Summary - Exercise of Discretion; Civil Penalty Adjustment Factors; Enforcement Against Individuals; Modify Examples in Supplements 10 CFR 50.59, Medical Misadministrations, Transportation, Safeguards
On October 13, 1988 the Commission issued its next Enforcement Policy revision. This revision further expanded the guidance on Exercise of Discretion, including three SL III situations where issuing a CP might not be appropriate: (1) licensee identified and corrected violations that are non-willful, not indicative of a management control breakdown, and not involving overexposures or excessive release of radioactive material; (2) past violations that are unlikely to be identified during routine quality assurance activities, where aggressive licensee action is responsible for identification; and (3) additional occurrences of a violation for which enforcement action has already been taken (i.e., additional occurrences discovered as part of the licensee's corrective action investigation).
The 1988 revision expanded the guidance on several CP adjustment factors: (1) to allow escalation for NRC identification; (2) to specify a time period for considering past performance, and to allow more flexibility in applying this factor; (3) to permit escalation of up to 100% for prior notice and multiple examples; (4) to designate duration as an adjustment factor; and (5) several other minor changes. Changes were also made to several examples in the supplements: significantly, the Reactor Operations supplement was modified to emphasize the severity of operating in an unanalyzed condition, and an example was added to several supplements of an SL III problem for cases in which "... multiple or recurring violations ... collectively reflect a potentially significant lack of attention or carelessness toward licensed responsibilities."