Nuclearsafety.gc.ca Joint Congress on Medical Imaging and Radiation Sciences May 28, 2015 e-Doc...

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Joint Congress on Medical Imaging and Radiation Sciences

May 28, 2015

e-Doc 4724278

CNSC Administrative Monetary Penalties

CNSC Administrative Monetary Penalties

OverviewOverview

2Canadian Nuclear Safety Commission

Jean-Claude PoirierSenior Project Officer

Internal Quality Management DivisionCanadian Nuclear Safety Commission


What are AMPs?What are AMPs?

Monetary penalties imposed by the CNSC for violations of a regulatory requirement

– Only violations listed in the AMPs Regulations are subject to an AMP

AMPs are:– Not criminal– One of several CNSC enforcement tools


History of AMPsHistory of AMPs

• Became popular in Canada in the 1990s• Today: 53+ Federal Acts in Canada contain

provisions for AMPs• Most provincial legislation also have AMPs• Common regulatory practice in U.S.A.,

Germany, UK and other countries

Purpose of AMPs: compliance and deterrence


Authority for AMPs (1)Authority for AMPs (1)

Canadian Legislative basis– Nuclear Safety and Control Act (NSCA)

sections 65.01 through 65.21• June 2012

– Administrative Monetary Penalties Regulations

• July 2013



AMPs legislation highlights:

– the rules surrounding violations

– designating CNSC staff who can issue an AMP

– designating CNSC staff who will conduct reviews

– the process and rules concerning a “Review”

– maximum penalty for a violation• $25K for an individual

• $100K for a corporation



The Regulations:

Section 1: DefinitionSection 2: Designation of what constitutes a violationSection 3: Classification of the violations

Three categories: A, B and CSection 4: Penalties RangesSection 5: Criteria to be used for determining the

amount of the penaltySection 6: Service of documentsSection 7: Coming into force



The CNSC can currently issue AMP penalties for violations to any of the provisions listed in the AMP Regulations Schedule.

These include specific violations to the Nuclear Safety and Control Act1.General Nuclear Safety and Control Regulations2.Radiation Protection Regulations3.Class I Nuclear Facilities Regulations4.Class II Nuclear Facilities and Prescribed Equipment Regulations5.Uranium Mines and Mills Regulations6.Nuclear Substances and Radiation Devices Regulations7.Packaging and Transport of Nuclear Substances Regulations8.Nuclear Security Regulations9.Nuclear Non-Proliferation Import and Export Control Regulations


• Achieve higher levels of compliance, and reduce risk to the health and safety and security of Canadians and their environment.

• Provide CNSC with a more comprehensive and

effective compliance and enforcement regime.

• Serve as a credible deterrent.

Goals of AMPsGoals of AMPs


Enfo

rcem

en

t

Failure of self-correction

Restore self-correction

Corrective Action Program

Non-compliance Violation

Compliance Vs EnforcementCompliance Vs Enforcement


Who do AMPs target?Who do AMPs target?


Considering AMPsConsidering AMPs

1.Compliance is not obtained using either regular interaction or written notices2.There is a history of repeat non-compliance3.Non-compliance is intentional or a result of negligence4.Harm is caused or would likely occur because of the non-compliance5.Non-compliance is motivated by competitive or economic benefit6.There is unreasonable risk to health, safety or the environment (likely in conjunction with an order)


CNSC AMP ProgramCNSC AMP Program

Rigorous Approval Process:

•Inspectors recommend AMPs•Director endorse all AMPs•Internal Quality Management Division reviews all AMPs (Quality Check)•Director General makes final decision


Penalty CalculationPenalty Calculation

Penalty amounts are affected by:

• The category of violation (A, B, C)• Who committed the violation (Individual or

Corporation)• Considering 7 determining factors


CategoriesCategories

Violations are classified into three broad categories, based on regulatory significance:

Category A (low regulatory significance)Category B (medium regulatory significance)Category C (high regulatory significance)


Penalty RangesPenalty Ranges

Ranges for Individuals

Category A: $300 - $3,000

Category B: $300 - $10,000

Category C: $300 - $25,000

Ranges for Corporations

Category A: $1,000 - $12,000

Category B: $1,000 - $40,000

Category C: $1,000 - $100,000

Category for each violation is stated in column 3 of the AMP Regulation Schedule


The ScheduleSample from the regulationsThe ScheduleSample from the regulations


Determining FactorsDetermining Factors

Factor Description Scale

Factors 1 to 4 represent the regulatory significance of the scoring. The higher the score; the greater the penalty amount

1 Compliance history Compliance history of the person who has committed the violation 0 to +5

2 Intention or negligence

Degree of intent or negligence on the part of the person 0 to +5

3 Actual or potential harm

Harm that resulted or could have resulted from the violation 0 to +5

4 Competitive or economic benefit

Whether the person derived any competitive or economic benefit from the violation 0 to +5

Factors 5 to 7 allow for the penalty amount to be decreased based on the assistance of the violator.

5 Efforts to mitigate or reverse effects

Whether the person made reasonable efforts to mitigate or reverse the violation’s effects -2 to +3

6 Assistance to Commission

Whether the person provided all reasonable assistance to the Commission -2 to +3

7 Attention of Commission

Whether the person brought the violation to the attention of the Commission -2 to +3

total factor score (maximum score is 29)


Review processReview process

• Anyone receiving an AMP can request a review within 30 days– Facts of violation– Amount of penalty

• Review is done by the Commission

• Commission issues record of decision


Web PostingWeb Posting

• AMPs are posted on CNSC website– Amount– Summary of violation– Regulatory requirement

• Notice of Violation is posted

• Posting happens after phone call to licensee


AMPs Program DescribedAMPs Program Described

REGDOC 3.5.2

For more Information on:– Enforcement options– Penalty calculation– Notice of Violation– Review process– Recovery of

penalties– Public disclosure


AMPs Issued to dateAMPs Issued to date

CNSC has issued 15 AMPs since 2013• 2 in 2013• 9 in 2014• 4 in 2015

All Regulatory Actions are posted on the CNSC website at:http://www.nuclearsafety.gc.ca/eng/acts-and-regulations/regulatory-action/index.cfm


Regulatory ToolboxRegulatory Toolbox

AMPs

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QuestionsQuestions

Thank You For Your Attention!

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