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Price-Anderson Amendment Act (PAAA) Compliance Policy

    Title:

    Price-Anderson Amendments Act (PAAA) Compliance Policy

    Publication date:

    1/10/2013

    Effective date:

    1/10/2013

    BRIEF

    Policy Summary

    Berkeley Lab is required by the University of California-Department of Energy (UC-DOE) Prime Contract to conform to the enforcement process of the Price-Anderson Amendments Act (PAAA), which indemnifies DOE contractors and subcontractors under contracts that involve a risk of public liability for nuclear safety, security, or worker safety and health incidents/issues.
    Berkeley Lab has established a PAAA compliance program to ensure prompt identification, reporting to DOE, and timely correction of noncompliances in order to mitigate civil or other penalties, and suspend the issuance of Notices of Violation for certain violations.

    Who Should Read This Policy

    • All levels of management, including the Laboratory Director, Chief Operating Officer, General Counsel, associate laboratory directors, division directors, division deputies, and department heads
    • Berkeley Lab employees responsible for identifying, investigating, evaluating, tracking, and trending noncompliances with DOE health, safety, and security regulations

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    Assurance and Quality Program Manager
    Office of Contractor Assurance

    Safety Compliance Program Manager
    Technical Support Services Group
    EHSS Division

    Title:

    Price-Anderson Amendments Act (PAAA) Compliance Policy

    Publication date:

    1/10/2013

    Effective date

    1/10/2013

    Policy

    A. Purpose

    This document describes the Lawrence Berkeley National Laboratory (Berkeley Lab) policy on compliance with the enforcement requirements of the Price-Anderson Amendments Act (PAAA).

    B. Persons Affected

    All persons who work at or visit Berkeley Lab

    C. Exceptions

    None

    D. Policy Statement

    Berkeley Lab has established and maintains a process to identify, evaluate, report, track, trend, and close noncompliances with Department of Energy (DOE) worker safety and health, nuclear safety, and security requirements in accordance with the PAAA and its primary implementing regulations.

    The PAAA indemnifies DOE contractors and subcontractors under contracts that include a risk of public liability for a nuclear safety or worker safety and health incidents. This indemnification is a form of self-insurance for claims resulting from nuclear or worker safety and health incidents, and provides a structure that assures monies are readily available to remedy damage to the public that may occur as the result of such an incident.

    Prompt identification, reporting, and timely correction of noncompliances may provide DOE with a basis to exercise discretion to mitigate civil or other penalties, and to suspend the issuance of Notices of Violation for certain violations.

    For specific details, refer to the Berkeley Lab Price-Anderson Amendments Act Compliance Program Manual.

    E. Roles and Responsibilities

    Role

    Responsibility

    Laboratory Director or Designee

    Appoints Berkeley Lab PAAA enforcement coordinators

    Berkeley Lab General Counsel

    • Reviews Preliminary Notices of Violation (PNOVs) and their responses to make recommendations relative to any considerations to deny a PNOV, appeal a PNOV, or request that a Compliance Order be rescinded or modified
    • Prepares appeals to Final Notices of Violation (FNOVs) and Compliance Orders, as appropriate
    • Represents Berkeley Lab during an Enforcement Action

    Director – Office of Institutional Assurance

    Responsible for and oversees the PAAA Compliance Assurance Program

    Manager Office of Contractor Assurance

    Provides management oversight of nuclear safety enforcement activities

    Deputy Division Director EHSS Technical Program Management

    Provides management oversight of worker safety and health enforcement activities and classified information issues

    PAAA Enforcement Coordinators

    • Oversee Berkeley Lab's compliance with PAAA 10 CFR 708, 10 CFR 830, 10 CFR 835, and/or 10 CFR 851 Rules
    • Are accountable to the Director of the Office of Institutional Assurance
    • Ensure that PAAA noncompliances, internally or externally reportable, are managed through resolution, and documented in the PAAA Noncompliance Tracking System (NTS) database
    • Maintain applicable documents and records
    • Provide technical guidance to line and cognizant management for PAAA noncompliances

    Cognizant Managers

    • Provide source documentation (e.g., assessment reports, Occurrence Reporting and Processing System [ORPS] reports, issues, and other pertinent data) to the enforcement coordinators for review
    • Provide information, as requested, to the enforcement coordinators for potentially reportable noncompliances
    • Provide support, as necessary, for causal analyses, to develop corrective actions, and to ensure effectiveness of corrective actions for noncompliances

    Berkeley Lab Staff

    Notifies cognizant management of potential issues or events

    F. Definitions/Acronyms

    Terms

    Definitions

    Compliance Order

    An order issued by the Secretary of Energy to a contractor that mandates a remedy, work stoppage, or other action to address a situation that violates, potentially violates, or is inconsistent with a requirement of a PAAA rule

    Consent Order

    Any written document, signed by the DOE Director of Enforcement and a contractor, containing stipulations or conclusions of fact or law and a remedy acceptable to both DOE and the contractor

    Enforcement Action

    The issuance of an Enforcement Letter, Consent Order, or a Preliminary Notice of Violation (PNOV) or Final Notice of Violation (FNOV) with or without a civil penalty

    Exemptions

    The final order that sets forth the relief, waiver, or release, either temporary or permanent, from a DOE nuclear safety requirement, as granted by the appropriate Secretarial Officer pursuant to the provisions of Subpart E of 10 CFR 820

    Final Notice of Violation (FNOV)

    A document that determines a contractor has violated or is continuing to violate a requirement of the PAAA Rules. The FNOV includes a statement specifying the requirement to which the violation relates; a concise statement of the basis for the determination; any remedy, including the amount of any civil penalty; and a statement explaining the reasoning behind any remedy.

    Final Order

    An order of the Secretary of Energy that represents final agency action and, where appropriate, imposes a remedy with which the recipient of the order must comply

    Noncompliance

    Failure to comply with an applicable DOE nuclear safety or worker safety and health requirement, the Contractor Assurance System Description, the Berkeley Lab Operating and Quality Management Plan or the Worker Safety and Health Program, or the Berkeley Lab Radiation Protection Plan

    Noncompliance Tracking System (NTS)

    A centralized database maintained by DOE for reporting and tracking reportable PAAA noncompliances of nuclear safety requirements, allowing DOE contractors to take advantage of mitigation provisions in the enforcement policy

    Preliminary Notice of Violation (PNOV)

    A document that sets forth the preliminary conclusions that a contractor has violated or is continuing to violate a requirement of the PAAA, Nuclear Safety or Worker Safety and Health Rules. The PNOV specifies the requirement to which the violation relates; concisely states the basis for alleging the violation; describes any remedy, including the amount of any proposed civil penalty; and explains the reasoning behind any proposed remedy.

    Price-Anderson Amendments Act (PAAA)

    The federal law that authorizes DOE to establish an enforcement program subjecting DOE contractors, subcontractors, and suppliers to potential civil and criminal penalties for violation of DOE nuclear safety, worker safety and health, and classified information security rules, regulations, and compliance orders

    G. Recordkeeping Requirements

    Records generated as result of performance of this procedure are quality-assurance records and are maintained in accordance with Requirements and Policies Manual (RPM) requirements. These records include, but are not limited to:

    • Nuclear Safety Noncompliance Determination Screening Form
    • Noncompliance Tracking System (NTS) Nuclear Safety Reportability Determination Forms
    • Worker Safety and Health Noncompliance Determination Screening Forms
    • PAAA Log

    H. Implementing Documents

    Document Number

    Description

    Type

    04.02.004.001

    Price-Anderson Amendments Act (PAAA) Compliance Program Manual

    Manual

    I. Contact Information

    Assurance and Quality Program Manager
    Office of Contractor Assurance

    Safety Compliance Program Manager
    Technical Support Services Group
    EHSS Division

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/10/2013

    0

    M. Gravois and B. Wells

    Documentation of existing policy

    All

    Major

    DOCUMENT INFORMATION

    Title:

    Price-Anderson Amendments Act (PAAA) Compliance Policy

    Document number

    04.02.004.000

    Revision number

    0

    Publication date:

    1/10/2013

    Effective date:

    1/10/2013

    Next review date:

    1/10/2016

    Policy Area:

    Contractor Assurance

    RPM Section (home)

    Contractor Performance Management

    RPM Section (cross-reference)

    ESH General Policy

    Functional Division

    EHSS, OCA

    Prior reference information (optional)

     

    Source Requirements Documents

    • Contract 31, Clause I.76 - DEAR 970.5203-1 Management Controls (Jun 2007) (deviation)
    • Contract 31, Clause I.83 - DEAR 970.5215-3 Conditional Payment of Fee, Profit, and Other Incentives – Facility Management Contracts (Aug 2009) (Alternate I) (Aug 2009)
    • Contract 31, Clause I.126 - DEAR 952.250-70 Nuclear Hazards Indemnity Agreement (Oct 2005)
    • 10 CFR 708, DOE Contractor Employee Protection Program
    • 10 CFR 830, Nuclear Safety Management
    • 10 CFR 835, Occupational Radiation Protection and
    • 10 CFR 851, Worker Safety and Health Program

    Other Driving Requirements

    • 10 CFR 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations
    • Issues Management policy, 04.02.003.000

    Implementing Documents

    Document Number

    Description

    Type

    04.02.004.001

    Price-Anderson Amendments Act (PAAA) Compliance Program Manual

    Manual

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