Transportation Enforcement Guidance

HPPOS-151 PDR-9111220098

See the memorandum from D. Thompson to R. Carlson (and others) dated May 4, 1981.

This memo provides enforcement guidance for transportation violations (with and without State actions) involving transport of low specific activity (LSA) radwaste to a commercial disposal site. References to Interim Enforcement Policy are outdated.

The Region should first determine whether the appropriate State has taken any enforcement action (e.g., imposition of a civil penalty or suspension or revocation of the licensee's burial permit) against the licensee as a result of the violation. If the State has taken action, the only further NRC enforcement action is the issuance of a Notice of Violation (NOV). If the Severity Level of the violation, as determined by the Region, is IV, V, or VI, the NOV is issued by the Region. If the Severity Level of the violation determined by the Region is I, II, or III, the enforcement package should be forwarded to IE Headquarters for issuance of a Headquarters NOV. In either case, the NOV and accompanying documents will require the licensee to submit a description of the corrective action the licensee proposes to take or has taken in order to insure against future violations of a similar nature. The corrective action will be reviewed by the Region and if deemed unsatisfactory, further enforcement action to ensure compliance with NRC regulations will be considered.

Violations categorized at Severity Levels I, II, or III and discovered by the NRC at the licensee's facility or where the State has not taken action will be forwarded by the Region to Headquarters in the standard enforcement package with recommendations for appropriate enforcement (civil penalties, etc.). In situations where the violation is "similar" to a previous violation committed by the licensee, enforcement action beyond the issuance of a Regional or Headquarters NOV will normally be taken, even when the State itself has taken enforcement action. In order to determine "similar" violations, previous corrective actions undertaken by the licensee will be examined. If previous corrective actions could have prevented the violation from occurring, the violation will be considered "similar" and further enforcement action is appropriate.

For those cases where appropriate enforcement action to be taken beyond the level of a NOV involves a civil penalty (e.g., where the State has not taken any enforcement action or where "similar" violations have occurred), the amount of base civil penalty is calculated as follows. For first time violations, penalties are assessed at 25% of the values described in Table 1 of the Interim Enforcement Policy (45 Fed. Reg. 66756). If the violation is "similar" to one that previously occurred, penalties should be assessed at 50% of the values described in Table 1 of the Interim Enforcement Policy. For violations that have occurred more than twice, the appropriate level of civil penalty or other enforcement action will be determined on a case-by-case basis.

Regulatory references: 10 CFR 2

Subject codes: 12.7, 12.9, 12.17

Applicability: All

Page Last Reviewed/Updated Monday, October 16, 2017