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Background Summary
Summary
What is it?
The DOE Enforcement process is a management tool to take action judiciously against
a DOE contractor when safety significant actions/conditions exist
that violate nuclear safety requirements.
DOE's enforcement process, authority and policy are
embodied in a Congressionally mandated statute and a Rule, supplemented
by guidance documents, implementation plans and non-compliance
tracking.
Tools include
enforcement conference, notice of violation, civil penalty, and
DOJ referral for criminal prosecution for matters involving
willful and intentional violations.
The process steps
ensure effective DOE Field, Program, EH and contractor management
involvement. DOE recognizes that line management has primary responsibility
for safety.
Why is it required?
Mandated by
1988 Price-Anderson Amendments Act, DOE is to take enforcement
action against contractors for violation of nuclear safety requirements.
Part of the Secretary's total Safety Management Program, Enforcement
is a cornerstone of the program, and it is one of the tools available
to DOE for holding contractors accountable to meeting performance
expectations.
How is it structured?
The Enforcement
Policy provides strong incentive for contractors to improve safety;
comply with safety requirements; and proactively identify, report
and correct noncompliances.
The Enforcement
threshold criteria is based on safety significance of
violations to ensure focus on important safety issues rather
than rote compliance.
Incentive for
self-reporting and proactive corrective action is through mitigation
of enforcement action and civil penalty, based on proper actions
by the contractor.
Violations are
also identified through existing DOE activities such as Field
Office evaluations and surveillance, incidents, occurrence reports,
and review of EH Oversight and DNFSB reports.
Who administers it?
The Office of Enforcement and Investigation (Director,
5 staff members).
Independent
decision process involving Principal Deputy Assistant Secretary
for Environment, Safety and Health for cases relating to potential
civil penalties.
Matrix approach
to utilize existing resources and support Field Office effectiveness.
Matrix contains 40 PAAA Coordinators in Field and Program Offices and
42 contractor PAAA Coordinators (plus additional facility specific
technical assistance from EH, DOE Field and Program personnel
provided when necessary and appropriate).
Enforcement
Staff provides independent judgment on compliance, safety significance,
corrective actions and enforcement actions while providing for
maximum level of input for DOE line management and contractor.
This page was last updated on November 01, 2007
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