement in licensed considers four decisional points: (a) normally requires the recipient to activities and a decrease in protection of Whether the licensee has had any provide a written statement describing the public health and safety.

Previous esi.alated enforcement action (1) the reasons for the violation or, if (regardless of the activity area) during contested, the basis for disputing the

1. Base Civil Penalty the past 2 years or past 2 inspections.

violation: (2) corrective steps that have The NRC imposes differentlevels of whichever is longer; (b) whether the i

been taken and the results achieved; (3) penalties for.different severity level licensee should be given credit for corrective steps that will be taken to violations and different classes of actions related to identification: (c) prevent recurrence; and (4) the date licensees, contractors, and other whether the licensee's corrective actions when full compliance will be achieved.

persons. Tables I A and IB show the are prompt and comprehensive; and (d)

. The NRC may waive all or portions of base civil penalties for various reactor, whether. in view of all the a written response to the extent relevant fuelcycle, and materials programs.

circumstances, the matter in question information has already been provided (Civil penalties issued to individuals are requires the exercise of discretion.

to the NRC in writing or documented in determined on a case-by-case basis.) The Although each of these decisional an NRC inspection report.The NRC may structure of these tables generally takes points may have several associated NUREG-1600, Rev.1 8

26638 Fed;rc.I Register / Vol. 63. No. 92/ Wednesday. May 13,1998 / Notices considerations for any given case, the of the following three results: no civil representation of the civil penalty outcome of the assessment process for penalty, a base civil penalty, or a base assessment process.

each violation or problem. absent the civil penalty escalated by 100% The situwa coos 7se 4w exercise of discretion, is limited to one flow chart presented below is a graphic YES CP YES CA CREDIT

?

Ist NON-WILLFUL NO SL lli IN YES N

BASE CP ID CREDIT

• NO

?

YES NO CA CREDIT

?

BASE NO CP

+100%

• amound the noensee tie given credit ser assions reisted to identinomeent h.Jtecr.oc. ion,eJti,,.n.it.en.ssons.shouldnonneur

., St.1 and N vloi t..

.e..

.d ca.

s u ocaosts m e violation the starting point would be licensee should be given credit for

a. Initia1 Escalated Action. When the when the NRC puts the licensee on actions related to identification.

NRC determines that a non-willful notice, which could be during the in each case, the decision should be Severity Level 111 violation or problem inspection.at the inspection exit focused on identification of the problem has occurred. and the licensee has not meeting, or as part of post-inspection requiring corrective action. In other had any previous escalated actions communication.

words. although giving credit for IdentfDeation and Corrective Action (regardless of the activity area) during If 6e corrective action is judged to be should be separate decisions, the the past 2 years or 2 inspections, Pro t "d rehensi" whichever is longer, the NRC will Y,9}db ud c ncept ofIdentincation presumes that n n9 the identifier recognizes the existence of

,}

consider whether the licensee s coirective action for the present with no associated civil penalty. lf the a problem.'and understands that violation or problem is reasonably c rrective action isjudged to be less corrective action is needed.The prompt and comprehensive (see the than prompt and comprehensive, the decision on Identincation requires discussion under Section VI.B.2.c.

Notice of Violation normally should be considering all the circumstances of below). Using 2 years as the basis for issued with a base civil penalty.

identification including:.

assessment is expected to cover most

b. Credit far Actions Related to (1) Whether the problem requiring situations, but considering a slightly.

Identincation. (1) If a Severity LevelI or ' corrective action was NRC-identified, longer or shorter period might be 11 violation or a willful Severity Level III licensee identified. or revealed through warranted based on the circumstances violation has occurred--or if, during the an event ;

[

of a particular case.The starting point past 2 years or 2 inspections, whichever of this period should be considered the is longer, the licensee has been issued 8 An

• event." as used here. means 0) an ennt

$*p""y',d by an aan,w erw a on date when the licensee was put on at least one other escalated action-the p

,nn, 9,

y human notice of the need to take corrective civil penalty assessment should obsuvauon or instrumentation. or (2) a radiological action. For a licensee-identified normally consider the factor of impact on personnel or the environment in excess violation or an event, this would be identification in addition to corrective of regulatory umits such as an overexposure, a t

' bon trn "' "

when the licensee is aware that a action (see the discussion under Section N"f NN"* * *'at For

, p n

problem or violation exists requiring VI.B.2.c. below). As to 1,dentification.

equtpment tauure discovered through a spill of corrective action. For an NRC-identified the NRC should consider whether the hquad. a loud noise, the fallure to have a system 9

NUREG-1600, Rev.1

Federal R:gitttr/Vol. 63. No. 92 / Wednesday. May 13.1998 / Notices 26639 (ii) Whether prior opportunities Any of these considerations may be available to the licensee that caused the existed to identify the problem requiring overriding if particularly noteworthy or NRC concern the specificity of the corrective action. and if so. the age and particularly egregious For example,if NRC's concern, the scope of the number of those opponunities; the event occurred as the result of licensee's efforts, the level of licensee (iii) Whether the problem was conducting a surveillance or similar resources given to the investigation, and r:vealed as the result of a licensee self-self. monitoring effort (i.e., the licensee whether the NRC's path of analysis had monitoring effort such as conducting an was looking for the problem) the been dismissed or was being pursued in audit, a test, a surveillance, a design licensee should normally be given credit parallel by the licensee.

review, or troubleshooting; for identification. As a second instance.

In some cases, the licensee may have (iv) For a problem revealed through even if the problem was easily addressed the isolated symptoms of an event. the case of discovery. and the discovered (e g.. revealed by a large spill each violation (and may have identified degree of licensee initiative in of liquid), the NRC may choose to give the violations), but failed to recognize identifying the root cause of the credit because noteworthy licensee the common root cause and taken the problem and any associated violations; effort was exerted in ferreting out the necessary comprehensive action. Where (v) For NRC-identified issues, whether root cause and associated violations, or this is true. the decision on whether to th2 licensee would likely have simply because no prior opportunities give licensee credit for actions related to identified the issue in the same time-(e-E Procedural cautions. post-Identification should focus on period if the NRC had not been maintena..ce testing, quality control identification of the problem requiring involved:

failures. readily observable parameter corrective action (e.g., the programmatic (vi) For NRC-identified issues, trends, or repeated or locked-in breakdown). As such, depending on the whether the licensee should have annunciator warnings) existed to chronology of the various violations, the identified the issue (and taken action) identify the problem.

earliest of the individual violations ccrlier; and (iii) NRC-Identified. When a problem might be considered missed (vil) For cases in which the NRC requiring corrective action is NRC-opportunities for the licensee to have identifies the overall problem requiring identified. the decision on whether to identified the larger problem.

corrective action (e g., a programmatic give the licensee credit for actions (v) Missed Opportunities to ldentify.

issue), the degree of licensee initiative related to identiacation should Missed opportunities include prior or lack of initiative in identifying the normally be based on an additional problem or problems requiring question: should the licensee have notifications or missed opportunities to corrective action.

reasonably identified the problem (and identify or prevent violations such as (1)

(2) Although some cases may consider taken action) earlier?

through normal surveillances, audits. or quality assurance (QA) activities; (2) cll of the above factors, the importance 8

ba ds pyo ee o

eN through prior notice, i.e., specific NRC of each factor will vary based on the type of case as discussed in the inspector's discovery (e.g.. conducting a or industry notification; or (3) through other reasonable indication of a following general guidance:

walkdown, observing in the control (1) Licensee-Identified.When a room, performing a confirmatory NRC Potential problem or violation, such as problem requiring corrective action is radiation survey, hearing a cavitating bservations of employees and contractors, and failure to take effective licensee-identified (i.e.. identified pump, or finding a valve obviously out of position). In some cases, the corrective steps. It may include findings before the problem has resulted in an licensee's missed opportunities to of the NRC, the licensee. or industry event), the NRC should normally give identify the problem might include a made at other facilities operated by the the licensee credit for actions related t similar previous violation. NRC or licensee where it is reasonable to expect identification, regardless of whether industry notices, internal audits, or the licensee to take action to identify or prior opponunities existed to identify readily observable trends.

Prevent similar problems at the facility the problem.

If the NRC identifies the violation but subject to the enforcement action at (ii) Identified Through an Event.

concludes that, under the issue. In assessing this factor.

When a problem requiring corrective circumstances, the licensee's actions consideration will be given to, among action is identified through an event, related to Identincation were not other things, the opportunities available the decision on whether to give the unreasonable the ma'ter would be to discover the violation, the ease of licensee credit for actions related to treated as licensee identified for discovery, the similarity between the ider ttfication normally should consider purposes of assessing the civil penalty.

violation and the notification, the the case of discovery,whether the event In such cases, the question of Period of time between when the occurred as the result of a licensee self-Identification credit shifts to whether violation occurred and when the monitoring effort (i.e., whether the the licensee should be penalized for notification was issued. the action taken licensee was "looking for the problem"). NRC's identification of the problem.

(or planned) by the licensee in response the degree of licensee initiative in (iv) Mixed identification. For " mixed" to the notification, and the level of identifying the problem or problems identification situations (i.e., where management review that the notification requiring corrective action, and whether multiple violations exist some NRC.

received (or should have received).

prior opportunities existed to identify identified. some licensee-identified, or The evaluation of missed the problem.

where the NRC prompted the licensee to opportunities should normally depend l

take action that resulted in the on whether the information available to rapond property. or an annunciator alarm wouid identification of the violation), the the licensee should reasonably have be constdered an event; a system discovered to be NRC's evaluation should normally caused action that would have d not.

M,3y*bte g h umentyne determine whether the licensee could prevented the violation. Missed quarterly dosametry readmgs, that employees had reasonably have been expected to opportunities is normally not applied been inadequately monitored for radiation. the identify the violation in the NRC's where the licensee appropriately issue would normally be considered licensee-absence. This determination should' reviewed the opponunity for c.isNan ove e$p e.S~EissIw" o3d te consider, among other things, the timing application to its activities and

'*' '"8 considered an event.

of the NRC's discovery, the information reasonable action was either taken or NUREG-1600, Rev.1 10

I a

26640 Feder:1 R:gister/Vol. 63. No. 92/ Wednesday. May 13.1998 / Notices planned to be taken within a reasonable In assessing this factor, consideration (ii) Makes a prompt evaluation under time.

will be given to the timeliness of the 10 CFR 50.59 if the licensee intends to in some situations the missed corrective action (including the maintain the facility or procedure in the opportunity is a violation in itself. In promptness in developing the schedule as found condition; or these cases, unless the missed for long term corrective action), the opportunity is a Severity Level 111 adequacy of the licensee's root cause (iii) Promptly initiates corrective action consistent with Criterion XVI of violation in itself, the missed analysis for the violation, and, given the opportunity violation may be grouped significance and complexity of the 10 CFR 50. Appendix B. If it intends to with the other violations into a single issue. the comprehensiveness of the restore the facility or procedure to the Severity Level 111 " problem." However.

corrective action (i.e.. whether the FSAR description.

d. kreise o if the missed opportunity is the only action is focused narrowly to the in Section Vll. [,&suenon. As pmvided Exercise of Discretion.

violation. then it should not normally be specific violation or broadly to the counted twice (i.e., both as the violation general area of concern). Even in cases discretion may be exercised by either and as a missed opportunity " double when the NRC, at the time of the escalating or mitigating the amount of counting") unless the number of enforcement conference, identifies the civil penalty determined after opportumties missed was particularly additional peripheral or minor applying the civil penalty adjustment significant.

corrective action still to be taken the factors to ensure that the proposed civil The timing of the missed opportunity licensee may be given credit in this area. Penalty reflects the NRC's concern should also be considered. While a rigid as long as the licensee's actions regarding the violation at issue and that time-frame is unnecessary, a 2-year addressed the underlying root cause and it conveys the appropriate message to period should generally be considered are considered sufficient to prevent the licensee. However, in no instance for consistency in implementation, as recurrence of the violation and similar will a civil penalty for any one violation the period reflecting relatively current violations.

exceed $ 110.000 per day.

rf Normally,thejudgmentof the (3) hen he NRC determines that the adequacy of corrective actions will TABLE 1 A-BASE CIVIL PENALTIES licensee should receive credit for hinge on whether the NRC had to take actions related to Identification the civil action to focus the licensee's evaluative

a. Power reactors and gaseous penalty assessment should normally and corrective process in order to obtain igplants

$110,000 i'

result in either no civil penalty or a base comprehensive corrective action. This 4

civil penalty, based on whether will n rmally bejudged at the time of Corrective Actionisjudged to be the predecisional enforcement fd W monitwe reve storage instalia-reasonably prompt and comprehensive, conference (e.g., by outlining tone When the licensee is not given credit for substantive additional areas where 27.500

c. Test reactors, mills and ura-actions related to Identification the civil c rrective action is needed). Earher nium conversion facilities, con-penalty assessment should normally inf rmal discussions between the tractors, waste esposal licens-result in a Notice of Violation with licensee and NRC inspectors or ees, industrial radiographers, either a base civil penalty or a base civil management may result in improved d other large material penalty escalated by 100%. depending corrective action, but should not rs 11,000 on the quality of Corrective Acuon.

normally be a basis to deny credit for

d. Research reactors, academic, because the licensee s performance is Corrective Action. For cases in which

• • • • • "*'h*'******'***'

users 5.500 clearly not acceptable.

the licensee does not get credit for

c. Credit for Prompt and actions related to Identification because

'Large firms engaged in manufacturing or Comprehensive Corrective Action. The the NRC identified the problem, the distribution of byproduct, source, or special purpose of the Corrective Action factor assessment of the licensee's corrective nuclear material is to encourage licensees to (1) take the action should begin from the time when or$edYths ta enI ot r se immediate actions necessary upon the NRC put the licensee on notice of clear services, nuclear pharmacies, and physi-discovery of a violation that will restore the problem. Notwithstanding eventual cian offees.

safety and compliance with the license-good comprehensive corrective action, if regulation (s). or other requirement (s);

immediate corrective action was not TABLE 1B-BASE CIVIL PENALTIES

{

and 12) develop and implement (in a taken to restore safety and compliance

[In percent) once the violation was identified.

timely manner) the lasting actions that corrective action would not be Base civil t

will not only prevent recurrence of the violation at issue, but will be considered prompt and comprehensive.

Severity level penalty Corrective action for violations amount' appropriately comprehensive, given the involving discrimination should significance and complexity of the 3 og' violation, to prevent occurrence of normally only be considered si so violations with similar root causes.

comprehensive if the licensee takes ill 50 Regardless of other circumstances prompt, comprehensive corrective action that (1) addresses the broader

' Percent of amount listed in Table 1 A.

(e.g., past enforcement history, l

identification), the licensee's corrective - environment for raising safety concerns C. Orders in the workplace, and (2) provides a actions should always be evaluated as remedy for the particular discrimination An order is a written NRC directive to pan of the civil penalty assessment at issue.

modify, suspend. or revoke a license; to process. As a reflection of the In response to violations of 10 CFR cease and desist from a given practice or importance given to this factor, an NRC 50.59. corrective action should normally activity; or to take such other action as judgment that the licensee's corrective be considered prompt and may be proper (see 10 CFR 2.202).

action has not been prompt and comprehensive only if the licensee:

Orders may also be issued in lieu of. or comprehensive will always result in (1) Makes a prompt decision on in addition to. civil penalties, as issuing at least a base civil penalty.

operability; and either appropriate for Severity Level I.11. or Ill 11 NUREG 1600, Rev.1

Federd Register /Vol. 63. No. 92/Wadnesday. Mrey 13.1998 / Notices 26641 vittations. Orders may be issued as NRC loses its reasonable assurance that

3. Confirmatory Action Letters are follows:

the licensee will meet NRC letters confirming a licensee's or

1. License Modification orders are requirements with that person involved contractor's agreement to take certain issued when some change in licensee in licensed activities.

actions to remove significant concerns equipment, procedures personnel, or Unless a separate response is about health and safety safeguards, or management controls is necessary, warranted pursuant to 10 CFR 2.201, a the environment.

2. Suspension Ordert may be used:

Notice of Violation need not be issued

4. Letters of Reprimand are letters (a) To remove a threat to the public where an order is based on violations addressed to individuals subject to health and safety, common defense and described in the order. The violations Commission jurisdiction identifying a security, or the environment; described in an order need not be significant deficiency in their (b) To top facility construction when. categorized by severity level.

performance of licensed activities.

(i) Further work could preclude or Orders are made effective

5. Demands for Information are significantly hinder the identification or immediately, without prior opportunity demands for information from licensees correction of an improperly constructed for hearing. whenever it is determined or other persons for the purpose of safety-related system or component; or that the public health, interest. or safety enabling the NRC to determine whether (ii) The licensee's quality assurance so requires, or when the order is an order or other enforcement action program implementation is not adequate responding to a violation involving sh uld be issued.

to provide confidence that construction willfulness. Otherwise, a prior Emcise omscredon activities are being properly carried out; opportunity for a hearing on the order (c) When the licensee has not is afforded. For cases in which the NRC Notwithstanding the normal guidance responded adequately to other believes a basis could reasonably exist contained in this policy, as provided in cnforcement action; for not taking the action as proposed.

Section 111. " Responsibilities." the NRC (d) When the licensee interferes with the licensee will ordinarily be afforded may choose to exercise discretion and the conduct of an inspection or an opportunity to show why the order either escalate or mitigate enforcement investigation; or should not be issued in the proposed sanctions within the Commission's (e) For any reason not mentioned manner by way of a Demand for statutory authority to ensure that the tbove for which license revocation is Information. (See 10 CFR 2.204) resulting enforcement action legally authorized.

D. Related Administrative Actions. In appropriately reflects the level of NRC Suspensions may apply to all or part addition to the formal enforcement concern regarding the violation at issue of the licensed activity. Ordinarily, a actions. Notices of Violation, civil and conveys the appropriate message to licensed activity is not suspended (nor penalties, and orders, the NRC also uses the licensee.

is a suspension prolonged) for failure to administrative actions, such as Notices A. Escalation of Enforcement Sanctions comply with requirements where such of Deviation. Notices of failure is not willful and adequate Nonconformance. Confirmatory Action The NRC considers violations corrective action has been taken.

Letters. Letters of Reprimand, and categorized at Severity Level l. II. or til

3. Revocation Orders may be used:

Demands for Information to supplement to be of significant regulatory concern.

(a) When a licensee is unable or its enforcement program.The NRC If the application of the normal unwilling to comply with NRC expects licensees and contractors to guidance in this policy does not result requirements; adhere to an obligations and in an appropriate sanction, with the (b) When a licensee refuses to correct commitments resulting from these approval of the Deputy Executive a violation; actions and will not hesitate to issue Director and consultation with the EDO (c) When licensee does not respond to appropriate orders to ensure that these and Commission as warranted, the NRC a Notice of Violation where a response obligations and commitments are met, may apply its full enforcement authority was required;

1. Notices of Deviation are written where the action is warranted.NRC (d) When a licensee refuses to pay an notices describing a licensee's failure to action may include (1) escalating civil applicable fee under the Commission's satisfy a commitment where the penalties. (2) issuing appropriate orders, regulations; or commitment involved has not been and (3) assessing civil penalties for (e) For any other reason for which made a legally binding requirement. A continuiry violations on a per day basis, revocation is authorized under section Notice of Deviation requests a licensee up to the statory limit of $110.000 per 186 of the Atomic Energy Act (e.g., any to provide a written explanation or violation. per day.

condition which would warrant refusal statement describing corrective steps

1. Civilpenal:tes. Notwithstanding of a license on an original application).

taken (or planned), the results achieved, the outcome of the normal civil penalty

4. Cease and Desist Orders may be and the date when corrective action will assessment process addressed in Section used to stop an unauthorized activity be completed.

VI B. the NRC may exercise discretion that has continued after notification by

2. Notices of Nonconformance are by either proposing a civil penalty the NRC that the activity is written notices describing contractors where application of the factors would unauthorized.

failures to meet commitments which otherwise result in zero penalty or by

5. Orders to non licensees, including have not been made legally binding escalating the amount of the resulting contractors and subcontractors. holders requirements by NRC. An example is a civil penalty (i.e. base or twice the base of NRC approvals. e.g., certificates of commitment made in a procurement civil penalty) to ensure that the compliance, early site permits, standard contract with' a licensee as required by proposed civil penalty reflects the design certificates. or applicants for any 10 CFR Part 50. Appendix B. Notices of significance of the circumstances and of them,and to employeesof anyof the Nonconformances request non-licensees conveys the appropriate regulatory l

foregoing are used when the NRC has to provide written explanations or

. message to the licensee. The identified deliberate misconduct that statements describing corrective steps Commission will be notified if the may cause a licensee to be in violation (taken or planned), the results achieved, deviation in the amount of the civil of an NRC requirement or where the dates when corrective actions will penalty proposed under this discretion incomplete or inaccu ate information is be completed, and measures taken to from the amount of the civil penalty assessed under the normal process is deliberately submitted or'where the preclude recurrence.

NUREG-1600, Rev.1 12 l

26642 Federal R gist:r/Vol. 63. No. 92/ Wednesday May 13.1998 / Notices more than two times the base civil and correct the violation but failed to do action committed to by the licensee by penalty shown in Tables I A and IB.

so.

the end of the inspection, including Examples when this discretion should be considered include but are not B. Mitigation ofEnforcement Sanctions immediate corrective action and comprehensive corrective action to i

limited to the following:

The NRC may exercise discretion and prevent recurrence;

}

(a) Problems categorized at Severity refrain from issuing a civil penalty and/

(d) It was not a willful violation or if Level 1 or 11; or a Notice of Violation,if the outcome it was a willful violation; (b) Overexposure 5. or releases of of the normal process described in (i) The information concerning the radiological material in excess of NRC Sections VI.A and VI.B does not result violation. if not required to be reponed, requirements; in a sanction consistent with an was promptly provided to appropriate (c) Situations involving particularly appropriate regulatory message. In NRC personnel such as a resident poor licensee performance, or involving addition. even if the NRC exercises this inspector or regional section or branch willfulness; discretion, when the licensee failed to chief.

(d) Situations when the licensee's make a required report to the NRC. a (ii) The violation involved the acts of previous enforcement history has been separate enforcement action will a low levelindividual (and not a particularly poor, or when the current normally be issued for the licensee's licensee official as defined in Section j

violation is directly repetitive of an failure to make a required report. The IV.C);

earlier violation; approval of the Director. Office of (iii) The violation appears to be the I

(e) Situations when the violation Enforcement, with consultation with the results in a substantial increase in risk.

Deputy Executive Director as warranted-isolated action of the employee without

{

management involvement and the including cases in which the duration of is required for exercising discretion of violation was not caused by lack of the violation has contributed to the the type described in Section Vll.B.I.b where a willful violation is involved-management oversight as evidenced by substantialincrease; (f) Situations when the licensee made either a history ofisolated willful and of the types described in Sections violations or a lack of adequate audits i

)

a conscious decision to be in noncompliance in order to obtain an Vll.B.2 through Vll.B.6. Commission or supervision of employees; and 1

economic benefit; notification is required for exercising (iv) Significant remedial action (g) Cases involving the loss of a discretion of the type described in: (1) commensurate with the circumstances I

source. In addition, unless the licensee Section VII.B.2 the first time discretion was taken by thelicensee such that it self identifies and reports the loss to the is exercised during that plant shutdown, demonstrated the seriousness of the and (2) Section Vll.B.6 where NRC, these cases should normally result violation to other employees and in a civil penalty in an amount at least appropriate based on the uniqueness or contractors. thereby creating a deterrent in the order of the cost of an authorized significance of the issue. Examples disposal of the material or of the transfer when discretion should be considered effect within the licensee's organization.

of the material to an authorized for departing from the normal approach Although removal of the employee from recipient; or in Sections VI.A and VI.B include, but licensed activities is not necessarily required, substantial disciplinary action (h) Severity Level 11 or 111 violations are not limited to the following:

is exholationsIdent1DedDuring cted associated with departures from the

1. Licensee-Identined Severity Level 2

IV Violations.The NRC. with the ExtendedShutdowns or Work ter oY a sf Oo 18 8PProval of the Regional Administrator Such a violation or problem would or his or her designee, may refrain from Stoppages.The NRC may refrain from consider the number and nature of the issuing a Notice of Violation for a issuing a Notice of Violation or a sed civil penalty for a violation violations, the severity of the violations, Severity LevellV violation that is

$at is identified after (i) the NRC h documented in an inspection report (or whe r ey a ons we co u g, official field notes for some material taken significant enforcement action cases) and described therein as a Non-based upon a major safety event

,g

,, ct, o un 1.

Cited Violation (NCV) provided that the contributing to an extended shutdown enforcement discretion is warranted).

in5Pection repon includes a brie of an operating reactor or a material

2. Orders. The NRC may, where description of the corrective action and licensee (or a work stoppage at a necessary or desirable, issues orders in that the violation meets all of the construction site), or (ii) the licensee enters an extended shutdown or work al les o a ev o

e

)t s ota i aio at c

{ec{e ac reasonably be expected to,have been

{un ent d in an in and to deter further 9

3. Daily civilpenalties. In order to Prevented by the licensee s corrective et o report (or a ton official field notes for some material recognize the added technical safety cases) and mat u meets d oN p ey{o 1e din urred I

8 within the past 2 years of the inspecuon r th se s w rae s g

message is warranted for a significant at issue, or the period within the last

(,

,a lt er licensee identified as violation that continues for more than two a result of a comprehensive program for

{

one day, the NRC may exercise (c) as or i co ec e l'n Problem identification and correction discretion and assess a separate a reasonable time, by specific corrective that was developed in responst to the shutdown or identified as a result of an violation and attendant civil penalty up to the statutory limit of $110.000 for

• tascreuon is not warranted when a licensee employee allegation to the licensee; (If, idenor,es a viotauon as a result of an event where the NRC identifies the violation and ah each day the violation continues. The the root cause or the event is obvious or the twensee of the other criteria are rnet, the NRC NRC may exercise this discretion if a had prior opportunity to identify the problem but should determine whether enforcement licensee was aware or clearly should j'y 'j ",%",",jn$"'gP nte action is necessary to achieve remedial have been aware of a violation, or if the c,

dernonstrated initiative in identtryins the action. or if discretion may still be

. licensee had an opportunity to identify vioiauon's root cause.

appropriate.)

i 13 NUREG 1600, Rev. I

Feder:I Ihgisttr/Vol. 63. No. 92/Wednzsdzy, May 13,1998 / Notices 26643 (b) It is based upon activities of the where required corrective action evidentiary hearing begins. In such licensee prior to the events leading to identifies the FSAR issue; cases, the NRC may exercise its th2 shutdown; (c) The licensee identifies the discretion not to take enforcement (c) It would not be categorized at violation but had prior opportunities to action when the licensee has addressed Severity Level 1; do so (was aware of the departure from the overall work environment for raising (d)It was not willful; and' the FSAR) and failed to correct it earlier; safety concerns and has publicized that (e) The licensee's decision to restart (d) There is willfulness associated a complaint of discrimination for the plant requires NRC concurrence.

with the violation; engaging in protected activity was made

3. Violations Involvmg Old Design (e) The licensee fails to make a report to the DOL that the matter was settled Issues. The NRC may refrain from required by the identification of the to the satisfaction of the employee (the proposing a civil penalty for a Severity dep)arture from the FSAR: or terms of the specific settlement (f The licensee either fails to take agreement need not be posted), and that, Level 11 or 111 violation involving a past comprehensive corrective action or fails if the DOL Area Office found problem, such as in engineering, design, or installation, provided that the to appmpriately expand the corrective discrimination. the licensee has taken violation is documented in an action program. The corrective action action to positively reemphasize that should be broad with a defined scope discrimination will not be tolerated.

inspection report (or official field notes and schedule.

Similarly, the NRC may refrain from for some material cases) that includes a

4. Vi lati nsidentifiedDue to taking enforcement action if a licensee description of the corrective action and Previous Enforcement Action. The NRC settles a matter promptly after a person that it meets all of the following criteria:

may refrain from issuing a Notice of comes to the NRC without going to the (a) It was a licensee-identified as a Violatio o ivil a for result ofits voluntary initiative; DOL. Such discretion would normally not be exercised in cases in which the (b)It was or will be corrected, NR t en fo ement action, including immediate corrective action licensee does not appropriately address P9 the overall work environment (e.g., by and long term comprehensive corrective docume l

using training, postings. revised policies action to prevent recurrence, within a gfgc, )

d ot n

or procedures.any necessary reasonable time following identification cas mat u $

P no e

disciplinary action, etc., to (this action should involve expanding cg 9n a d f

the initiative, as necessary, to identify communicate its policy against other failures caused by similar root

• h0If,* "g{c identified as Part of allegations of discrimination as a result discrimination) or in cases that involve:

g causes); and the corrective action for the previous of providing information directly to the (c)It was not likely to be identified NRC, allegations of discrimination (ifter the violation occurred) by routine (b) t s ti sarn or similar root caused by a manager above first line j

licensee efforts such as normal cause as the violation for which supervism (consistent wis cunent surveillance or quality assurance (QA) enforcement action was issued; Enforcement Policy classification of activities.

(c) It does not substantially change the Severity LevelI or 11 violations).

In addition, the NRC may refrain from safety significance or the character of allegations of discrimination where a issuing a Notice of Violation for a the regulatory concem arising out of the history of findings of discrimination (by

]

Severity Level 11. Ill, or IV violation that initial violation: and the DOL or the NRC) or settlements meets the above criteria provided the (d) It was or will be corrected, violation was caused by conduct that is including immediate corrective action suggests a pmgrammatic rather than an isolated discrimination problem, or not reasonably linked to present and long term comprehensive corrective allegations of discrimination which performance (normally, vio!wons that action to prevent recurrence, within a tre at least 3 years old or violations reasonable time following identification. appear particularly blatant or egregious.

occurring during plant construction)

(e) It would not be categorized at

6. ViolationsInvolvingSpecial and there had not been prior notice so Severity Levell:

Circumstances. Notwithstanding the that the licensee should have reasonably

5. Violations involving Certain outcome of the normal enforcement identified the violation earlier.This Discrimination Issues. Enforcement process addressed in Section VI.A or the exercise of discretion is to place a discretion may be exercised for normal civil penalty assessment process premium on licensees initiating efforts discrimination cases when a licensee addressed in Section VI.B. the NRC may to.dentify and correct subtle violations who, without the need for government reduce or refrain from issuing a civil that are not likely to be identified by intervention. identifies an issue of penalty or a Notice of Violation for a routine efforts before degraded safety discrimination and takes prompt.

Severity Levei ll. III, or IV violation systems are called upon to work.

comprehensive, and effective corrective based on the merits of the case after Section VILB.3 discretion would not action to address both the particular considering the guidance in this normally be applied to departures from situation and the overallwork

. statement of policy and such factors as the FSAR if:

environment for raising safety concerns. the age of the violation. the technical (a) The NRC identifies the violation Similarly, enforcement may not be and regulatory significance of the unless it was likely in the staff's view warranted where a complaint is filed violation, the clarity of the requirement, that the licensee would have identified with the Department of Labor (DOL) the appropriateness of the requirement.

I the violatioriin light of the defined under Section 211 of the Energy the overall sustained performance of the scope, thoroughness, and schedule of Reorganization Act of 1974 ss licensee has been particularly good, and the licensee's initiative (provided the amended, but the licensee settles the other relevant circumstances, including schedule provides for completion of the matter before the DOL makes an initial any that may have changed since the licensee's initiative within two years finding of discrimination and addresses violation. This discretion is expected to ofter October 18.1996:

the overall work environment.

be exercised only where application of (b) The licensee identifies the Alternatively,if a findingof the normal guidance in the policy is violation as a result of an event or discrimination is made, the licensee unwarranted. In addition. the NRC may surveillance or other required testing may choose to settle the case before the refrain from issuing enforcement action NUREG-1600, Rev.1 14

26644 Feder:1 Registr/Vol. 63. No. 92/Wednesdty Miy 13,1998 / Notices for violations resulting from matters not the particular plant conditions. For exercised, it is to be exercised only if within a licensee's control. such as plants in a shutdown condition, the NRC staff is clearly satisfied that equipment failures that were not exercising enforcement discretion is such action is warranted from a health avoidable by reasonable licensee quality intended to reduce shutdown risk by, and safety perspective.

assurance measures or management again avoiding testing. inspection or VIII. Enforcement Actions involving controls. Generally,however licensees system realignment which is Individuals are held responsible for the acts of their inappropriate for the particular plant employees and contractors.

conditions, in that, it does not provide Enforcement actions involving Accordingly, this policy should not be a safety benefit or may, in fact. be individuals, including licensed construed to excuse personnel or detrimental to safety in the particular Operators, are significant personnel contractor errors, plant condition. Exercising enforcement actions, which will be closely controlled C. Exercise o/Discredon for an discretion for plants attempting to andjudiciouslyapplied. An Opuadngacf%

startup is less likely than exercising it enforcement action involving an for an operating plant. as simply individual will normally be taken only On occasion, circumstances may arise delaying startup does not usually leave when the NRC is satisfied that the where a licensee's compliance with a the plant in a condition in which it individual fully understood, or should Technical Specification (TS) Limiting could experience undesirable transients. have understood. his or her Condition for Operation or with other In such cases, the Commission would responsibility; knew. or should have license conditions would involve an expect that discretion would be known, the required actions; and unnecessary plant transient or exercised with respect to equipment or knowingly, or with careless disregard performance of testing, inspection, or systems only when it has at least (i.e., with more than mere negligence) system realignme at that is inappropriate concluded that, notwithstanding the failed to take required actions which with the spectfw plant conditions, or conditions of the license:(1) The have actualor potential safety unnecessary delays in plant startup equipment or system does not perform significance. Most transgressions of without a corresponding health and a safety function in the mode in which individuals at the level of Severity Level safety benefit. In these circumstances.

operation is to occur:(2) the safety ill or IV violations will be handled by the NRC staff may choose not to enforce function performed by the equipment or citing only the facility licensee.

the applicable TS or other license system is of only marginalsafety More serious violations including condition. This enforcement discretion. benefit, provided remaining in the those involving the integrity of an designated as a Notice of Enforcement current mode increases the likelihood of individual (e.g., lying to the NRC)

Discretion (NOED). will only be an unnecessary plant transient: or (3) concerning matters within the scope of exercised if the NRC staffis clearly the TS or other license condition the individual's responsibilities, will be satnfied that the action is consistent requires a test, inspection or system considered for enforcement action with protecting the public health and realignment that is inappropriate for the against the individual as well as against safety. A licensee seeking the issuance particular plant conditions, in that it the facility licensee. Action against the of a NOED must provide a written does not provide a safety benefit or individual, however, will not be taken justification, or in circumstances where may, in fact. be detrimental to safety in if the improper action by the individual gocd cause is shown, oraljustification the particular plant condition.

was caused by management failures.

follcwed as soon as possible by written The decision to exercise enforcement The following examples of situations justification, which documents the discretion does not change the fact that illustrate this concept:

safety basis for the request and provides a violation will occur nor does it imply

• Inadvertent individual mistakes whatever other information the NRC that enforcement discretion is being resulting from inadequate training or staff deems necessary in making a exercised for any violation that may guidance provided by the facility decision on whether or not to issue a have led to the violation at issue. In licensee.

NOED.

each case where the NRC staff has

• Inadvertently missing an The appropriate Regional chosen to issue a NOED. enforcement insignificant procedural requirement Administrator, or his or her designee.

action will normally be taken for the when the action is routine, fairly may issue a NOED where the root causes to the extent violations uncomplicated, and there is no unusual noncompliance is temporary and were involved.that led to the circumstance indicating that the nonrecurring when an amendment is noncompliance for which enforcement procedures should be referred to and e

no' practical. The Director. Office of discretion was used. The enforcement followed step-by-step.

Nuclear Reactor Regulation, or his or action is intended to emphasize that

• Compliance with an express her designee may issue a NOED if the licensees should not rely on the NRC's direction of management, such as the expected noncompliance will occur authority to exercise enforcement Shift Supervisor or Plant Manager.

during the brief period of time it discretion as a routine substitute for resulted in a violation unless the requires the NRC staff to process an compliance or for requesting a license individual did not express his or her emergency or exigent license amendment.

concern or objection to the direction.

amendment under the provisions of 10 Finally,it is expected that the NRC

• Individual error directly resulting CFR 50.91(a)(5) or (6).The person staff will exercise enforcement from following the technical advice of exercising enforcement discretion will discretion in this area infrequently.

an expert unless the advise was clearly document the decision.

Although a plant re.:nt snut down, unreasonable and the licensed For an operating plant. this exercise of refueling acts %es may be suspended, individual should have recognized it as enforcement discretion is intended to or plant startup may be delayed, absent such.

4 minimize the potential safety the exercise of enforcement discretion.

• Violations resulting from 1

consequences of unnecessary plant the NRC staffis under no obligation to inadequate procedures unless the transients with the accompanying take such a step merely because it has individual used a faulty procedure operational risks and impacts or to been requested. The decision to forego knowing it was faulty and had not eliminate testing. inspection. or system enforcement is discretionary.When attempted to get the procedure realignment which is inappropriate for enforcement discretion is to be corrected.

15 NUREG-1600, Rev.1 i

l i

Federr! Regist:r/Vol. 63. No. 92/Wtdnesday May 13.1998 / Notices 26645 Listed below are examples of license conditions (enforcement action examples of enforcement actions that situations which could result in for a willful violation will not be taken may be appropriate against individuals.

cnforcement actions involving if that violation is the result of action The administrative action of a Letter of individuals, licensed or unlicensed. lf taken following the NRC's decision to Reprimand may also be considered. In the actions described in these examples forego enforcement of the Technical addition, the NRC may issue Demands ar2 taken by a licensed operator or taken Specification or other license condition for Information to gather information to dehberately by an unlicensed or if the operator meets the enable it to determine whether an order individual, enforcement action may be requirements of 10 CFR 50.54 (x). (i.e..

or other enforcement action should be l

taken directly against the individual.

unless the operator acted unreasonably

issued,

(

However, violations involving willful considering all the relevant Orders to NRC-licensed reactor conduct not amounting to deliberate circumstances surrounding the operators may involve suspension for a action by an unlicensed individual in emergency).

sPecified period, modification, or these situations may result in Normally, some enforcement action is revocation of their individual licenses.

Enforcement action against a licensee taken against a licensee for violations Orders to unlicensed individuals might that may impact an individual.The caused by significant acts of wrongdoing include provisions that would:

e Prohibit involvement in NRC situations include, but are not limited by its employees, contractors, or to, violations that involve:

contractors' employees. In deciding licensed activities for a specified period e Willfully causing a licensee to be in whether to issue an enforcement action of time (normally the period of violation of NRC requirements.

to an unlicensed person as well as to the suspension would not exceed 5 years) or until certain conditions are satisfied.

• Willfully taking action that would licensee, the NRC recognizes that have caused a licensee to be in violation judgments will have to be made on a e.g, completing specified training or I

of NRC requirements but the action did case by case basis. In making these meeting certain qualifications.

I not do so because it was detected and decisions, the NRC will consider factors e Require notification to the NRC before resuming work in licensed

).

corrective action was taken.

such as the following:

activities.

j l l e Recognizing a violation of

1. The level of the individual within

• Require the person to tell a j

l procedural requirements and willfully the organization.

Prospective employer or customer not taking corrective action.

2.The individual's training and engaged in licensed activities that the

. Willfully defeating alarms which experience as well as knowledge of the Person has been subject to an NRC have safety significance.

potentialconsequencesof the rder.

e Unauthorized abandoningof reactor doin wronhe sabty consequences of the in he case of a heen opwatw,s controls.

3, failure t sneet applicable fitness-for-e Dereliction of duty.

du du*y requirements (10 CFR 55.530)), the

• Falsifying records required by NRC "'isc$e b efit to the wrongdoer

• e.g" NRC may issue a Mce oWiolation w 4.

regulations or by the facility license.

P g

i~

ac Penaly to Man 55 heensee, e[e ce f su rvisionof the e Willfully providing.or causinga S

w M suspend m@, w licensee to provide, an NRC inspector or 1

losel is th 1

l investigator with inaccurate or individual'm.e hoNitor d or audited. and individual incomplete information on a matter the likelihood of detection (such as a operator fails a drug or alcohol test. that 1

material to the NRC radiographer wwking independently in is, receives a confirmed positive test i

i l

e Willfully withholding safety the field as contrasted with a team that exceeds the cutofflevels of 10 CFR significant information rather than activity at a power, plant).

Part 26 or the facility licensee's cutoff making such information known to

6. The employer s response. e.g..

levels, if lower. However, normally only appropriate supervisory or technical disclP naryactiontaken.

a Notice of Violation will be issued for li personnel in the licensee's organization

7. The attitude of the wrongdoer, e.g..

the first confirmed positive test in the e Submitting false information and r $ admission of wrongdoing. acceptance of absence of aggravating circumstances i

a result gaining unescorted access to,

resp nsibility.

such as errors in the performance of nuclear wer plant.

8. The degree of management licensed duties or evidence of prolonged e Wil lly providing false t'ata to a risponsibility or culpability-use. In addition, the NRC intends to licensee by a contractor or other persert

9. Who identified the saisconduct.

issue an order to suspend the Part 55 who provides test or other services.

ny Pr Posed enforcement action license for up to 3 years the second time l

when the data affects the licensee's inv Iving individuals must be issued a licensed operator exceeds those cutoff compliance with 10 CFR Part 50.

with the concurrence of the Deputy levels. In the event there are less than Appendix B, or other regulatory Executive Directm. The panicular 3 years remaining in the term of the irement re7 Willfully providing false sanction to be used should be individual's license the NRC may i

1 determined on a case-by-case basis.m consider not renewing the individual's certification that components meet the Notices of Violation and Orders are licer se or not issuing a new license after requirements of their intended use, such the three year period is completed. The as ASMECode 2%j$'$'I$,'l,*$P* ' $ NRC intends to issue an order to revoke

. Willfully supplying, by contractors i

uon the Part 55 license the third time a of equipment for transportation of or 1974. as anwnded. NRC will not normally tmp u radioactive material, casks that do not a civil penalty against en indMdual. However licensed operator exceeds those cutoff neu n m WW Ammic Enugy Act (AEA) gives levels. A licensed operator or applicant comply with their certificates of

• Conunission,a,uthorny m impou eM1 penalues who refuses to participate in the drug compliance

• on'any person. Terson,, is broadly defined in e Willfully performing unauthorized Secuan lis of the AEA to include individuals. a and alcohol testing programs bypassing of required reactor or other vunety of organtwoons. and any representauves or established by the facility licensee or facility safety systems.

agents. This gives the Commission authority to who is involved in the sale, use.or us d,1tcense" possession of an illegal drug is also

. Willfully taking actions that violate

,'"M",,',7,u n

nemp n,

n, Technical Specification Limiting

,,quir,,,niei,,ctiy imposeo onin,m i, subject to license suspension.

I Conditions for Operation or other commmeo revocation, or denial.

NUREG 1600, Rev.1 16

26646 Fed:rd Regist:r/Vol. 63. No. 92/ Wednesday. May 13.1998 / Notices in addition. the NRC may take and experience;(2) the opportunity and The failure to correct inaccurate or enforcement action against a licensee time available prior to the incomplete information which the that may impact an individual, where communication to assure the accuracy licensee does not identify as significant the conduct of the individual places in or completeness of the information; (3) normally will not constitute a separate question the NRC's reasonable the degree of intent or negligence. if violation. However, the circumstances assurance that licensed activities will be any, involved; (4) the formality of the surrcunding the failure to correct may properly conducted.The NRC may take communication: (5) the reasonableness be considered relevant to the enforcement action for reasons that of NRC reliance on the information; (6) determination of enforcement action for would warrant refusal to issue a license the importance of the information the initial inaccurate or incomplete on an original application. Accordingly, which was wrong or not provided; and statement. For example, an appropriate enforcement actions may be (7) the reasonableness of the unintentionally inaccurate or taken regarding matters that raise issues explanation for not providing complete incomplete submission may be treated of integrity, competence, fitness-for-and accurate information.

as a more severe matter if the licensee duty, or other matters that may not Absent at least careless disregard, an later determines that the initial necessarily be a violation of specific incomplete or inaccurate unsworn oral submittal was in error and does not Commission requirements.

statement normally will not be subject correct it or :f there were clear In the case of an unlicensed person.

to enforcement action unless it involves opportunities to identify the error. If information not corrected was whether a firm or an individual an significant information provided by a order modifying the facility license may licensee official. However, enforcement recognized by a licensee as significant, be issued to require (1) the removal of action may be taken for an a separate citation may be made for the the person fmm alllicensed activities unintentionally incomplete or failure to provide significant for a specifled period of time or inaccurate oral statement provided to information. In any event, in serious indefinitely. (2) prior notice to the NRC the NRC by a licensee official or others cases where the licensee's actions in not before utilizing the person in licensed on behalf of a licensee if a record was correcting or providing information activities, or (3) the licensee to provide made of the oral information and raise questions about its commitment to provided to the licensee thereby safety or its fundamental notice of the issuance of such an order to other persons involved in licensed permitting an opportunity to correct the trustworthiness. the Commission may activities making reference inquiries. In oralinformation. such as if a transcript exercise its authority to issue orders addition, orders to employers might of the communication or meeting modifying. suspending. or revoking the require retraining, additional oversight, summary containing the error was made license. The Commission recognizes that enforcement determinations must or independen: verification of activities available to the licensee and was not be made on a case-by-case basis taking I

performed by the person. If the person s b$'

1 d in a time 1y into consideration the issues described is to be involved in licensed activities.

mann a.

in this section.

IX. Inaccurate and Incomplete When a licensee has corrected Information inaccurate or incomplete information.

X. Enforcement Action Against Non-A violation of the regulations the decision to issue a Notice of Licensees involving submittal of incomplete and/

Violation for the initial inaccurate or The Commission's enforcement policy or inaccurate information, whether or incomplete information normally will is also applicable to non licensees, not considered a material false be dependent on the circumstances, including contractors and statement, can result in the full range of including the ease of detection of the subcontractors, holders of NRC enforcement sanctions. The labeling of a error, the timeliness of the correction, approvals. e.g. certificates of communication failure as a material whether the NRC or the licensee compliance. early site permits, standard false statement will be made on a case.

identified the problem with the design certificates, quality assurance by-case basis and will be reserved for communication.and whether the NRC program approvals. or applicants for any egregious violations. Violations relied on the information prior to the of them. and to employees of any of the involving inaccurate or incomplete correction Generally. If the matter was foregoing, who knowingly provide information or the failure to provide promptly identified and corrected by components equipment or other goods significant information identified by a the licensee prior to reliance by the or services that relate to a licensee's licensee normally will be categorized NRC or before the NRC raised a activities subject to NRC regulation. The bas.*d on the guidance herein. in Section question about the information, no prohibitions and sanctions for any of i

IV. " Severity of Violations.** and in enforcement action will be taken for the these persons who engage in deliberate Supplement VII.

Initialinaccurate or incomplete misconduct or knowing submission of The Commission recognizes that oral information. On the other hand if the incomplete or inaccurate information information may in some situations be misinformation is identified after the are provided in the rule on deliberate inherently less reliable than written NRC relles on it. or after some question misconduct, e.g. 10 CFR 30.10 and 50.5.

submittals because of the absence of an is raised regarding the accuracy of the Contractors who supply products or opportunity for reflection and infonnation, then some enforcement services provided for use in nuclear management review. However, the action normally will be taken even if it activities are subject to certain Commission must be able to rely on oral is in fact corrected. However,if the requirements designed to ensure that communications from licensee officials initial submittal was accurate when the products or services supplied that concerning significant information.

made but later turns out to be erroneous could affect safety are of high quality.

Therefore, in determining whether to because of newly discovered Through procurement contracts with take enforcement action for an oral information or advance in technology a licensees, suppliers may be required to statement, consideration may be givan citation normally would not be have quality assurance programs that to factors such as (1) the degree of appropriate if. when the new meet applicable requirements, e.g. 10 knowledge that the communicator information became available or the CFR Part 50. Appendix B. and 10 CFR should have had, regarding the matter, advancement in technology was made.

Part 71. Subpart H. Contractors in view of his or her position, training, the initial submittal was corrected.

supplying certain products or services 17 NUREG-1600, Rev.1

Federal Regirt:r/Vc!. 63. No. 92/ Wednesday. May 13.1998 / Notices 26647 to licensees are subject to the circumstances, to reopening a closed taken, the NRC must evaluate the non-requirements of 10 CFR Part 21 enforcement action to increase or compliance both in terms of its direct safety rigarding reporting of defects in basic decrease the severity of a sanction or to and regulatory significance and by assessing ccmponents.

correct the record. Reopening decisions whether it is part of a pattern of non-

' '8 When inspections determine that will be made on a case-by case basis. are tha ead d te

1. t on t t violations of NRC requirements have expected to occur rarely and require the licensee control processes are no longer occurred or that contractors have failed specific approval of the Deputy adequate to ensure protection of the public to fulfill contractual commitments (e.g..

Executive Director.

health and safety. Based on the NRC's 10 CFR Part 50. Appendix B) that could evaluauon. the appropriate action could A pendix A: Safety and Compliance include refraining from taking any action.

P adversely affect the quality of a safety significant product or service.

As commonly understood safety means taking specific enforcement action. issuing enforcement action will be taken.

freedom from exposure to danger or orders, or providmg input to other regulatory Notices of Violation and civil penalties protection from harm. In a practical sense, an actions or assessments, such as increased activity is deemed to be safe if the perceived oversight (e g., increased inspection).

will be used, as aPproprlate. for licensee risks arejudged to be acceptable.The Atomic

• Since some requirements are more f:llures to ensure that their contractors Energy Act of 1954, as amended. establishes important to safety than others. the have programs that meet applicable

" adequate protection" as the standard of Commission should use a risk-informed requirements. Notices of Violation will safety on which NRC regulation is based. In approach when applying NRC resources be issued for contractors who violate 10 the context of NRC regulation, safety means to the oversight of licensed activities CFR Part 21. Civil penalties will be avoiding undue risk or, stated another way.

(this includes enforcement).

imposed against individual directors or providing reasonable assurance of adequate responsible officers of a contractor protection for the public in connection with Appendix B: Supplements-Enforcement organization who knowingly and the use of source. byproduct and special Examples

""*I **t'd815-consciously fall to provide the notice This appendix provides examples of The defutition of compliance is much violations in each of four severity levels as required by 10 CFR 21.21(b)(1). Notices simpler. Compliance simply means meeting guidance in determining the appropriate cf Nonconformance will be used for applicable regulatory requirements. The severity level for violadons in each of eight c:ntractors who fail to meet relanonship between compliance and safety acuvity areas (reactor operations. Part 50 cammitments related to NRC activities.

is discussed below.

facility construction. safeguards health e Safety is the fundamenta1 regulatory physics, transportation, fuel cycle and E Refels e ee DePem d objective, and compliance with NRC materials operauons, miscellaneous matters.

Justice requirements plays a fundamental role in and emergency preparedness).

Alleged or suspected criminal giving the NRC confidence that safety is violations of the Atomic Energy Act being maintained. NRC requirements.

Supplement I-Reactor Operations (and of other relevant Federal laws) are including technical specifications. other This supplement provides examples of license conditions, orders, and regulations.

violations in each of the four severity levels referred to the Department of Justice have been designed to num adequate as guidance in determining the appropriate (DOJ) for investigation. Referral to the protection-which corresponds to no undue severity level for violadons in the area of DOJ does not preclude the NRC from risk to public health and safety *-through reactor operations.

taking other enforcement action under acceptable design, construction. operation.

A. Severfrylevell-Violations involving this policy. However, enforcement maintenance, modification. and quality for example:

actions will be coordinated with the assurance measures. In the context of risk.

1. A Safety Limit, as defined in 10 CFR DOJ in accordance with the informed regulanon, compliance plays a very 50.36 and the Technical Specifications being Memorandum of Understanding important role in ensuring that key exceeded; assumpoons used in underlying risk and

2. A systemn designed to prevent or bet. ween the NRC and the DOJ. 53 FR engineering analyses remain valid.

mitigate a serious safet event not being able

• Adequate protection is presumpuvely to perform its intendec[ safety function SN.. (Dscember 14.1988).

u n

XII. Public Disclosure of Enforcement assured by compliance with NRC when actually called upon to work:

Actions requirements. Circumstances may arise.

3. An accidental criticality; or however. where new information reveals, for

4. A licensed operator at the controls of a Enforcement actions and licensees' example that an unforeseen hazard exists or nuclear reactor, or a senior operator directing r;.sponses, in accordance with 10 CFR that there is a substantially greater potential heensed activines. involved in procedural 2.790, are publicly available for for a known hazard to occur.In such errors which result in, or exacerbate the inst,ection. In addition. press releases situauons, the NRC has the statutory consequences of, an alert or higher level tre generally issued for orders and civil authority to require licensee action above and emergency and who, as a result of subsequent penalties and are issued at the same beyond existing mgulaun to maintain the tesung. mecives a connnned postuve test time the order or proposed imposition level of protection necessary to avoid undue result for drugs or alcohol.

risk to public health and safety.

B. Severtry fevellf-Violadons involving of the civil penalty is issued. In

. The NRC has the authority to exercise for example:

addition press releases are usually discretion to permit continued operations-

1. A system designed to prevent or mitigate issued when a propond *vu penalty is dupite the existence of a noncomphance-serious safety events not being able to withdrawn or substantially mitigated by where the noncompliance is not significant Perform its intended safety function; some amount. Press releases are not from a risk perspective and does not, in the

2. A licensed operatc.r involved in the use.

h normally issued for Notices of Violation particular circumstances. pose an undue risk jgg5'ygy,sa ehbtb that are not accompanied by orders or to pubhc health and safety.When non-proposed civil penalties, compliances occur, the NRC must evaluate p

g the degree of risk posed by that non-XIII. Reopening Closed Enforcement compliance to determine if specific "The term " system" as used in these Actions immediate action is required. Where needed suP ma ont yst

, as as ysical t ensure adequate protection of public If significant new information is

,y,,

• • t 8"

58 58

'm8 n ~immded safety funcuon" means the total received or obtained b NRC which immediate licensee action, up to and safety function. and is not directed toward a loss

/

indicates that an enforcement sanction including a shutdown or cessation of of redundancy. A lossof one subsystem does not was incorrectly applied, consideration licensed activities. In addition. in defeat the intended safety function as long as the may be given. dependent on the determinmg the appropriate action to be other subsystem is operable.

NUREG.1600, Rev.1 18 1-

26648 Federal Registir/Vol. 63. No. 92/ Wednesday. May 13,1998 / Notices

3. A licensed operator at the control of a would be needed before a licensee would E. Minor Wolations nuclear reactor. or a senior operator directing have had a reasonable expectation that an A failure to meet 10 CFR 50.59 licensed activities involved in procedural unreviewed safety question did not exist; requirements that involves a change to the errors and who, as a result of subsequent

12. Programmatic failures (i e.. multiple or FSAR descripuon or procedure, or involves testing. receives a confirmed positive test recurring failures) to meet the requirements a test or experiment not described in the result for dmgs or alcohol: or of 10 CFR 50.59 and/or 50.71(e) that show a FSAR. where there was not a reesonable

4. Failures to meet 10 CFR 50.59 including significant lack of attention to detail, whether likelihood that the change to the facility or i

several unreviewed safety questions, or or not such failures involve an unreviewed procedure or the conduct of the test or conflicts with technical specifications.

safety question, resulting in a current safety expertment would ever be an unreviewed involving a broad spectrum of problems or regulatory concern abwt the accuracy of safety question. In the case of a 10 CFR affecting multiple areas, some of which the FSAR or a concern that 10 CFR 50.59 50.71(e) violation, where a failure to update impact the operability of required equipment. requirements are not being met. Application the FSAR would not have a materialimpact C. Seventy LevellIl-Violations mvolving of this example requires weighing factors on safety or licensed activities. The focus of for example:

such as: a) the time period over which the the minor violation is not on the actual

1. A significant failure to comply with the violations occurred and existed, b) the change test.or experiment,but on the Action Statement for a Technical number of failures, c; whether one or more potential safety role of the system.

Specification Limiting Condition for systems, functions. or pieces of equipment equipment. etc., that is bemg changed, tested, f

Operation where the appropriate acuon was were involved and the importance of such or experimented on.

not taken within the required time, such as:

equipment. functions, or systems, and d) the (a) In a pressurized water reactor in the potential significance of the failures:

Supplement Il-Part 50 Facility applicable modes. having one high-ptessure

13. The fatture to update the FSAR as Construction safety injection pump inoperable for a period required by 10 CFR 50.71(c) where the This supplement provides examples of in excess of that allowed by the action unupdated FSAR was used in performing a violations in each of the four severity levels statement; or 10 CFR 50.59 evaluation and as a result, an as guidance in determining the appropriate (b) In a boiling water reactor, one primary inadequate decision was made demonstrating severity level for violauons in the area of Part containment isolation valve knoperable for a a significant regulatory concern; or 50 facility construction.

period in excess of that allowed by the action

14. The failure to make a report required A. Seventy Levell-Wolations involving

}

statement.

by 10 CFR 50.72 or 50.73 associated with (a) structures or systems that are completed n in i

2. A system designed to prevent or mitigate an unreviewed safety question. (b) a conflict such a manner that they would not have a serious safety event:

with a technical specification, or (c) any satisfied their intended safety related (a) Not being able to perform its intended other Severity LevelIII violation.

purpose.

function under certain conditions (e.g., safety D. Seventy LevellV-Violations involving B. Seventy Leve/ II-Wolauons involving system not operable unless offsite power is for example:

for example:

available; materials or components not

1. A less significant failure to comply with

1. A breakdown in the Quality Assurance environmentally qualified); or the Action Statement for a Technical (QA) program as exemplified by deficiencies (b) Being degraded to the extent that a Specification Limiting Condluon for in construction QA related to more than one detailed evaluadon would be required to Operadon where the appropriate action was work activity (e.g.. structural, piping, determine its operability (e.g., component not taken within the required time, such as:

electrical. foundations). These deficiencies parameters outside approved limits such as (a) In a pressurized water reactor. a 5%

normally involve the licensee's failure to pump flow rates. heat exchanger transfer deficiency in the required volume of the conduct adequate audits or to take prompt characteristics, safety valve lift setpoints, or condensate storage tank; or corrective action on the basis of such audits valve stroke times):

(b) In a boiling water reactor, one and normally invnive multiple examples of

3. Inattentiveness to duty on the part of subsystem of the two independent MSIV deficient construction or construction of licensed personnel; leakage control subsystems inoperable:

unknown quality due to inadequate program

4. Changes in reactor parameters that cause

2. (Reservedl implementation; or unanticipated reductions in margins of

3. A failure to meet regulatory

2. A structure or system that is completed safety; requirements that have more than minor in such a manner that it could have an

5. [ Reserved]

safety or environmental significance; adverse effect on the safety of operations.

6. A licensee failure to conduct adequate

4. A failure to make a required Licensee C. Severfry hve/ III-Violations involving oversight of contractors resulting in the use Event Report; for example:

of products or services that are of defective

5. Relatively isolated violations of 10 CFR

1. A deficiency in a licensee QA program or indeterminate quality and that have safety 50.59 not involving severity level li or Ill for construction related to a single work significance; violations that do not suggest a programmatic activity (e.g., stmetural, piping, electrical or

7. A breakdown in the control of licensed failure to meet 10 CFR 50.59. Relatively foundations). 7 his significant deficiency activities involving a number of violations isolated violations or failures would include normally im elves the licensee's failure to that are related (or, if isolated, that are a number of recently discovered violadons conduct adequate audits or to take prompt recurring violations) that collectively that occurred over a period of years and are correcuve action on the basis of such audits, represent a potentially significant lack of not indicative of a programmatic safety and normally involves muluple examples of attention or carelessness toward licensed concern with meeting 10 CFR 50.59 or deficient construction or construction of responsibilities:

50.71(e);

unknown quality due to inadequate program

8. A licensed operator's confirmed positive

6. A relatively isolated failure to document implementauon:

test for drugs or alcohol that does not result an evaluation where there is evidence that an

2. A failure to confirm the design safety in a Severity Levell or 11 violation; adequate evaluation was performed prior to requirements of a structure or system as a

9. Equipment failures caused by the change in the facility or procedures, or result of inadequate preoperational test inadequate or improper maintenance that the conduct of an experiment or test:

program implementation; or substantially complicates recovery from a

7. A failure to update the FSAR as required

3. A failure to make a required 10 CFR plant transient; by 10 CFR 50.71(e) where an adequate 50.55(e) report.

10. The failure to rneet 10 CFR 50.59 where evaluation under 10 CFR 50.59 had been D. Severity kvellV-Wolations involving an unreviewed safety quesdon is involved or performed and documented; or failure to meet regulatory requirements a conflict with a technical specification, such

8. A past programmatic failure to meet 10 including one or more Quality Assurance that a license amendment is required:

CFR 50.59 and/or 10 CFR 50.71(e)

Criterion not amounting to Severity Level I.

11. The failure to perform the required requirements not involving Severity Level Il evaluation under 10 CFR 50.59 prior to or III violations that does not reflect a current nThe term " completed" as used in this implementation of the change in those safety or regulatory concern about the supplement means completion of construction situations in which no unreviewed safety accuracy of the FSAR or a concern that 10 including review and acceptance by the question existed. but an extensive evaluadon CFR 50.59 requirements are not being met.

construction QA organtuuon.

19 NUREG 1600, Rev.1

~

Federal Register /Vol. 63. No. 92/Wadncsdry May 13.1998 / Notices 26649 l

!!. or III violations that have more than minor zone with a high degree of confidence Supplement IV-Ilealth Physics (10 CFR I

safety or environmental significance.

without insider knowledge, or other Part 20) si8 n degradation of overall system This supplement provides examples of Supplement III-Safeguards l

This supplement provides examples of gaka va lations in each of the four severity levels

. A si ificant failure of the safeguards as guidance in determining the appropriate violadons in each of the four severity levels systems designed or used to revent or detect as guidance in determining the appropriate the theft. loss. or diversion obstrategic SNM; e area of h

p 0

n0 severity level for violations in the area of

5. A failure to protect or control classified A. Sevedty Levell-Violations involvin8 safeguards.

or safeguards information considered to be A. Severfry level l-Violations involving significant while the information is outside f'fA I

lation exposure during any year of for cxample:

the protected area and accessible to those not a worker in excess of 25 rems total effective

1. An act of radiological sabotage in which authorized access to the protected area; dose equivalent. 75 rems to the lens of the the security system did not function as

6. A significant failure to respond to an eye. or 250 rads to the skin of the whole required and, as a result of the failure, there event either in sufficient time to provide body, or to the feet, ankles, hands or was a significant event, such as:

protection to vital equipment or strategic forearms, or to any other organ or tissue; (a) A Safety Limit. as defined in 10 CFR SNM, or with an adequate response force

2. A radiation exposure over the gestation 50.36 and the Technical Specifications, was

7. A failure to perform an appropriate period of the embryo / fetus of a declared axceeded; evaluation or background investigation so pregnant woman in excess of 2.5 rems total (b) A system designed to prevent or that information relevant to the access effective dose equivalent; mitigate a serious safety event was not able determination was not obtained or

3. A radiation exposure during any year of to perform its intended safety funcuon when considered and as a result a person, who a minor in excess of 2.5 rems total effective actually called upon to work; or would likely not have been granted access by dose equivalent. 7.5 rems to the lens of the (c) An accidental criticality occurred; the licensee. if the required invesugauon or eye. or 25 rems to the skin of the whole body.

2.The theft loss, or diversion of a formula evaluauon had been performed. was granted or to the feet, ankles. hands or forearms, or quantity H of special nuclear material (SNM); access; or to any other organ or tissue;

8. A breakdown in the security program

4. An annual exposure of a member of the or

3. Actual unauthorized production of a involving a number of violations that are public in excess of 1.0 rem total effective formula quanuty of SNM related (or, if isolated, that are recurring dose equivalent; B. Severity LevellI-Violations involving violations) that collecuvely reflect a S. A release of radioactive material to an for example:

Potentially significant lack of attention or unrestricted area ct concentrations in excess 1.The entry of an unauthorized carelessness toward licensed responsibilides. of 50 times the limits for members of the individualiswho represents a threat into a D. Sever 1ry Leve1IV-Violations involving public as described in 10 CFR vital area 8' from outside the protected area; for example:

20.1302(b)(2)(1): or

2. The theft. loss or diversion of SNM of

1. A failure or inability to control access

6. Disposal of licensed materialin such that an unauthorized individual (i.e..

quantities or correntrations in excess of 10 moderate strategic significance 8' in which authorized to protected area but not to vital times the limits of 10 CFR 20.2003.

the security system did not function as area) could easily gain undetected access into B. Severityleve1 H-Violadons involving required; or a vital area from inside the protected area or for example:

3. Actualunauthorizedproduction of Into a contro!!ed access area;

1. A radiation exposure during any year of SNM.

C. m 8-' m-Violations involving for

2. A failure to respond to a suspected event a worker in excess of 10 rems total effective I

in either a timely manner or with an dose equivalent. 30 rems to the lens of the cxample:

adequate response force; eye, or 100 rems to the skin of the whol.e J

1. A failure or inability to control access

3. A failure to implement 10 CFR Parts 25 body, or to the feet. ankles, hands or l

through established systems or procedures.

and 95 with respect to the information forearms, or to any other organ or tissue; such that an unauthorized individual (i.e..

addressed under Section 142 of the Act, and

2. A radiation exposure over the gestation not authorized unescorted access to protec,ted the NRC approved security plan relevant to period of the embryo / fetus of a declared area) could easil gain undetected accessi those pans:

pregnant woman in excess of 1.0 rem total l

into a vital area om outside the protected

4. A failure to make maintain, or provide effective dose equivalent:

~ l g entries in accordance with 10 CFR 73.71

3. A radiauon exposure during any year of 2 A failure to conduct any search at the (c) and (d), where the omitted information (1) a minor in excess of I rem total efrective dose access control point or conducting an is not otherwise available in easily equivalent: 3.0 rems to the lens of the eye, 1

inad unte search that resulted in the retrievable records, and (ii) significant or 10 rems to the skin of the whole body. or intro action to the protected area of firearms. c ntributes to the ability of either the C

to the feet. ankles. hands or forearms or to

)

cxplosives. or incendiary devices and r the licensee to identify a programmauc any other organ or tissue; reasonable facsimiles thereof that could breakdown.

4. An annual exposure of a member of the

)

significantly assist radiological sabotage or

5. A failure to conduct a proper search at public in excess of 0.5 rem total effective they of strategic SNM; the access control point:

dose equivalent:

a. A failure, degradation.or other

6. A failure to properly secure or protect

5. A release of radioacuve material to an deficiency of the protected area intrusion classified or safeguards information inside unrestricted area at concentrations in excess detection or alarm assessment systems such the protected area which could assist an of 10 times the limits for members of the I

that an unauthorized individual who individualin an act of radiologicallabotage public as described in 10 CFR represents a threat could predictably or theft of strategic SNM where the 20.1302(b)(2)(1) (except when operation up to circumvent the system or defeat a specific informadon was not removed from the 0.5 rem a year has been approved by the protected area:

Commission under Section 20.1301(c));

H See 10 CFR f3 2 for the definition of"forrnula

7. A failure to control access such that an

6. Disposal of licensed materialin quantity."

opportunity exists that could allow quantiues or concentradons in excess of five is The term " unauthorized indMdual" as used in unauthorized and undetected access into the times the limits of 10 CFR 20.2003; or this supplemera mns someone who was n 8 protected area but which was neither easily

7. A failure to make an immediate authwued fw entrance into the area in quum w nor likely to be exploitable; notification as required by 10 CFR

'"[',,",

[g""g"d'

8. A failure to conduct an adequate search 20.2202 (a)(1) or (a)(2).

i I

at the exit from a material access area; C. Severity level El-Violations involving supplement includes vital areas and material access

9. A theft or loss of SNM of low strategic for example:

areas.

p See 10 CFR 73.2 for the definition of "special significance that was not detected within the nuclear material of moderate strategic signifncance." time period specified in the security plan,

,, Personnel overexposures and associated asin determining whether access can be easily other relevant document or regulation; or violauons incurred during a hfe-saving or other gained. factors such as predictabiltry iderwafiability

10. Other violations that have more than emergency response effort will be treated on a case.

and ease of passage should be considered:

minor safeguards significance.

by-case basis.

NUREG-1600, Rev.1 20

1

~

26650 Federcl Register /Vol. 63. No. 92/Widn:sd1y. May 13.1998/ Notices

1. A radiation exposure during any year of any I hour (2 millirem / hour) or 50 millirems loac'ing or other requirements that could a worker in excess of 5 rems total effecuve in a year; reasonably result in the following:

dose equivalent.15 rems to the lens of the

4. Failure to maintain and implement (a) A significant failure to identify the type, eye, or 50 rems to the skin of the whole body radiation programs to keep radiation quanuty, or form of material; or to the feet, ankles, hands or forearms, or exposures as low as is reasonably achievable:

(b) A failure of the carrier or recipient to to any other organ or tissue;

5. Doses to a member of the public in exercise adequate controls; or

2. A radiation exposure over the gestation excess of any EPA generally applicable (c) A substantial potential for either period of the embryo / fetus of a declared environmental radiation standards. such as personnel exposure or contamination above pregnant woman tr. excess of 0.5 rem total 40 CFR Part 190; regulatory limits or improper transfer of effective dose equivalent (except when doses

6. A failure to make the 30-day notificadon material;.

are in accordance with the provisions of required by 10 CFR 20.2201(a)(1)(ii) or

4. A failure to make required initial Section 20.1208(d));

20.2203(a);

notification associated with Severity Level til

3. A radiation exposure during any year of

7. A failure to make a timely written report violations; or a minor in excess of 0.5 rem total eflective as required by 10 CFR 20.2201(b). 20.2204, or

5. A breakdown in the licensee's program dose equivalent: 1.5 rems to the lens of the 20.2206; for the transportation of licensed material eye. or 5 rems to the skin of the whole body-

8. A failure to report an exceedance of the involving a number of violations that are or to the feet ankles, hands or forearms, or dose constraint established in 10 CFR related (or, if isolated, that are recurring to any other organ or tissue; 20.1101(d) or a failure to take corrective violadons) that collecuvely reflect a

4. A worker exposure above regulatory limits when such exposure reflects a action for an exceedance, as required by 10 Potentially significant lack of attention or CFR 20.1101(d); or carelessness toward licensed responsibilities.

programmatic (rather than an isolated)

9. Any other matter that has more than a D. Seventy LevellV-Violauons involving weakness in the radiation control program;

5. An annual ex ure of a member of the minor safety, health, or environmental for example:

public in excess o 0.1 rem total effecuve significance.

1. A breach of package integrity without external radiauon levels exceeding the NRC dose equivalent (except when operation up to Supplement V-Transportation limit or wahout contaminauon levels 0.5 rem a year has been approved by the This supplement provides examples of exceeding five times the NRC limits; Comm ion under et vi ladons in each of the four severity levels

2. Surface contamination in excess of but e. og c e t

t an unrestricted area at concentrations in excess as guidance in determining the appropriate not more than five times the NRC limit; of two times the effluent concentradon limits severity level for violations in the area of

3. A failure to register as an authorized referenced in 10 CFR 20.1302(b)(2)(1) (except E transPwtauon bements *c.

user of an NRC-Certified Transport package; when operation up to 0.5 rem a year has been A. Severfry Leve11-iolations involving

4. A noncompliance with shipping papers, approved by the Commission under Section fw example:

marMngdabeling, placarding. packaging or 20.1301(c)).

1. Failure to meet transportation loading not amounting to a Severity Level I.

7. A failu're to make a 24-hour notification requirements that resulted in loss of control II. or III violadon; required by 10 CFR 20.2202(b) or an of radioacuve material with a breach in

5. A failure to demonstrate that packages immediate notification required by 10 CFR Package integrity such that the material for special form radioactive material meets 20.2201(a)(1)(1);

caused a radiation exposure to a member of applicable regulatory requirements;

8. A substantial potential for exposures or the public and there was clear potential for

6. A failure to demonstrate that packages releases in excess of the applicable limits in the public to receive more than.1 rem to the meet DOT Specifications for 7A Type A 10 CFR Part 20 Sections 20.1001-20.2401 whole body:

packages;or whether or not an exposure or release occurs;

2. Surface contamination in excess of 50

7. Other violations that have more than

9. Disposal of licensed material not times the NRC limit; or minor safety or environmental significance.

1 covered in Severity Levels I or II;

3. External radiation levels in excess of 10

10. A release for un 2stricted use of times the NRC limit.

Supplement VI-Fuel Cycle and Materials O erations P

contaminated or radioactive material or B. Severity LevelII-Violations equipment that poses a realistic potential for trivolving for example:

This supplement provides examples of exposure of the public to levels or doses

1. Failure to meet transportation violations in each of the four severity levels exceeding the annual dose limits for requirements that resulted in loss of control as guidance in determining the appropriate members of the public, or that reflects a of radioactive material with a breach in severity level for violations in the area of fuel programmatic (rather than an isolated) package integrity such that there was a clear cycle and materials operations, weakness in the radiation control program; potential for the member of the public to A. SeverityImU-Violadons involvir:

11. Conduct of licensee activities by a receive more than.1 rem to the whole body; for example:

(

technically unqualified person:

2. Surface contamination in excess of 10.

1. Radiation levels, contamination levels.

12. A significant failure to controlItcensed but not more than 50 times the NRC limit:

or releases that exceed 10 times the limits i

material; or

3. External radiation levels in excess of specified in the license; l*. A breakdown in the radiation safety five, but not more than 10 times the NRC

2. A system designed to prevent or mitigate l

program involving a number of violations limit; or a serious safety event not being operable i

that are related (or. If isolated, that are

4. A failure to make required initial when actually required to perform its design recu ring) that collectively represent a notifications associated with Severity LevelI funcuan; potentially significant lack of attention or or !! violadons.

3. A nuclear criticality accident:

carelessness toward licensed responsibilities.

C. Severfry Lew11U-Violations involving

4. A failure to follow the procedures of the D. Severfty Level!V-Violations involving for example:

quality management program. required by 10 for example:

1. Surface contamination in excess of five CFR 35.32, that results in a death or serious

1. Exposures in excess of the limits of 10 but not more than 10 times the NRC limit; injury kg., substantial organ impairment) to CFR 20.1201,20.1207 or 20.1208 not

2. Extemal radiation in excess of one but a patient:

constituting Severity Leve11. II. or III not more than five times the NRC limit;

5. A safety limit, as defined in 10 CFR 76.4, violauons;

3. Any noncompliance with labeling.

the Technical Safety Requiremerns, or the l

2. A release of radioactive material to an placarding shippingpaper, packaging, applicadon being exceeded,or 1

unrestricted area at concentrauons in excess

6. Significant injury or loss of life due to of the limits for members of the public as a loss of control over licensed or certified referenced in 10 CFR 20.1302(b)(2)(1) (except

• • *"8P*"*" " W'""5 8" 'PP ed acuvities including chemical processes that h

• h when operation up to 0.5 rem a year has been

,,""h Np) w" a are integral to the licensed or certified l

a approved by the Commission under Section vioinuon of such a requirement occues enforcemem activity, whether radioactive material is 20.1301(c));

acuon will be directed against the responsible released or not.

j

3. A radiation dose rate in an unrestricted hcensee which. under the circumstances of the B. Smrf ty Level H-Violations involving 1

or controlled area in excess of 0.002 rem in case, may be one or more or the iscensees involved.

for example:

l 21 NUREG-1600, Rev.1

r Federal Regist;r/Vol. 63. No. 92/Wedn:sdiy, May 13,1998 / Notic:s 26651 i

1. Radiation levels, contamination levels, quantity or type of radioactive material being

3. Failure to follow the quality or releases that exceed five umes the limits processed or used that has radiological management (QM) program. including specified in the license; significance; procedures.whether or not a

2. A system designed to prevent or mitigate

11. A significant failure to meet misadministration occurs, provided the a serious safety event being inoperable; decommissioning requirements including a failures are isolated, do not demonstrate a

3. A substantial programmauc, failure in failure to notify the NRC as required by programmatic weakness in the the implementation of the quality regulation or license condidon, substantial implementadon of the QM program, and management program required by 10 CFR failure to meet decommissioning standards, have limited consequences if a 35.32 that results in a misadministration; failure to conduct and/or complete rnisadministration is involved; failure to

4. A failure to estabhsh implement. or decommissioning activiues in accordance conduct the required program review; or maintain all criucality controls (or control with regulation or license condnuon, or failure to take corrective actions as required systems) for a single nuclearcriticality failure to meet required schedules without by 10 CFR 35.32; sc:nario when a critical mass of fissile adequatejustification:

4. A failure to keep the records required by material was present or reasonably available,

12. A significant failure to comply with the 10 CFR 35.32 or 35.33; such that a nuclear criticality accident was action statement for a Technical Safety

5. A less significant failure to comply with possible; or Requirement Limiung Condition for the Action Statement for a Technical Safety

5. The potential for a significant injury or Operation where the appropriate action was Requirement Limiting Condiuon for

' loss of life due to a loss of control over not taken within the required time, such as:

Operation when the appropriate action was licensed or cerufled activities, including (a) In an autoclave, where a containment not taken within the required '.ime; chemical processes that are integral to the isolation valve is inoperable for a period in

6. A failure to meet the requirements of 10 licensed or certified activity, whether excess of that allowed by the medon CFR 76.68 that does not result in a Severity radioactive materialis released or not (e g.,

statement; or Levell. II, or III violation; movement of liquid UF* cyhnder by (b) Cranes or other lifting devices engaged

7. A failure to make a required written unapproved methods).

in the movement of cylinders having event report, as required by 10 CFR C. Seventy levellfI-Violations involving inoperable safety components, such as 76.120(d)(2); or for example:

redundant braking systems, or other safety

8. A failure to establish, implement, or

1. A failure to control access to licensed devices for a period in excess of that allowed maintain a criucality control (or control materials for radiation protection purposes as by the action statement; system) for a single nuclear criticality specified by NRC requirements;

13. A system designed to prevent or scenario when the amount of fissile material

2. Possession or use of unauthorized mitigate a seri us safety event; available was not, but could have been equipment or materials in the conduct of (a) Not being able to perform its intended sufficient to result in a nuclear criticality.

licensee activides which degrades safety;

["

"yt N

'8 SUPP ement VII-Miscellaneous Matters adlab1 l

a

3. Use of radioactive material on humans materials or components not according to This supplement provides examples of where such use is not authorized; specificadons);or violations in each or the four severity levels

4. Conduct of licensed activities by a (b) Being degraded to the extent that a as guidance in determining the appropriate technically unqualified or uncertified person; detailed evaluation would be required to se. erity level for violadons involving

5. A substantial potential for exposures, determine its operability; miscellaneous matters.

radiation levels, contamination levels, or

14. Changes in parameters that cause A. Seventy Levell-Violations involving releases, including releases of toxic material unanucipated reductions in margins of for example:

caused by a failure to comply with NRC safety".

1. Inaccurate or incomplete information h regulations. from licensed or certified

15. A significant failure to meet the that is provided to the NRC (a) deliberately activities in excess of regulatory limits; requirements of 10 CFR 76.68, including a with the knowledge of a licensee official that

6. Substandal failure to implement the failure such that a required certificate the information is incomplete or inaccurate, quality management program as required by amendment was not sought; or (b) if the information, had it been complete 10 CFR 35.32 that does not result in a

16. A failure of the certificate holder to and accurate at the time provided,likely misadministration; failure to report a conduct adequate oversight of contractors would have resulted in regulatory action misadministration; or programmatic resulting in the use of products or services such as an immediate order required by the weaknessin theimplementationof the that are of defective or indeterrtainate quality Public health and safety; quality management program that results in and that have safety significance;

2. Incomplete or inaccurate information o misadministration;

17. Equipment failures caused by that the NRC requires be kept by a licensee

7. A breakdown in the control of licensed inadequate or improper maintenance that that is (a) incomplete or inaccuinte because activities involving a number of violations substantially complicates recovery from a of falsification by or with the knowledge of a licensee official or (b) if the information, that are related (or, if isolated, that are plant transient; recurring violations) that collectively

18. A failure to establish. maintain. or had it been complete and accurate when repre ent a potentially significant lack of implement all but one criticality control (or reviewed by the NRC. likely would have aner.tlon or carelessness toward licensed control systems) for a single nuclear resulted in regulatory action such as an responsibilities; criticality scenario when a critical mass of immediate order required by public health

8. A failure, during radiographic fissile material was present or reasonably and safety considerations; operations to have present at least two available, such that a nuclear criticality ide d

vin s gn ca im cations qualified individuals or to use rarliographic accident was possible; or equipment. radiation surwy instruments.

19. A failure, during radiographic for pubhc health and safety or the cummon defense and security ("significant and/or personnel monitoring devices as operations, to stop work after a pocket informadon identified by a licensee") and is required by 10 CFR Part 34; dosimeter is found to have gone off scale, or deliberately withheld fmm the Commission;

9. A failure to submit an NRC Form 241 as after an electronic dosimeter reads greater

4. Action by senior corporate management required by 10 CFR 150.20; than 200 mrem. and before a determination in violation of 10 CFR 50.7 or similar

10. A failure to receive required NRC is made of the individual's actual radiauon regulations against an employee; approval prior to the implementation of a exposure.

5 A knowing and intendonal failure to change in licensed acuvities that has D. Severtry ImHV-Violations involving prohde the nouce required by 10 CFR Part radiological or programmatic significance, for example:

21' or such as. a change in ownership; lack of an

1. A failure to maintain patients RSO or replacement of an RSO with an hospitalized who have cobalt-60, cesium 137 naPP unqualified individual; a change in the or iridium-192 implants or to conduct o

nf t

nd location where licensed activities are being required leakage or contamination tests, of to records. reference should also be made to the conducted, or where hcensed material is use properly calibrated equipment; butdance in Secuan IX. " inaccurate and incomplete being stored where the new facilities do not

2. Other violations that have more than Information." and to the definition of " licensee meet the safety guidelines; or a change in the minor safety or environmental significance; omclat" conuaned in Secuan IV.C.

NUREG.1600, Rev.1 22

1

~

l 26652 Federal Register /Vol. 63. No. 92/ Wednesday. May 13,1998 / Notices

6. A failure to substantially implement the LevelI or Il violation, or (b) if the emegency preparedness it should be noted rquired fitness for-duty program 22 information. had it been complete and that citations are not normally made for 4

B. Severity Leveill-Violations involving accurate when reviewed by the NRC. likely violations involving emergency preparedness for example:

would have resulted in a reconsideration of occurring during emergency exercises.

1. Inaccurate or incomplete informauon a regulatory position or substantial further However, where exercises reveal (i) training, that is provided to the NRC (a) by a licensee inquiry such as an addiuonal inspection or procedural, or repetitive failures for which official because of careless disregard for the a formal request for information:

corrective actions have not been taken. (ii) an completeness or accuracy of the information.

3. A failure to provide significant overall concern regarding the licensee's or (b) if the information, had it been complete information identified by a licensee ' to the and accurate at the time provided, likely Commission and not amounting to a Severity ability to implement its plan in a manner that g

would have resulted in regulatory action LevelI or Il violation;

'such as a show cause order or a different

4. An action by first-line supervision or or (iii) Poor self critiques of the licensee.s regulatory position; other low-level management in violation of exercises, enforcement action may be

2. Incomplete or inaccurate information 10 CFR 50.7 or similar regulations against an appropnate.

that the NRC requires be kept by a licensee employee; A. Sevedty Levell-Violations involving which is (a) incomplete or inaccurate because

5. An inadequate review or failure to for example:

i of careless disregard for the accuracy of the review such that, if an appropriate review in a general emergency. licensee failure to information on the part of a licensee official, had been rnade as required, a 10 CFR Part 21 promptly (1) correctly classify the event. (2) or (b) if the information, had it been complete report would have been made; make required notifications to responsible and accurate when reviewed by the NRC.

6. A failure to complete a suitable inquiry Federal. State, and local agencies, or (3) likely would have resulted in regulatory on the basis of 10 CFR Pan 26. keep records respond to the event (e.g., assess actual or action such as a show cause order or a concerning the denial of access, or respond potential offsite consequences, activate different regulatory position; to inquiries concerning denials of access so emergency response facilities, and augment

3. "Significant information identified by a that, as a result of the failure, a person shift stati) licensee" and not provided to the previously denied access for fitness-for duty Commission because of careless disregard on reasons was improperly granted access; B. Sevedry Leveill-Violations involving the part of a heensee official:

7. A failure to take the required action for for example-gg g

4. An action by plant management or mid-a person confirmed to have been tested level management in violation of 10 CFR 50.7 positive for illegal drug use or take action for Promptly (1) correctly classify the event. (2) j or similar regulations against an employee:

onsite alcohol use: not amounting to a make required notifications to responsible j

5. A failure to provide the notice required Severity Level H violation:

Federal. State, and local agencies, or (3) by 10 CFR Pan 21:

8. A failure to assure, as required. that respond to the event (e.g.. assess actual or

6. A failure to remove an individual from contractors have an effective fitness-for-duty Potential offsite consequences, activate unescorted access who has been involved in program:

emergency response facilities, and augment the sale, use, or possession of illegal drugs

9. A breakdown in the fitness for-duty shift staff); or within the protected area or take action for program involving a number of violations of

2. A licensee failure to meet or implement on duty misuse of alcohol prescription the basic elements of the fitness-for-duty more than one emergency planning standard drugs, or over-the-counter drugs:

program that collectively reflect a significant involving assessment or notification.

7. A failure to take reasonable action when lack of attention or carelessness towards C. Sevedty LevelllI-Violations involving observed behavior within the protected area meeting the objectives of 10 CFR 26.10; or for example:

or credible information concerning activities

10. Threats of discrimination or restrictive

1. In an alert, licensee failure to promptly within the protected area indicates possible agreements which are violations under NRC (1) correctly classify the event. (2) make unfitness for duty based on drug or alcohol regulations such as 10 CFR 50.7(f).

required notifications to responsible Federal, use:

D. SevedtylevelIV-Violations involvmg State, and local agencies, or (3) respond to

8. A deliberate failure of the licensee,s for example:

Employee Assistance Program (EAP) to notify

1. Incomplete or inaccurate information of the event (e g assess actual or potential licensee s management when EAP s staff is more than minor significance that is offsite consequences, activate emergency aware that an individual's condition may provided to the NRC but not amounting to a response facilities, and augment shift staff);

adversely affect safety related activities: or Seventy Levell. H or IU violation:

2. A licensee failure to meet or implement

9. The failure of licensee management to

2. Information that the NRC requires be one emergency planning standard involving take effective action in correcting a hostile kept by a licensee and that is incomplete or assessment or notification; or work environment.

inaccurate and of more than minor

3. A breakdown in the control oflicensed C. SeventyLevellff-Violations involving significance but not amounting to a Severity activities involving a number of violations for example:

LevelI.11. or IU violation; that are related (or, if isolated, that are

1. Incomplete or inaccurate information

3. An inadequate review or failure to recurring violations) that collectively that is provided to the NRC (a) because of review under 10 CFR Part 21 or other represent a potentially significant lack of inadequate actions on the part oflicensee procedural violations associated with 10 CFR attention or carelessness toward licensed officials but not amounting to a Severity Part 21 with more than minor safety responsibilities.

LevelI or H violation. or (b) if the significance:

D. Sevedty Leve1IV-Violations involving information. had it been complete and

4. Violations of the requirements of Part 26 for example:

accurate at the time provided. likely would of more than minor significance:

A licensee failure to meet or implement have resulted in a reconsideration of a

5. A failure to report acts of licensed any emergency planning standard or I

regulatory position or substantial further operators or supervisors pursuant to 10 CFR requirement not directly related to inquiry such as an additional inspection or 26.73; or assessment and notification.

a formal request for information:

6. Discrimination cases which, in

2. Incomplete or inaccurate information themselves, do not warrant a Severity Level Dated at Rockville. Maryland, this 6th day that the NRC requires be kept by a licensee IH categorization.

of May,1998 that is (a) incomplete or inaccurate because For the Nuclear Regulatory Commission.

of inadequate actions on the part of licensee Supplement VIII-Emergency Preparedness officials but not amounting to a Severity This supplement provides examples of violations in each of the four severity levels Secreta #7ofthe Commission

)

un,e example for viotauons for fitness.for duty as guidance in determming the appropriate (FR Doc. 98-12534 Filed 5-12-98; 8 45 am) relate to violanons of 10 CFR Part 26.

severity level for violations in the area of slumG CooE Mso-et-P 23 NUREG 1600, Rev. I

r 50.4(d) 50.7(e PART 50 DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES

$ 60.5 DeHberate misconduct.

> (a) Any licensee, applicant for a license, employee of a licensee or applicant; or any contractor (including a supplier or consultant), subcontractor, employee of a contractor or subcontractor of any licensee or applicant for a license, who knowingly provides to any licensee, applicant, contractor, or subcontractor, any components, equipment, materials, or other goods of services that relate to a licensee's or applicant's activities in this part, may not:

(1) Engage in deliberate misconduct that causes or would have caused, if not detected, a licensee or applicant to be in violation of any rule, regulation, or I

order; or any term, condition, or g limitation of any license issued by the Commission; or E (2) Deliberately submit to the NRC, a g licensee, an applicant, or a licensee's or applicant's contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurats in some respect material to the NRC.

(b) A person who violates paragraph (a)(1) or (a)(2) of this section may be subject'to enforcement action in accordance with the procedures in 10 CFR part 2, subpart B.

(c) For the purposes of paragraph (a)(1) of this section, deliberate.

misconduct by a person means an j

intentional act or omission that the 1

person knows:

(1) Would cause a licensee or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation, of any license i

issued by the Commission; or (2) Constitutes a violation of a i

requirement, procedure, instruction, contract, purchase order, or policy of a licensee, applicant, contractor, or subcontractor.

i 504a January 30,1998 (next page is 50-7)

1 50,4(d) 50.1(**

PART 50 a DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES l50.7 Empisyee protection.

~

(a) Discriminationby a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commtaaten licensee or applicant 4

againstanemp yeeforengagingin certain activities is prohibited.

D1 includes discharge and other actions that relate to compensation, terms, conditions, or privlieges of emplopnent. The pmtected activines an estabushed in section 211 of the Energy Reorganisation Act of 1974, as amanAnd and in general are related to the administration or enforcement of a requirernent imposed under the Atomic Energy Act or the ReorganiraHon Act.

g but are not limited to:e protected act (1

(i) Providing the Commission or his 6:

E her employer Information about alleged E violations of either of the statutes named ia ph (a)latroductory textof the on or possible violations of requirements imposed under either of those statutes; (11) Refdsing to engage in any pract'ce made unlawfulunder either of the statutes named in paragraph (a) introductory text or under these requirements !!the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; i

(iv)Testifyingin any Commission.

j proceeding, or before Congress, or at an:

Federal or State proceeding regarding any provision (or proposed provision) c l either of the statutes named in paragraph (a) introductory text.

(v) Assisting or participating in, or is-about to assist or participate in, these activities.

l 50 6a January 30,1998 l (next page is 50 7) 1

r:

a

)

+

50.7( )

50.9(b)

PART 50 o DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES (2)'Ibese activities are protected even Commisalon, during the term of the i

'~

ifme derenel

" -le actually licones, and for 30 days following c___

laitlated as a meelt of to esoployee

' license termination.

eselstemas orpestialpation.

(p)1his sectionhee as licaties to en tastion (2) Copies of NRC Form 3 may be this who, eating l obtained by writing to the Regional dies his or her Adminletrator of the appropriate U.S.

em (or the employer's egent),

E Nuclear Istcry Commission muses a violettom of any To Regional listed in Appendix D to Part so of this chapter or by calling the Act 4 as amended,orthe Atende k Act of NRCInformation and Records '

sese, se====aad Management Branch at (301) 415-7230.

1 (b) Any een whobelieves that he er she has discharged or otherwise discriodsened egoinst by any.

poseenIer la pselected (f) No epoement effecting the estivities in pengse (aM1) of cosapenestion, terms, conastions, or this escales sesy seek a y forthe privileges of employment,includiag en discharge er discehmination through an agreement to settle a complaint filed by ed-lataa-alve - " ;la the I an eenployee with the Department of Department ofIaber.The Labor pursuant to section 211 of the administativer. - -. " ; must be 2

lleorganiention Act of 1974, as isntleted witida 100 days aher an

[ ame

,may contain any provision I

E m_leged violation occurs. The employee g which would prohibit, restrict.or al ay Ethis Bling a esmplaint otherwise discourage an employee from i

3 ellegingthe with the partici in protected activity as

. t in paragraph (aX1)of this Department of Labor,"

Standards AA=ini=*=stion,dage and section including, but not limited to.

Hour Divielen.1he Department of Labor providing information to the NRC or to sney order =i==*=a===' back pay, and his or her employer on potential ob ph (a),(e), or (f)of this section by inston liconess, an applicent for a t'a==lanton license, or a contractor or subcontractor of a t'a==i==ta= l'a== or applicent

)

or suspension

.f so m.

(2) hnposition of a civil penalty on the i

t action.

I l'lOther o.d A.nes.s taen by - empio. or em.wid edve 4rse aise.an grounds.E preldbities applies when the adverse action ereurs because the esaployee has in protected activities. As bY mader him or herimmune groes dia% or.

discipune for seasons or from adverse assion by nonprohibited consideestions.

~(e)(1) Brich licensee and each applicant for a license shall prominently post the.

revision' f NRC Porm 3.

• Notice to e

Employees,' referenced in 10 CFR ts.st(s4.1 bis forsa must be posted at '

t at-a =m.e-a to permit osaployees E psetected by tido escalon to observe a Ti sepy on the way to er from their

~

of week.pnadese mustbe met laterthen 30 days sher en - '

"=

{>- g le decketed and somein poMIwhile the

.A <-

opplication is pending before the b

Lm

4,,

UTILIZATION FACILITIES 9

l l

1 I

1 i

s 1

i I

g 50.9 Completeness and accuracy of iniormation, (a)Information provided1o the Commission by an applicent for a license or by a licensee or information required by statute er byibe Commisalan's regulations. orders. or license conditions to.be snanntained by Ihe applicant er the licensee shall be complete and accuratein all material respects.

(b) Each applicant orlicensee shall notifv the===k=ionafidonnation r

identified hthe applicant er2icensee as a

[ hennafarlhesagdaladactivitya significant implication ser public health e

l and safetyersommen slatense and g security. Anaggsicantar36annsee violates this i eidy if.the applicant er fallstoaanfyshe em--i-ism sitsforenationJhat the applicant ar le===== has identinad as having a signirwant knytiostion far public health'and safetyer common defense and esicurity. Notification shall be provi6ed tothe Adannistratoratthe appropriate Itagional Olime wdhistwo worklag days ofidentifylag the

. information.This seq-e===a' As not a

cable loinformation which is required tobeprmidedto'the a

Coasnisdon by other vaporting or updaGng requirements.

October 31,1997

..s j