Administrative Monetary Penalties Regulations (Canadian Nuclear Safety Commission) (SOR/2013-139)

Regulations are current to 2016-09-18 and last amended on 2015-06-12. Previous Versions

SCHEDULE(sections 2 and 3)Violations

PART 1

Nuclear Safety and Control Act

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
126Carrying on a prescribed activity without or contrary to a licenceB
227(a)Failure to properly keep, retain or disclose prescribed recordsA
327(b)Failure to make prescribed reports and file them in the prescribed mannerA
436Failure to assist an inspector in carrying out their dutiesB
541Failure to comply with an order within the time specifiedB
645Failure to notify the Commission when a place or vehicle is contaminated or when an event has occurred that is likely to result in an exposureB
748(a)Alteration or misuse of things, otherwise than pursuant to the regulations and licenceB
848(b)Disclosure of prescribed information, except pursuant to the regulationsA
948(c)Failure to comply with a condition of a licenceC
1048(d)Making a false or misleading statementB
1148(e)Failure to comply with an order of the Commission, a designated officer or an inspectorC
1248(f)Failure to assist or give information requested by an inspector, or interfering with the inspector’s dutiesC
1348(g)Taking disciplinary action against a person who assists or gives information to the Commission, designated officer or inspectorB
1448(h)Terminating or varying the terms of employment of a nuclear energy worker who has exceeded their radiation dose limit, except in the prescribed manner and circumstancesB
1548(i)Falsifying a recordB
1648(j)Failure to comply with an order of a courtC
1749(a)Failure to ensure required staff is present to maintain a nuclear facility in a safe conditionB
1849(b)Failure to report for duty or withdrawal of services other than in accordance with proceduresB
1950Possession of nuclear substance, or prescribed information or equipment, capable of being used for nuclear weapons or explosive devicesC

PART 2

General Nuclear Safety and Control Regulations

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
112(1)(a)Failure to ensure the presence of a sufficient number of qualified workers to carry out the licensed activityB
212(1)(b)Failure to train workers to carry on the licensed activity, as requiredB
312(1)(c)Failure to take all reasonable precautions to protect the environment and the health and safety of persons and to maintain securityB
412(1)(d)Failure to provide and maintain required devicesB
512(1)(e)Failure to require use of equipment, devices, clothing or procedures, as requiredB
612(1)(f)Failure to take reasonable precautions to control release of radioactive nuclear substances or hazardous substancesB
712(1)(g)Failure to implement measures to be alerted to the illegal use or removal of a nuclear substance or prescribed information or equipment, or the illegal use of a nuclear facilityB
812(1)(h)Failure to implement measures to be alerted of sabotage or attempted sabotageB
912(1)(i)Failure to take measures to facilitate Canada’s compliance with any safeguards agreementA
1012(1)(j)Failure to instruct workers on physical security program and their obligationsB
1112(1)(k)Failure to keep the Nuclear Safety and Control Act and regulations available to workersA
1212(2)Failure to file a report responding to a Commission request within the specified time and with the prescribed informationB
1313Transfer of a nuclear substance, prescribed information or prescribed equipment to a person who does not hold the required licenceB
1414(1)(a)Failure to post copy of licenceA
1514(1)(b)Failure to post noticeA
1614(2)Failure to have copy of licence in fieldA
1715(a)Failure of applicant or licensee to notify the Commission of the persons acting for themA
1815(b)Failure of applicant or licensee to notify the Commission of the persons responsible for the management and control of the activity, substance, facility, equipment or information encompassed by licenceA
1915(c)Failure of applicant or licensee to notify the Commission on time about change in contact persons or responsible personsA
2016Failure to make health and safety information available to workers, as requiredB
2117(a)Failure of worker to properly use equipment, devices, facilities and clothingB
2217(b)Failure of worker to comply with licensee’s measures to protect the environment and the health and safety of persons, maintain security, control radiation doses and levels and control releases of nuclear substances and hazardous substancesB
2317(c)(i)Failure of worker to promptly inform licensee or supervisor of increase in risk to the environment or health and safety of personsB
2417(c)(ii)Failure of worker to promptly inform licensee or supervisor of threat to maintenance of nuclear facility or substances or an incident with respect to securityB
2517(c)(iii)Failure of worker to promptly inform licensee or supervisor of non-compliance with the Nuclear Safety and Control Act, its regulations or licenceB
2617(c)(iv)Failure of worker to promptly inform licensee or supervisor of sabotage, theft, loss or illegal use or possession of nuclear substance or prescribed information or equipmentB
2717(c)(v)Failure of worker to promptly inform licensee or supervisor of release of radioactive nuclear substances or hazardous substancesB
2817(d)Failure of worker to obey notices and warning signsB
2917(e)Failure of worker to take all reasonable precautions to ensure safetyB
3018Failure to present an import or export licence to customs officerB
3123(1)Transfer or disclosure of prescribed information without legal requirement or to an unauthorized personB
3223(2)Failure to take precautions to prevent unauthorized transfer or disclosure of prescribed informationB
3327Failure to keep record of licence information submitted to the CommissionA
3428(1)Failure to retain record for the period specifiedA
3528(2)Improper disposal of a recordA
3628(3)Failure to file a requested record with the Commission prior to disposal of that recordA
3729(1)Failure to immediately make a preliminary report to the Commission of a specified situation and of actions taken by the licenseeB
3829(2)Failure to file full report on time and with the prescribed informationA
3930(1)(a)Failure to immediately make a preliminary report to the Commission on interference with or interruption in operation of safeguards equipment or alteration of safeguards sealB
4030(1)(b)Failure to immediately make a preliminary report to the Commission on theft, loss or sabotage of safeguards equipment or samplesB
4130(2)Failure to file full report within the specified period and with the prescribed informationA
4231Failure to file a report with the Commission within the specified period of an inaccuracy or incompleteness in a record that the licensee is required to keepA
4332(1)Failure to include name and address of sender or date in reportA

PART 3

Radiation Protection Regulations

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
13Failure to inform therapy patients of methods for reducing the exposure of others to radiationB
24(a)(i)Failure to keep exposure to radiation to persons as low as reasonably achievable through the implementation of management control over work practicesB
34(a)(ii)Failure to keep exposure to radiation to persons as low as reasonably achievable through the implementation of personnel qualification and trainingB
44(a)(iii)Failure to keep exposure to radiation to persons as low as reasonably achievable through the implementation of control of occupational and public exposure to radiationB
54(a)(iv)Failure to keep exposure to radiation to persons as low as reasonably achievable through the implementation of planning for unusual situationsB
64(b)Failure to ascertain the quantity and concentration of nuclear substance released as a result of a licensed activityB
75Failure to ascertain and record as requiredB
86(2)(a)Failure to conduct an investigation after becoming aware that action level is reachedB
96(2)(b)Failure to identify and take action to restore the effectiveness of the radiation protection program after becoming aware that action level is reachedB
106(2)(c)Failure to notify the Commission within the specified period after becoming aware that action level is reachedB
117(1)(a)Failure to inform nuclear energy workers in writing that they are nuclear energy workersA
127(1)(b)Failure to inform nuclear energy workers in writing of the risks associated with exposure to radiationA
137(1)(c)Failure to inform nuclear energy workers in writing of the effective and equivalent dose limitsA
147(1)(d)Failure to inform nuclear energy workers in writing of their radiation dose levelsA
157(2)Failure to inform female nuclear energy workers in writing of the rights and obligations of pregnant nuclear energy workersB
167(3)Failure to obtain written acknowledgement from nuclear energy workers that the specified information was receivedA
178Failure to use licensed dosimetry service to measure doses of radiation received by nuclear energy workersB
189Failure to inform person of purpose for collecting their personal informationA
1910Failure of a nuclear energy worker to provide the specified information at request of the licenseeA
2011(1)Failure of female nuclear energy worker to immediately notify the licensee in writing upon becoming aware of pregnancyA
2111(2)Failure to accommodate pregnant nuclear energy workerB
2213Failure to ensure that the effective dose limit is not exceededC
2314Failure to ensure that the equivalent dose limit is not exceededC
2415Failure to limit doses during an emergency and the consequent immediate and urgent remedial workB
2516(a)Failure to immediately notify person and the Commission after a dose limit is exceededB
2616(b)Failure to require the person to leave any work that is likely to add to the dose after a dose limit is exceededB
2716(c)Failure to conduct an investigation after a dose limit is exceededB
2816(d)Failure to take action to prevent similar incidents after a dose limit is exceededB
2916(e)Failure to report the results of the investigation on the exceeded dose limit to the Commission within the specified periodB
3019Failure of licensee operating a dosimetry service to file information on nuclear energy workers with the National Dose RegistryA
3120(1)Possession of container or device containing a radioactive nuclear substance without proper labellingB
3221Failure to post radiation warning signsB
3322Use of improper radiation warning symbolA
3423Frivolous posting of radiation warning signsA
3524Failure to keep record of the name and job category of each nuclear energy workerB

PART 4

Class I Nuclear Facilities Regulations

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
114(1)Failure to keep record of the results of effluent and environmental monitoring programsA
214(2)Failure to keep operation recordA
314(3)Failure to keep decommissioning recordA
414(4)Failure to retain record for the specified periodA
514(5)Failure to retain record relating to a nuclear energy worker for the specified periodA

PART 5

Class II Nuclear Facilities and Prescribed Equipment Regulations

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
110(a)Use of uncertified Class II prescribed equipmentB
210(b)Failure to use Class II prescribed equipment in accordance with a licenceB
315(2)(a)Failure to equip entrance door to Class II prescribed equipment room with device that stops the equipment when door is openedB
415(2)(b)Failure to equip entrance door to Class II prescribed equipment room with device that prevents the equipment from being usedB
515(2)(c)Failure to design entrance door to Class II prescribed equipment room to prevent persons from being locked inB
615(3)(a)Failure to equip entrance to Class II prescribed equipment room with device that stops the equipment when someone passes through the entranceB
715(3)(b)Failure to equip entrance to Class II prescribed equipment room with device that prevents the equipment from being usedB
815(4)Failure to equip room where Class II prescribed equipment that is used on persons is located with a viewing systemB
915(5)Failure to equip entrance to Class II prescribed equipment room with an irradiation state displayB
1015(6)Failure to equip room where Class II prescribed equipment is located with an area radiation monitoring system, as requiredB
1115(7)Failure to equip room where Class II prescribed equipment that is not used on persons is located with a pre-irradiation alarmB
1215(8)Failure to equip room where Class II prescribed equipment is located with emergency stop buttons or devicesB
1315(9)Failure to provide emergency stop buttons or devices that are unobstructed and accessibleB
1415(10)Failure to provide emergency stop buttons or devices in the specified placesB
1515(11)Failure to post emergency contact information at every entrance to a Class II nuclear facilityA
1615(12)Failure to equip Class II equipment with device to prevent unauthorized useB
1715(13)Failure to verify normal operation after servicing of device or systemB
1815.01Failure to appoint a radiation safety officerB
1915.02Appointing an uncertified radiation safety officerB
2015.06(2)Failure to notify the Commission of name of radiation safety officer and Class II prescribed equipment subject to certificateB
2115.1Failure to designate in writing radiation safety officer as replacementB
2215.11Replacing a radiation safety officer for more than the specified periodB
2316(1)Failure to ascertain that radiation field is safe upon entering a roomB
2416(2)Failure to verify that radiation survey meter is working immediately before entering a roomB
2516.1(1)Failure to ensure patients are surveyed and free of nuclear substances following treatment using brachytherapy remote afterloaderB
2616.1(2)(a)Failure to equip brachytherapy remote afterloader treatment room with a remote alarm system to warn of treatment interruptionsB
2716.1(2)(b)Failure to equip brachytherapy remote afterloader treatment room with a shielded storage container of sufficient sizeB
2816.1(2)(c)Failure to equip brachytherapy remote afterloader treatment room with the necessary remote handling toolsB
2917(1)Failure to measure radiation dose rates after installing a sealed source in Class II prescribed equipment or to notify the Commission in writing if dose rate exceeds manufacturer’s specificationsB
3017(2)Failure to measure dose rates at all accessible locations outside the room after the installation of a sealed source in a radioactive source teletherapy machineB
3118(1)(a)Failure to make available to each worker a calibrated radiation survey meterB
3218(1)(b)Failure to make available to each worker a radiation survey meter that can measure radiation from sealed source and Class II prescribed equipmentB
3318(1)(c)Failure to make available to each worker a radiation survey meter that indicates the power level of batteriesB
3418(2)Use of a radiation survey meter that has not been calibrated within the specified periodB
3519(1)Failure to conduct leak test on sealed source or shielding as requiredB
3619(2)Failure to take required action when a leak on a sealed source or shielding is detectedB
3720Use of Class II prescribed equipment on a person without being directed by a qualified medical practitionerB
3821(1)Failure to keep record of measurements of radiation dose rates and retain record for the specified periodA
3921(2)(a)Failure to keep record of daily outputs of radiation resulting from operation of Class II prescribed equipmentA
4021(2)(b)Failure to keep record of training received by workersA
4121(2)(c)Failure to keep record of inspections, verifications, servicing, measurements or tests requiredA
4221(3)Failure to retain training record for the specified periodA
4321(4)Failure to keep record of transfer of Class II prescribed equipmentA
4421(5)Failure to keep record of leak tests conducted on sealed source or shielding and to retain it for the specified periodA
4521(6)Failure to keep record of measurements of radiation dose rates, as required, and to retain them for the specified periodA
4621(7)Failure to keep servicing record of Class II prescribed equipmentA
4721(8)Failure to retain servicing record for the specified periodA

PART 6

Uranium Mines and Mills Regulations

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
19Failure to post code of practice where it is accessible to all workers in uranium mine or millA
210(a)Failure to establish, implement and maintain written operating proceduresB
310(b)Failure to train workers to perform their work in accordance with operating proceduresB
410(c)Failure to audit workers to verify compliance with operating proceduresB
511(a)Failure to ensure each main fan is equipped with a fan malfunction warning signal deviceB
611(b)Failure to ensure person is designated to receive and respond to main fan failure warning signalB
711(c)Failure to implement measures to prevent interference by persons or activities with proper operation of ventilation systemsB
812(1)(a)Failure to implement alternative measures to protect worker health and safety when ventilation system malfunctionsB
912(1)(b)Failure to ensure that only work necessary to restore ventilation system is performed in work place when ventilation system malfunctionsB
1012(2)Failure to inform worker of protective measures in connection with restoration of ventilation systemB
1113Improper reliance on respiratorB
1214(a)Failure to post signs where gamma radiation dose rate exceeds the specified limitA
1314(b)Failure to provide direct-reading dosimeter to workers entering an area where gamma radiation dose rate exceeds the specified limitB
1415(1)Failure to provide radiation health and safety training certificate to workerA
1515(2)Failure to provide copy of radiation health and safety training program to worker’s representativeA
1616(1)(a)Failure to keep record of operating and maintenance proceduresB
1716(1)(b)Failure to keep record of mine plansB
1816(1)(c)Failure to keep record of schedules for planned mining operationsA
1916(1)(d)Failure to keep record of plans of waste management systemsA
2016(1)(e)Failure to keep record of design of uranium mine or mill, or of design of components and systems installed at the mine or millA
2116(1)(f)Failure to keep record of method and data used to ascertain radiation dose and intake of radioactive nuclear substances by workersA
2216(1)(g)Failure to keep record of measurementsA
2316(1)(h)Failure to keep record of inspections and maintenanceA
2416(1)(i)Failure to keep record of quantity of air delivered by each main fanA
2516(1)(j)Failure to keep record of performance of each dust control systemA
2616(1)(k)Failure to keep record of training received by each workerA
2716(2)Failure to make required records available to worker or to worker’s representativeA
2816(3)Failure to retain training record for the specified periodA
2916(4)Failure to post record of work place measurements at an accessible location in the uranium mine or millB

PART 7

Nuclear Substances and Radiation Devices Regulations

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
111(1)(a)Use of uncertified radiation deviceB
211(1)(b)Use of radiation device contrary to development licenceA
311(2)Transfer of uncertified radiation device for use within CanadaB
416Use of radioactive nuclear substance or radiation device on a person otherwise than as directed by a qualified medical practitionerB
517Failure to make instructions concerning radiation safety and accidents available to workersB
618(1) and 18(2)Failure to conduct leak tests on sealed source or shieldingB
718(3)(a)Failure to discontinue use of sealed source or shielding when leakage detectedB
818(3)(b)Failure to discontinue use of radiation device when leakage detectedB
918(3)(c)Failure to take measures to limit the spread of radioactive contamination when leakage detectedB
1018(3)(d)Failure to immediately notify the Commission that leakage was detectedB
1119(1)Failure to provide required instructions for dealing with accidents upon transfer of a radiation deviceA
1219(2)Failure to provide most recent leak test record upon transfer of sealed source or shieldingA
1320Use of a radiation survey meter that has not been calibrated within the specified periodB
1421Use of a radiation device that was not tested or inspected after accidentB
1522Use of radiation device in field operation that does not have attached label with contact informationA
1623(a)Failure to post emergency contact information where the radioactive nuclear substance is used or storedB
1723(b)Failure to post warning sign and personnel entry procedures to be followed at every personnel access opening to any equipment fitted with a radiation deviceB
1824Operation of an exposure device by an uncertified operator or by an unsupervised traineeB
1929Failure of exposure device operator to immediately surrender certificate to the Commission upon decertificationA
2030(1)(a)Failure of licensee to ensure exposure device is equipped with source tagA
2130(1)(b)Failure of licensee to lock exposure device when not in useB
2230(1)(c)Failure of licensee to return dosimeter within the specified periodB
2330(2)Failure of licensee to immediately notify the Commission about loss, theft, damage or malfunction of exposure deviceA
2430(3)(a)Failure of licensee to provide the specified radiation survey meterB
2530(3)(b)Failure of licensee to provide the specified emergency equipment and material when a guide tube is usedB
2630(3)(c) to (e)Failure of licensee to provide dosimeter that meets the specified requirementsB
2730(3)(f)Failure of licensee to provide sufficient number of radiation warning signs for postingB
2830(3)(g)Failure of licensee to provide sufficient number of forms to keep recordsA
2930(4)Authorizing operation of exposure device that does not appear to be functioning normally or of exposure device with radiation dose rate on its surface greater than the specified limitB
3030(5)Failure of licensee to provide written authorization for sealed source changeA
3130(6)Failure of licensee to limit dose of radiation to persons other than nuclear energy workersC
3230(7)Authorizing a person to respond to exposure device or sealed source assembly malfunctions without proper trainingB
3331(1)(a)Failure of exposure device operator to use the specified radiation survey meterB
3431(1)(b)Failure of exposure device operator to have the specified emergency equipment and material immediately available when using a guide tubeB
3531(1)(c), (d) and (f)Failure of exposure device operator to properly wear the required dosimeterB
3631(1)(e)Failure of exposure device operator to keep daily radiation dose recordsA
3731(1)(g)Failure of exposure device operator to ensure exposure device functions within manufacturer’s specificationsB
3831(1)(h)Failure of exposure device operator to use radiation survey meter to confirm sealed source assembly returned to shielded positionB
3931(1)(i)Failure of exposure device operator to limit radiation dose to persons other than nuclear energy workersC
4031(1)(j)Failure of exposure device operator to place persons or erect barriers to prevent entry into radiation areaB
4131(1)(k)Failure of exposure device operator to post radiation warning signs to prevent entry into radiation areaB
4231(1)(l)Failure of exposure device operator to lock exposure device when not in useB
4331(1)(m)Failure of exposure device operator to immediately report to licensee a specified situation and actions takenB
4431(2)Failure of exposure device operator to return dosimeter to licensee at the specified timeA
4531(3)Failure of exposure device operator to submit dose record to licensee at the specified timeA
4631(4)Operating malfunctioning exposure device or exposure device with radiation dose rate on its surface greater than the specified limitB
4731(5)(a) Failure of exposure device operator to ensure that dose limit of radiation is not exceeded during shiftB
(b) Failure of exposure device operator to stop work and notify licensee when dose limit is exceeded during shiftB
4831(6)Responding to exposure device or sealed source assembly malfunctions without proper trainingB
4932Improper appointment of exposure device operator to supervise traineesA
5033(1)Authorizing a trainee lacking sufficient knowledge to operate an exposure deviceB
5133(2)Failure of exposure device operator to directly supervise and continuously observe trainee operating an exposure deviceB
5234(1)Removal or insertion of sealed source without written authorization of the licenseeA
5334(2) and 34(3)Failure to measure, record and report to the licensee radiation dose rates and doses of radiation when removing or inserting sealed sourcesA
5435(1)Failure to notify the Commission before conducting tracer or subsurface tracer studiesA
5535(2)Failure to file a tracer study report with the specified information within the specified timeA
5636(1)(a)Failure to keep record of specified information in respect of any nuclear substance in licensee’s possessionA
5736(1)(b)Failure to keep record of name of workers who use or handle nuclear substancesA
5836(1)(c)Failure to keep record of any transfer, receipt, disposal or abandonment of a nuclear substanceA
5936(1)(d)Failure to keep record of training received by each workerA
6036(1)(e)Failure to keep record of every inspection, measurement, test or servicing of radiation deviceA
6136(1.1)Failure to keep record of servicing another licensee’s radiation deviceA
6236(2)Failure to retain worker training record for the specified periodA
6336(3)Failure to retain record of every inspection, measurement, test or servicing of radiation device for the specified periodA
6436(4)Failure to keep record of leak tests conducted on a sealed source or shielding and retain it for the specified periodA
6537Failure to keep record of specified information in respect of exposure devices in licensee’s possessionA
6638(1)Failure to immediately notify the Commission regarding a loss or theft, as requiredB
6738(2)Failure to file full report regarding a loss or theft within the specified time and including the specified informationA

PART 8

Packaging and Transport of Nuclear Substances Regulations, 2015

Column 1Column 2Column 3
ItemProvisionShort-form DescriptionCategory
13(1)Failure to characterize nuclear substance at earliest possible timeA
23(3)(a)Failure to keep record documenting the detection of the radiation and the disposal of the nuclear substance for specified periodA
33(3)(b)Failure to file annual report containing required information by specified timeA
43(3)(c)Failure to immediately notify if source of radioactivity in load is licensable quantity of nuclear substanceB
53(4)(a)Failure to immediately make preliminary report containing required informationB
63(4)(b)Failure to characterize source of radiation within specified period and make follow-up reportB
73(5)(a)Failure to immediately make preliminary report containing required informationB
83(5)(b)Failure to prevent dispersal of nuclear substanceB
93(5)(b)Failure to isolate load and control accessC
103(5)(c)Failure to have situation assessedB
113(5)(d)Failure to report resultsB
124Failure to classify packages and radioactive materialB
135Failure to correctly classify LSA materialB
1410Failure to have design or calculation of value for prescribed equipment certifiedB
1518(a)Production of package of certified design not in accordance with requirementsB
1618(b)Failure to mark package with required informationA
1719(3)Use of package of certified design without confirmation that use is registeredA
1820(1)(a)Production of special form radioactive material not in accordance with certificateB
1920(1)(b)Failure to mark special form radioactive materialA
2020(2)Transport of special form radioactive material that has not been produced in accordance with certified design or design approved by foreign competent authorityA
2121(1)(a)Production of low dispersible radioactive material not in accordance with certificateB
2221(1)(b)Failure to mark low dispersible radioactive materialA
2321(2)Transport of low dispersible radioactive material that has not been produced in accordance with certified designA
2422(1)Production of instrument or article that has alternative activity limit for exempt consignment that has not been produced using certified calculationB
2522(2)Transport of instrument or article that has alternative activity limit for exempt consignment that has not been produced using certified calculationB
2623(2)Transport of fissile-excepted radioactive material that has not been produced in accordance with requirementsB
2724(a)Failure to implement and maintain management systemB
2824(b) and (c)Failure to keep and retain record documenting management systemA
2925(1)Failure to comply with Transportation of Dangerous Goods RegulationsC
3025(2)Failure of consignor to comply with IAEA RegulationsB
3125(3)Failure of consignor to advise consignee of transport of materialA
3225(4)(a)Failure of carrier to comply with IAEA RegulationsB
3325(4)(b)Failure of carrier to transport in accordance with consignor’s instructionsB
3425(4)(c)Failure of carrier to implement, maintain and keep record documenting work proceduresA
3526(1)(a)Presentation for transport or transport of radioactive material in package not meeting requirementsB
3626(1)(b)Presentation for transport or transport of radioactive material requiring licence if no licence issuedB
3726(1)(c)Failure to present for transport or to transport unpackaged LSA-I material or unpackaged SCO-I in accordance with IAEA RegulationsB
3826(1)(d)Presentation for transport or transport of package containing 0.1 kg or more of uranium hexafluoride in unapproved packageB
3927(1)Failure to transport in required packageC
4028(1)Failure of consignor or carrier to comply with IAEA RegulationsB
4129(1)Failure of consignor to include required information in transport documentsA
4229(3)Transportation of consignment of radioactive material without required documentsB
4331(1)(a)Failure to keep exposure and effective dose and equivalent dose as low as reasonably achievableB
4431(1)(b)Failure to prevent persons from receiving high radiation dosesC
4531(1)(c)Failure to assess radiation at workplace and conduct monitoringB
4631(1)(d)Failure to train specified persons on application of radiation protection programB
4731(2)Failure to keep and retain record documenting radiation protection programA
4832(a)Failure to immediately notify if person may have received dose that exceeded prescribed limitB
4932(b)Failure to conduct investigationB
5032(c)Failure to take action to prevent recurrenceB
5132(d)Failure to report results of investigation within specified timeA
5233(1)Failure to inform every nuclear energy worker in writingA
5333(2)Failure to inform pregnant nuclear energy workers of their rights and obligationsB
5436(1)Failure to immediately take required actions after dangerous occurrenceB
5536(2)Failure to take required actions as soon as feasible after dangerous occurrenceB
5637(1)Failure to immediately make required preliminary reportB
5737(3)Failure to immediately notify consignor in specified circumstancesB
5838Failure to file full report of failure to comply or of dangerous occurrence within specified periodB
5940(1)Opening package without taking required measuresB
6040(2)Failure to restore package to required condition before forwardingB
6140(3)Failure to verify package integrity on receipt or on openingB
6240(4)Failure to immediately make preliminary report if package shows evidence of problem conditionsA
6340(5)Failure to include specified information in preliminary reportA
6440(6)Failure to file full report within specified periodA
6541(a)Failure to notify consignor, consignee and Commission of undeliverable consignmentB
6641(b)Failure to keep undeliverable consignment in access-controlled areaB
6742Failure to keep and retain records documenting specified information concerning certain packagesA

PART 9

Nuclear Security Regulations

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
17(1)Failure to process, use or store Category I nuclear material in an inner areaB
27(2)Failure to process, use or store Category II nuclear material in a protected areaB
37(3)(a)Failure to process, use or store Category III nuclear material in a protected areaB
47(3)(b)Failure to process, use or store Category III nuclear material in an area under direct visual surveillanceB
57(3)(c)Failure to process, use or store Category III nuclear material in an area controlled by the licensee and designed and constructed to prevent unauthorized accessB
67.1(1)(a) to (d)Failure to equip controlled access area for Category III nuclear material with specified devicesB
77.2(1)Failure to make written arrangements with off-site response force capable of making effective intervention at area where Category III nuclear material is processed, used or storedB
87.2(2)(a) and (b)Failure to include the specified provisions in arrangements with off-site response forceB
97.2(3)Failure of alarm monitoring service under contract to notify the licensee and off-site response force on receipt of an alarm signalB
107.5(1)Failure to conduct threat and risk assessment at the specified intervalB
117.5(2)Failure to modify physical protection system to counter identified credible threatB
127.5(3)Failure to keep written record of each threat and risk assessment conductedA
137.5(4)Failure to provide the Commission with record of threat and risk assessment and statement of actions within prescribed periodA
149(1)Failure to enclose protected area by a barrier at its perimeterB
159(2) and (3)Failure to construct protected area barrier that meets requirementsB
169(6)Failure to construct means of entry or exit that can be closed and lockedB
179(7)Failure to keep means of entry or exit closed and locked unless under direct visual surveillance of nuclear security officerB
189.1(1)Failure to confine entry and exit of land vehicles to vehicle portalsB
199.1(2)Failure to ensure that gates of vehicle portal are not both open at the same timeB
209.1(3)Permitting a land vehicle to enter protected area without operational requirementB
219.1(4)Failure to implement physical protection measures to reduce risk of forced land vehicle penetrationB
2210(1), 10(2)(a) and (b)Failure to maintain specified unobstructed area around protected areaB
2311(a)(i) to (iv) and 11(b)Failure to equip protected area with required devices or keep protected area under the direct visual surveillance of a nuclear security officer with a device that sets off a continuous alarm signalB
2413(1) and (2)Failure to enclose inner area with a structure or barrier that meets requirementsB
2513(3)Failure to keep means of entry or exit closed and locked with device that can only be unlocked by two authorized personsB
2613(4)Entering and remaining in an inner area without another authorized personB
2713(5)Permitting a land vehicle to enter an inner area without operational requirementsB
2814(a)(i) to (iv) and 14(b)Failure to equip inner area with required devices or keep inner area under the direct visual surveillance of a nuclear security officer with a device that sets off a continuous alarm signalB
2914.1Failure to identify vital areas and implement physical protection measuresB
3015(1)(a) to (c)Failure to monitor the protected area devices, inner area devices and physical protection measures from a security monitoring roomB
3115(2)Failure to meet security monitoring room requirementsB
3215(3)Failure to monitor the alarm devices as requiredB
3315.1(a) and (b)Failure to provide uninterrupted power supply for required devices and equipmentB
3415.2(1) and (2)Failure to maintain records of access control devices with the specified informationA
3515.2(3)Failure to restore integrity of defective, lost, stolen or unlawfully transferred access control deviceB
3615.2(4)Issuing an access control device or combination to unauthorized personB
3716Failure to maintain site planB
3817(1)Entering protected area without authorizationB
3917(2)Failure to prepare identification report as requiredA
4017(3)Issuing an authorization to enter protected area without proof of name and address and without condition that person be escortedB
4117(4)Permitting unescorted person to enter or remain in protected areaB
4217(6)Failure to give person copy of requested information or documentsA
4317.1Failure to verify person’s identity by two separate personnel identity verification systems when person enters protected areaB
4418(1)Entering inner area without recorded authorizationB
4518(2)Acting as a nuclear security officer without recorded authorizationA
4618(3)Acting as a physical protection system support person without recorded authorizationA
4718.1Failure to conduct required checks before granting authorization to enter protected area or act as physical protection system support personA
4818.2Failure to conduct required checks, obtain proof of status in Canada or obtain required certificates prior to issuing an authorization to a nuclear security officerA
4918.5Failure to give person copy of requested information or documentsA
5019(1)Failure to establish or maintain a list of persons authorized to enter an inner area or to act as a nuclear security officer or physical protection system support personA
5119(2)Failure to provide list of persons authorized to enter inner area, or to act as a nuclear security officer or physical protection system support person, to the Commission or the inspector requesting itA
5220(1)Entering inner area without required authorizationB
5320(2)Acting as physical protection system support person without required authorizationB
5420.1Failure to obtain required information prior to issuing an authorization to enter inner area or act as physical protection system support personA
5520.2(1) and (2)Failure to include condition that the person must be escorted for authorization to enter inner area, or to act as physical protection system support personB
5620.2(3)Permitting person with authorization to enter or remain in inner area or to act as a physical protection system support person without being escortedB
5721(2)Failure to notify the Commission in writing of revocation of authorizationA
5823(1)Permitting means of entry or exit into inner area to be unlocked, opened or kept open longer than required and without direct visual surveillance of a nuclear security officerB
5923(2)Permitting the means of entry or exit in structure or barrier to inner area to be unlocked by unauthorized personsB
6024(1)Permitting an unauthorized person to enter or remain in protected area or inner areaB
6124(2)Failure to immediately report unauthorized person in protected area or inner area to nuclear security officerB
6225Failure to ensure that weapons and explosives only enter protected or inner area under the control of an authorized personB
6326Failure to ensure Category I, II and III nuclear material is only removed from a protected area or inner area in accordance with a licenceB
6427(1)Failure to post required advisory notices at entrance of protected and inner areasA
6527(2)Failure to search a person and their possessions on entering and leaving protected area or inner areaB
6627(4)Permitting a person to remain in protected area or inner area without the person and their possessions being searchedB
6727(5)Failure to conduct search in accordance with the requirementsB
6828(1)Entering or leaving a protected area or inner area after refusing to submit to a searchC
6928(2)(a)Taking weapons or explosive substances, unless under the control of an authorized person, into protected area or inner areaC
7028(2)(b)Unauthorized removal of Category I, II and III nuclear material from protected or inner areaC
7130Failure to provide sufficient number of nuclear security officers required to carry on the specified activitiesB
7231Failure to provide nuclear security officer with required equipment to perform the specified dutiesB
7332Failure to maintain on-site nuclear response force capable of making effective interventionB
7434(1)Failure to train nuclear security officers regarding their security duties and responsibilitiesB
7534(2)Failure to examine nuclear security officer candidate’s familiarity with security duties and responsibilities within the specified periodB
7635(1)Failure to make written arrangements with off-site response force to provide for protection of facilityB
7735(2)Failure to include specified provisions in arrangements with off-site response forceB
7836(1)Failure to develop and maintain contingency plan with off-site response force to ensure effective interventionB
7936(2)Failure to conduct security exercise at the specified intervalB
8036(3)Failure to notify the Commission about security exercise within the specified periodA
8136(4)Failure to conduct security drill at the specified intervalB
8237(1)(a)Failure to keep record of persons authorized to enter protected or inner areaA
8337(1)(b)Failure to retain record of persons authorized to enter protected or inner area for the specified periodA
8437(1)(c)Failure to make copy of record of persons authorized to enter protected or inner area available to nuclear security officersA
8537(2)Failure to keep record of duties and responsibilities of nuclear security officers and to give a copy of record to nuclear security officerA
8637(3)Failure to keep record of training received by each nuclear security officerA
8738Failure to develop and implement supervisory awareness programB
8842(1)Permitting a person without a facility-access security clearance to enter or remain in a nuclear facilityB
8942(1)Permitting an unescorted or unauthorized person to enter or remain in a nuclear facilityB
9042(2)Failure to verify criminal record, personal history or information relating to trustworthiness before granting facility-access security clearanceB
9143(1)Failure to establish and maintain list of persons granted facility-access security clearanceA
9243(2)Failure to provide list of persons granted facility-access security clearance to the Commission or the inspector requesting itA
9344(2)Failure to notify the Commission in writing about revocation of facility-access security clearanceA
9445(a)Permitting a land vehicle to enter a nuclear facility without operational requirement and without searching it for explosive substances, weapons or unauthorized personsB
9545(b)Permitting entry of an unauthorized land vehicle at a nuclear facilityB
9646(1)Processing, using or storing nuclear substances or radioactive material in an area that is not under the visual surveillance of the licensee or an area that is not designed and constructed to prevent unauthorized accessB
9746(2)Failure to equip area with specified devices where nuclear substances or radioactive material is processed, used or storedB
9847(1)Failure to make written arrangements with an off-site response force capable of making an effective intervention at nuclear facilityB
9947(2)Failure to include specified provisions in arrangements with off-site response forceB
10047(3)Failure of alarm monitoring service under contract to notify the licensee and off-site response force on receipt of an alarm signalB
10148Failure to develop and implement supervisory awareness programB

PART 10

Nuclear Non-Proliferation Import and Export Control Regulations

ItemColumn 1Column 2Column 3
ProvisionShort-form DescriptionCategory
14(3)Failure to submit a written report to the Commission concerning the export of a controlled nuclear substance within the specified period and with the specified informationB
  • SOR/2015-145, s. 50.
 
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