RMS - Classification of Inspection Findings & Escalated Enforcement

Classification of Findings & Escalated Enforcement

This section is designed to give licensees some insight on how inspection findings are classified and how the Branch's enforcement policy works.

CLASSIFICATION OF INSPECTION FINDINGS

Reportable inspection findings are classified as noted below. Along with each classification, a brief explanation which defines the finding and gives agency expectations for the response is also noted. PLEASE NOTE that all findings presented to you at the exit briefing are PRELIMINARY FINDINGS. The inspector will present the findings in the "most likely classification" at the exit briefing. The final report will be issued once the inspector has had time to formalize the inspection field notes and review findings with the Branch Manager. Once the Branch Manager has reviewed and approved the findings, the report will be mailed to the licensee, usually to the attention of the Radiation Safety Officer. If a written response is required, the due date for the response will be presented in the report cover letter.

Classification of Finding

Discussion

Item of Noncompliance

A clear violation of either the North Carolina Regulations for Protection Against Radiation, a Radioactive Materials License Condition, or a commitment made to the agency in support of a licensing action or to correct a previous violation. The licensee is required to provide a written response to the agency by the date stated in the report cover letter. The response time is typically 30 days from the DATE THE INSPECTION REPORT IS ISSUED, not the date of the inspection.

The report may list an item or items of noncompliance which do not need to be addressed. It will be clearly noted (usually in bold typeface) that the particular item of noncompliance does not need to be addressed as part of the response.

Unresolved Issue

This finding indicates that the inspector has identified an area of the program which will require further clarification. Typically, this finding serves to "open a dialog" between the licensee and the agency and resolve the activity/practice which was observed during the inspection. The licensee is required to provide a written response to the agency by the date stated in the report cover letter. The response time is typically 30 days from the DATE THE INSPECTION REPORT IS ISSUED, not the date of the inspection.

Enforcement Program

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The agency evaluates ALL inspection reports against its Escalated Enforcement Program. Details of the policy are noted below. If the agency concluded that escalated enforcement is warranted, then a letter will be sent to a representative of UPPER MANAGEMENT, normally the President or CEO. This letter will describe the proposed enforcement action (e.g. enforcement conference) and give dates for completion of the action(s) noted in the letter.

PLEASE NOTE that the evaluation of the inspection report against the Enforcement Policy is conducted SEPARATELY from the inspection process. This means that the licensee may have received and responded to a noncompliance summary report before the agency has completed any escalated enforcement actions.

The Escalated Enforcement Program seeks to protect the public health and safety and the environment by:

ensuring compliance with the North Carolina Radiation Protection Act, the North Carolina Regulations for Protection Against Radiation, and license conditions;

obtaining prompt correction of violations and conditions adverse to health and safety or the quality of the environment;

deterring future violations; and,

encouraging improvement of licensee performance.

There are five (5) possible outcomes when an inspection is reviewed against the escalated enforcement program:

No change in inspection frequency;

Enforcement Conference with Branch Management;

Increased Inspection Frequency;

Assessment of a Civil Penalty or Order; and/or

Suspension and/or Revocation of the license

The review of the inspection report against the Escalated Enforcement Program is conducted INDEPENDENT of the inspection process. In many cases, the inspection report is issued PRIOR TO its evaluation under the Enforcement Program.

Should the agency find sufficient evidence to bring an enforcement action against a licensee, the licensee's MANAGEMENT will be notified via CERTIFIED MAIL of the proposed enforcement action.