Information Notice No. 79-20, NRC Enforcement Policy - NRC Licensed Individuals
IN79020
August 10, 1979
MEMORANDUM FOR: B. H. Grier, Director, Region I
J. P. O'Reilly, Director, Region II
J. G. Keppler, Director, Region III
K. V. Seyfrit, Director, Region IV
R. H. Engelken, Director, Region V
FROM: Norman C. Moseley, Director, division of Reactor
Operations Inspection, IE
SUBJECT: Information Notice No. 79-20, NRC ENFORCEMENT POLICY
- NRC LICENSED INDIVIDUALS
The subject document is transmitted for issuance on August 14, 1979. The
Information Notice should be issued to all research reactor, test reactor
and power reactor facilities with an operating license or construction
permit and to production facility licensees that employ NRC licensed
operators.
Norman C. Moseley, Director
Division of Reactor Operations
Inspection
Office of Inspection and Enforcement
Enclosures:
1. IE Information Notice
No. 79-20
2. Draft Transmittal Letter
CONTACT: J. C. Stone, IE
49-28019
.
(Draft letter to all research reactor, test reactor and power reactor
facilities with an operating license or construction permit and to
production facility licensees that employ NRC licensed operators)
Information Notice No. 79-20
Addressee:
With this Information Notice the Nuclear Regulatory Commission is extending
an existing mechanism previously used for informing facility licensees of
significant operating events to include informing operator licensees of
significant events which could impact on conditions of their NRC licenses.
It is requested that the facility licensee provide copies of this
Information Notice to all NRC licensed individuals at the facility. No
specific response is requested at this time. If you have questions regarding
this matter please contact the Director of the appropriate NRC Regional
Office.
Sincerely,
Signature
(Regional Director)
Enclosures:
1. Information Notice No. 79-20
2. List of IE Information Notices
Issued in 1979
.
SSINS: 6870
Accession No:
7908090260
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF INSPECTION AND ENFORCEMENT
WASHINGTON, D.C. 20555
August 14, 1979
Information Notice No. 79-20
NRC ENFORCEMENT POLICY - NRC LICENSED INDIVIDUALS
Background:
In the past, NRC licensed individuals have been cited by the NRC for failure
to comply with the conditions of their licenses. These items of
noncompliance can generally be characterized as serious or repeated failures
to follow reactor operating procedures. Two recent events involving the
radiation overexposure of NRC licensed individuals through their violation
of utility procedures, facility Technical Specifications and the Code of
Federal Regulations have raised questions about the exercise of their
responsibilities.
The purpose of this Information Notice is two-fold:
(1) To remind the NRC licensed individuals of their responsibilities, not
only in the proper operation of the facility controls, but in
compliance with the facility administrative procedures, and
(2) To summarize the enforcement sanctions available to the NRC for use
against licensed individuals.
Description of Circumstances:
1. Responsibilities
Facility licensees are charged with the responsibility to design,
construct and operate their plants in accordance with NRC requirements
to assure that public health and safety are protected. The role of NRC
licensed individuals is no less important in the overall Regulatory
scheme. The NRC recognizes that timely actions by NRC licensed
individuals are an important part of safety. Reliance on these actions
is a part of the defense-in-depth concept. Specifically, the NRC
requires that:
(1) Only licensed operators are permitted to manipulate the controls
that directly affect reactivity (10 CFR 50.54 (i))
(2) Licensed operators are required to be present at the controls at
all times during the operation of the facility (10 CFR 50.54 (k))
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Information Notice No. 79-20 August 14, 1979
Page 2 of 3
(3) Operation of mechanisms and apparatus other than controls which
may indirectly affect the power level or reactivity of a reactor
shall only be accomplished with the knowledge and consent of an
operator licensed in accordance with Part 55 (10 CFR 50.54 (j))
(4) Licensed senior operators are required to be present at the
facility during specified conditions, and available or on call at
other times during operation (10 CFR 50.54 (m))
(5) The NRC licensed individual shall observe all applicable rules,
regulations and orders of the Commission, whether or not stated in
the license (10 CFR 55.31(d))
The above requires the NRC licensed individual to comply with the
requirements pertaining to the operation-of the facility and manipulation of
its controls and to comply with radiation safety procedures implementing 10
CFR 20.
NRC policy for the responsibility for safe operation of NRC licensed
facilities continues to be as follows:
(1) The facility licensee is responsible for assuring that the
facility is operated within the requirements of the license,
Technical Specifications, rules, regulations, Orders of the NRC
and for the actions of their employees.
(2) NRC licensed individuals are responsible for taking timely and
proper actions so as not to create or cause a hazard to "safe
operation of the facility" (i. e. actions or activities, including
failure to take action, related to the facility which could have
an adverse affect on the health and safety of the public, plant
workers or the individuals).
2. Enforcement Sanctions
On December 31, 1974, the then AEC sent a letter to all facility
licensees containing the criteria for determining enforcement action
and the categories of noncompliance with AEC regulatory requirements.
Those criteria and categories are applicable to NRC licensed
individuals as well as facility licensees.
Paragraph 55.40(b) of Title 10 of the Code of Federal Regulations
prescribes that NRC issued operator licenses may be revoked, suspended
or modified for failure to observe any terms or conditions of any rule,
regulation or Order of the Commission, or any conduct determined to be
a hazard to safe operation of the facility. These would generally
involve serious items of noncompliance where: (1) the individuals'
action clearly demonstrate inattention to duties or disregard for
requirements including technical specifications and operating
procedures; (2) the NRC licensed individual takes (or fails to take) a
required action that results in significant actual or potential safety
consequences; or (3) there is repetitive noncompliance with regulatory
requirements.
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Information Notice No. 79-20 August 14, 1979
Page 3 of 3
Examples of situations which could result in violations include:
(1) Noting a serious-violation of procedural requirements and not
taking corrective action
(2) Unauthorized bypassing of required reactor safety systems
(3) Defeating alarms which have serious safety significance
(4) Unauthorized abandoning of reactor controls
(5) Knowingly taking actions that violate TS Limiting Conditions
for Operation
The examples listed above involve the failure of a NRC licensed individual
to follow procedures and adhere to controls. These are violations of NRC
requirements. In the past the NRC has issued Notices of Violation, as
provided for in 10 CFR 2.201, and suspended, modified or revoked the
license, as provided for in 10 CFR 55.40 (b), of NRC licensed individuals.
The issuance of civil monetary penalties, as provided for in 10 CFR 2.205
and 10 CFR 55.50, or criminal charges, as provided for in 10 CFR 55.50, have
not been previously used against NRC licensed individuals but may be used if
the circumstances warrant such action.
The Commission will continue to monitor the performance of NRC licensed
individuals and will continue to take the appropriate enforcement action
against NRC licensed individuals.
No written response to this Information Notice is required. If you have
questions regarding this matter, please contact the Director of the
appropriate NRC Regional Office.
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