NRC Enforcement Policy NRC ENFORCEMENT POLICY Table of Contents PREFACE ............................................................................................................................ 3 1.0 INTRODUCTION ...................................................................................................... 4 1.1 Purpose of the Enforcement Policy................................................................ 5 1.2 Applicability of the Enforcement Policy .......................................................... 5 1.3 Statutory Authority......................................................................................... 6 1.4 Regulatory Framework .................................................................................. 6 1.5 Adequate Protection Standard....................................................................... 6 2.0 NRC ENFORCEMENT PROCESS ........................................................................... 6 2.1 Identification of Violations.............................................................................. 7 2.2 Assessment of Violations............................................................................... 7 2.2.1 Factors Affecting Assessment of Violations........................................ 7 2.2.2 Severity Levels .................................................................................. 8 2.2.3 Significance Determination Process................................................... 9 2.2.3.1 Exceptions to the Use of the SDP......................................... 10 2.3 Disposition of Violations .............................................................................. 10 2.3.1 Minor Violations ............................................................................... 10 2.3.2 More than Minor Violations .............................................................. 10 2.3.3 Reopening Closed Enforcement Actions.......................................... 14 2.3.4 Enforcement Guidance Memorandum.............................................. 14 2.3.5 Commission Notification and Consultation ....................................... 14 2.4 Participation in the Enforcement Process .................................................... 15 2.4.1 Predecisional Enforcement Conference ........................................... 15 2.4.2 Regulatory Conference .................................................................... 16 2.4.3 Alternative Dispute Resolution ......................................................... 16 3.0 USE OF ENFORCEMENT DISCRETION ............................................................... 16 3.1 Violations Identified During Extended Shutdowns or Work Stoppages ........ 17 3.2 Violations Involving Old Design Issues ........................................................ 17 3.3 Violations Indentified Due to Previous Enforcement Actions........................ 18 3.4 Violations Involving Certain Discrimination Issues ....................................... 18 3.5 Violations Involving Special Circumstances................................................. 19 3.6 Use of Discretion in Determining the Amount of a Civil Penalty .................. 19 3.7 Exercise of Discretion to Issue Orders ........................................................ 20 3.8 Notices of Enforcement Discretion (NOED) for Reactor Licensees.............. 20 3.9 Enforcement Discretion for Certain Fire Protection Issues (10 CFR 50.48) . 21 4.0 ENFORCEMENT ACTIONS AGAINST INDIVIDUALS............................................ 22 1 NRC Enforcement Policy 4.1 Circumstances When Enforcement Action Against An Individual May Be Taken ............................................................................................. 23 4.2 Notice of Violation (NOV) and Orders to Individuals .................................... 24 4.2.1 Licensed Individuals......................................................................... 24 4.2.2 Non-Licensed Individuals ................................................................. 25 4.3 Civil Penalties to Individuals ........................................................................ 25 4.4 Confirmatory Orders to Individuals .............................................................. 25 5.0 PUBLIC AVAILABILITY OF INFORMATION REGARDING ENFORCEMENT ACTIONS.................................................................................... 25 6.0 SUPPLEMENTS - VIOLATION EXAMPLES ........................................................... 26 6.1 Reactor Operations ..................................................................................... 26 6.2 Fuel Cycle Operations ................................................................................ 26 6.3 Materials Operations ..................................................................................28 6.4 Licensed Operators ....................................................................................28 6.5 Facility Construction .................................................................................... 29 6.6 Emergency Preparedness .......................................................................... 29 6.7 Health Physics............................................................................................. 30 6.8 Transportation ............................................................................................31 6.9 Inaccurate and Incomplete Information and Reporting ................................ 31 6.10 Discrimination.............................................................................................. 33 6.11 Reactor and Fuel Facility Security ............................................................... 33 6.12 Materials Security........................................................................................ 36 6.13 Information Security ....................................................................................36 7.0 GLOSSARY OF TERMS......................................................................................... 37 8.0 TABLE OF BASE CIVIL PENALTIES...................................................................... 42 2 NRC Enforcement Policy Preface The U.S. Nuclear Regulatory Commission (NRC) Enforcement Policy sets forth the general principles governing the NRC’s enforcement program and the Commission’s expectations regarding the process to be used by the NRC to assess and disposition violations of NRC requirements. However, this is a policy statement and not a regulation. The Commission may deviate from this statement of policy as appropriate under the circumstances of a particular case. The Policy also describes how organizations and individuals subject to NRC enforcement actions can provide input to the process. A Glossary of Terms is provided which defines specific terms or words as they are used in the context of this Policy. Specific procedures and guidance for implementing this Policy are contained in the NRC Enforcement Manual at http://www.nrc.gov/about-nrc/regulatory/enforcement/guidance.html#manual A compilation of the statutes and materials pertaining to current nuclear regulatory legislation can be found on the NRC Home Page at http://www.nrc.gov/reading-rm/doc- collections/nuregs/staff/sr0980/. Changes to the NRC Enforcement Policy since it was first published with links to a summary of each change and the Federal Register notice (FRN) for each change is maintained at http://www.nrc.gov/reading-rm/doc-collections/enforcement/history/ 3 NRC Enforcement Policy 1.0 Introduction The U.S. Nuclear Regulatory Commission=s (NRC, Commission, or Agency) mission is to license and regulate the Nation's civilian use of byproduct, source, and special nuclear materials to ensure adequate protection of public health and safety, promote the common defense and security, and protect the environment. The NRC carries out its mission, in part, by: a. Establishing requirements and guidance addressing the possession and use of source, byproduct, and special nuclear material; and b. Licensing applicants to use source, byproduct, and special nuclear material and operate licensed facilities in accordance with NRC requirements and specific license conditions. Oversight of licensed activities verifies that licensees are complying with NRC requirements and license conditions. Enforcement is an important part of the NRC=s oversight activities. Figure 1 – How the NRC Regulates 4 NRC Enforcement Policy 1.1 Purpose of the NRC Enforcement Policy The NRC Enforcement Policy supports the NRC's mission to ensure adequate protection of public health and safety, promote the common defense and security, and protect the environment. Compliance with NRC requirements, including regulations, technical specifications, license conditions, and orders, provides confidence to the NRC and the public that safety and security are being maintained. Consistent with this objective, the enforcement policy endeavors to: a. Deter noncompliance by emphasizing the importance of compliance with NRC requirements; and b. Encourage prompt identification and prompt comprehensive correction of violations of NRC requirements. 1.2 Applicability of the Enforcement Policy The enforcement policy applies to all NRC licensees and applicants, to various categories of non-licensees, and to individual employees of licensed and non-licensed entities involved in NRC-regulated activities. These include, but are not limited to: a. Organizations and individuals holding NRC licenses; b. License applicants; c. Contractors and subcontractors