NUCLEAR SAFETY AND CONTROL ACTAdministrative Monetary Penalties Regulations (Canadian Nuclear Safety Commission)P.C.2013-82620136
18
The Canadian Nuclear Safety Commission, pursuant to subsection 44(1)a of the Nuclear Safety and Control Actb, makes the annexed Administrative Monetary Penalties Regulations (Canadian Nuclear Safety Commission).Ottawa, May 17, 2013MICHAEL BINDERPresident of the Canadian Nuclear Safety CommissionHis Excellency the Governor General in Council, on the recommendation of the Minister of Natural Resources, pursuant to subsection 44(1)a of the Nuclear Safety and Control Actb, approves the annexed Administrative Monetary Penalties Regulations (Canadian Nuclear Safety Commission), made by the Canadian Nuclear Safety Commission.S.C. 2012, c. 19, s. 129(1)S.C. 1997, c. 9InterpretationDefinition of ActIn these Regulations, Act means the Nuclear Safety and Control Act.DesignationsViolationsThe contravention of a provision of the Act or any of its regulations that is set out in column 1 of the schedule is designated as a violation that may be proceeded with in accordance with sections 65.01 to 65.21 of the Act.Short-form descriptionsIn the event of a discrepancy between the short-form descriptions in the schedule and the provision to which it pertains, the provision prevails.ClassificationClassificationThe classification of a violation of a provision that is set out in column 1 of the schedule as a Category A, Category B or Category C violation is as set out in column 3.PenaltiesIndividualThe amount payable as the penalty in respect of a violation that is committed by an individual is$300 to $3,000, for a Category A violation;$300 to $10,000, for a Category B violation; and$300 to $25,000, for a Category C violation.Person other than an individualThe amount payable as the penalty in respect of a violation that is committed by a person other than an individual is$1,000 to $12,000, for a Category A violation;$1,000 to $40,000, for a Category B violation; and$1,000 to $100,000, for a Category C violation.Determination of amountThe amount of a penalty is determined by the Commission having regard tothe compliance history of the person who committed the violation;the degree of intention or negligence on the part of the person;the harm that resulted or could have resulted from the violation;whether the person derived any competitive or economic benefit from the violation;whether the person made reasonable efforts to mitigate or reverse the violation’s effects;whether the person provided all reasonable assistance to the Commission; andwhether the person brought the violation to the attention of the Commission.Service of DocumentsManner of serviceA notice of violation referred to in section 65.05 of the Act and a determination referred to in section 65.13 of the Act shall be served byin the case of an individual,leaving a copy of it with the individual,leaving a copy of it with someone who appears to be an adult member of the same household at the individual’s last known address or usual place of residence, orsending a copy of it by registered mail, courier, fax or other electronic means to the individual’s last known address or usual place of residence; andin the case of any other person,sending a copy of it by registered mail, courier or fax to the person’s head office or place of business or to the person’s agent;leaving a copy of it at the person’s head office or place of business with an individual who appears to manage or be in control of the head office or place of business or with the person’s agent; orsending a copy of it by electronic means, other than by fax, to any person referred to in subparagraph (ii).Deemed serviceThe notice of violation or determination — other than when personally served — is considered to be servedin the case of a copy that is left with an adult referred to in subparagraph (1)(a)(ii), on the day on which it is left with the adult;in the case of a copy that is sent by registered mail or courier, on the tenth day after the date indicated in the receipt issued by the postal or courier service; andin the case of a copy sent by fax or other electronic means, on the day on which it is transmitted.Coming into ForceS.C. 2012, c. 19These Regulations come into force on the day on which section 129 of the Jobs, Growth and Long-term Prosperity Act comes into force, but if they are registered after that day, they come into force on the day on which they are registered.[Note: Regulations in force July 3, 2013, see SI/2013-69.](sections 2 and 3)Violations
PART 1
Nuclear Safety and Control ActColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory126Carrying on a prescribed activity without or contrary to a licenceB227(a)Failure to properly keep, retain or disclose prescribed recordsA327(b)Failure to make prescribed reports and file them in the prescribed mannerA436Failure to assist an inspector in carrying out their dutiesB541Failure to comply with an order within the time specifiedB645Failure to notify the Commission when a place or vehicle is contaminated or when an event has occurred that is likely to result in an exposureB748(a)Alteration or misuse of things, otherwise than pursuant to the regulations and licenceB848(b)Disclosure of prescribed information, except pursuant to the regulationsA948(c)Failure to comply with a condition of a licenceC1048(d)Making a false or misleading statementB1148(e)Failure to comply with an order of the Commission, a designated officer or an inspectorC1248(f)Failure to assist or give information requested by an inspector, or interfering with the inspector’s dutiesC1348(g)Taking disciplinary action against a person who assists or gives information to the Commission, designated officer or inspectorB1448(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 circumstancesB1548(i)Falsifying a recordB1648(j)Failure to comply with an order of a courtC1749(a)Failure to ensure required staff is present to maintain a nuclear facility in a safe conditionB1849(b)Failure to report for duty or withdrawal of services other than in accordance with proceduresB1950Possession 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 RegulationsColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory112(1)(a)Failure to ensure the presence of a sufficient number of qualified workers to carry out the licensed activityB212(1)(b)Failure to train workers to carry on the licensed activity, as requiredB312(1)(c)Failure to take all reasonable precautions to protect the environment and the health and safety of persons and to maintain securityB412(1)(d)Failure to provide and maintain required devicesB512(1)(e)Failure to require use of equipment, devices, clothing or procedures, as requiredB612(1)(f)Failure to take reasonable precautions to control release of radioactive nuclear substances or hazardous substancesB712(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 facilityB812(1)(h)Failure to implement measures to be alerted of sabotage or attempted sabotageB912(1)(i)Failure to take measures to facilitate Canada’s compliance with any safeguards agreementA1012(1)(j)Failure to instruct workers on physical security program and their obligationsB1112(1)(k)Failure to keep the Nuclear Safety and Control Act and regulations available to workersA1212(2)Failure to file a report responding to a Commission request within the specified time and with the prescribed informationB1313Transfer of a nuclear substance, prescribed information or prescribed equipment to a person who does not hold the required licenceB1414(1)(a)Failure to post copy of licenceA1514(1)(b)Failure to post noticeA1614(2)Failure to have copy of licence in fieldA1715(a)Failure of applicant or licensee to notify the Commission of the persons acting for themA1815(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 licenceA1915(c)Failure of applicant or licensee to notify the Commission on time about change in contact persons or responsible personsA2016Failure to make health and safety information available to workers, as requiredB2117(a)Failure of worker to properly use equipment, devices, facilities and clothingB2217(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 substancesB2317(c)(i)Failure of worker to promptly inform licensee or supervisor of increase in risk to the environment or health and safety of personsB2417(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 securityB2517(c)(iii)Failure of worker to promptly inform licensee or supervisor of non-compliance with the Nuclear Safety and Control Act, its regulations or licenceB2617(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 equipmentB2717(c)(v)Failure of worker to promptly inform licensee or supervisor of release of radioactive nuclear substances or hazardous substancesB2817(d)Failure of worker to obey notices and warning signsB2917(e)Failure of worker to take all reasonable precautions to ensure safetyB3018Failure to present an import or export licence to customs officerB3123(1)Transfer or disclosure of prescribed information without legal requirement or to an unauthorized personB3223(2)Failure to take precautions to prevent unauthorized transfer or disclosure of prescribed informationB3327Failure to keep record of licence information submitted to the CommissionA3428(1)Failure to retain record for the period specifiedA3528(2)Improper disposal of a recordA3628(3)Failure to file a requested record with the Commission prior to disposal of that recordA3729(1)Failure to immediately make a preliminary report to the Commission of a specified situation and of actions taken by the licenseeB3829(2)Failure to file full report on time and with the prescribed informationA3930(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 sealB4030(1)(b)Failure to immediately make a preliminary report to the Commission on theft, loss or sabotage of safeguards equipment or samplesB4130(2)Failure to file full report within the specified period and with the prescribed informationA4231Failure 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 keepA4332(1)Failure to include name and address of sender or date in reportA
PART 3
Radiation Protection RegulationsColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory13Failure to inform persons being administered therapy of methods for reducing the exposure of others to radiationB24(a)(i)Failure to keep the effective dose and equivalent dose as low as reasonably achievable, taking into account social and economic factors, through the implementation of management control over work practicesB34(a)(ii)Failure to keep the effective dose and equivalent dose as low as reasonably achievable, taking into account social and economic factors, through the implementation of personnel qualification and trainingB44(a)(iii)Failure to keep the effective dose and equivalent dose as low as reasonably achievable, taking into account social and economic factors, through the implementation of control of occupational and public exposure to radiationB54(a)(iv)Failure to keep the effective dose and equivalent dose as low as reasonably achievable, taking into account social and economic factors, through the implementation of planning for unusual situationsB64(b)Failure to ascertain the quantity and concentration of any nuclear substance released as a result of a licensed activityB75Failure to ascertain and record as requiredB86(2)(a)Failure to conduct an investigation after becoming aware that an action level is reachedB96(2)(b)Failure to identify and take action to restore the effectiveness of the radiation protection program after becoming aware that an action level is reachedB106(2)(c)Failure to notify the Commission within the specified period after becoming aware that an action level is reachedB117(1)(a)Failure to inform nuclear energy workers in writing of the fact that they are nuclear energy workersA127(1)(b)Failure to inform nuclear energy workers in writing of the risks associated with radiationA137(1)(c)Failure to inform nuclear energy workers in writing of the effective and equivalent dose limitsA147(1)(d)Failure to inform nuclear energy workers in writing of their radiation dose levels on an annual basisA157(1)(e)Failure to inform nuclear energy workers in writing of their responsibilities during an emergency and the associated risksA167(2)(a)Failure to inform female nuclear energy workers in writing of the risks associated with the exposure of embryos and fetuses to radiation and the risks to breastfed infants from the intake of nuclear substancesB177(2)(b)Failure to inform female nuclear energy workers in writing of the importance of informing the licensee in writing that they are pregnant or breastfeedingB187(2)(c)Failure to inform female nuclear energy workers in writing of the rights of pregnant nuclear energy workers and breastfeeding nuclear energy workersB197(2)(d)Failure to inform female nuclear energy workers in writing of the applicable effective dose limits for pregnant nuclear energy workersB207(3)Failure to obtain written acknowledgement from nuclear energy workers that the specified information was receivedA218(1)Failure to use a licensed dosimetry service to measure and monitor doses of radiation received by nuclear energy workersB228(2)Failure to provide the specified information to the licensed dosimetry serviceB239Failure to inform a person of the purpose for collecting their personal informationA2410Failure of a nuclear energy worker to provide the specified information on request of the licenseeA2511(1)Failure to accommodate a female nuclear energy worker who is pregnantA2611(2)Failure to accommodate a female nuclear energy worker who is breastfeedingB2713Failure to ensure that the effective dose limit is not exceededC2814Failure to ensure that the equivalent dose limit is not exceededC2915(2)Failure to ensure that the effective or equivalent dose limit received by a person participating in the control of an emergency is not exceededB3015(3)Failure to ensure that the effective or equivalent dose received by a person taking a specific action during the control of an emergency is not exceededB3115(4)Failure to ensure that the effective or equivalent dose received by a person taking more than one specific action during the control of an emergency is not exceededB3215(5)Failure to limit radiation doses received by a person participating in the control of an emergency to a level as low as reasonably achievableB3315(6)Failure to notify the person who received the dose of radiation and the Commission as soon as feasible after a radiation dose limit is exceededB3415(7)Requesting a pregnant woman to participate in the control of an emergencyB3516(a)Failure to immediately notify a person and the Commission after a radiation dose limit may have been exceededB3616(b)Failure to require a person to leave any work that is likely to add to the dose if the person may have or has exceeded the dose limit for a nuclear energy workerB3716(c)Failure to conduct an investigation to determine the magnitude of the dose and to establish the causes of the exposureB3816(d)Failure to take action to prevent similar incidents after a dose limit may have been exceededB3916(e)Failure to report the results of the investigation on the exceeded dose limit to the Commission within the specified periodB4019Failure of the licensee operating a dosimetry service to file information on nuclear energy workers with the National Dose RegistryA4120(1)Possession of a container or device containing a nuclear substance without proper labellingB4221Failure to post radiation warning signsB4322Use of an improper radiation warning symbolA4423Frivolous posting of radiation warning signsA4524(1)Failure to keep a record of the name and job category of each nuclear energy workerB4624(2)Failure to keep a record of doses of radiation for five yearsB4725Failure to ensure that instruments and equipment are selected, tested and calibrated for their intended useB
PART 4
Class I Nuclear Facilities RegulationsColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory114(1)Failure to keep record of the results of effluent and environmental monitoring programsA214(2)Failure to keep operation recordA314(3)Failure to keep decommissioning recordA414(4)Failure to retain record for the specified periodA514(5)Failure to retain record relating to a nuclear energy worker for the specified periodA
PART 5
Class II Nuclear Facilities and Prescribed Equipment RegulationsColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory110(a)Use of uncertified Class II prescribed equipmentB210(b)Failure to use Class II prescribed equipment in accordance with a licenceB315(2)(a)Failure to equip entrance door to Class II prescribed equipment room with device that stops the equipment when door is openedB415(2)(b)Failure to equip entrance door to Class II prescribed equipment room with device that prevents the equipment from being usedB515(2)(c)Failure to design entrance door to Class II prescribed equipment room to prevent persons from being locked inB615(3)(a)Failure to equip entrance to Class II prescribed equipment room with device that stops the equipment when someone passes through the entranceB715(3)(b)Failure to equip entrance to Class II prescribed equipment room with device that prevents the equipment from being usedB815(4)Failure to equip room where Class II prescribed equipment that is used on persons is located with a viewing systemB915(5)Failure to equip entrance to Class II prescribed equipment room with an irradiation state displayB1015(6)Failure to equip room where Class II prescribed equipment is located with an area radiation monitoring system, as requiredB1115(7)Failure to equip room where Class II prescribed equipment that is not used on persons is located with a pre-irradiation alarmB1215(8)Failure to equip room where Class II prescribed equipment is located with emergency stop buttons or devicesB1315(9)Failure to provide emergency stop buttons or devices that are unobstructed and accessibleB1415(10)Failure to provide emergency stop buttons or devices in the specified placesB1515(11)Failure to post emergency contact information at every entrance to a Class II nuclear facilityA1615(12)Failure to equip Class II equipment with device to prevent unauthorized useB1715(13)Failure to verify normal operation after servicing of device or systemB1815.01Failure to appoint a radiation safety officerB1915.02Appointing an uncertified radiation safety officerB2015.06(2)Failure to notify the Commission of name of radiation safety officer and Class II prescribed equipment subject to certificateB2115.1Failure to designate in writing radiation safety officer as replacementB2215.11Replacing a radiation safety officer for more than the specified periodB2316(1)Failure to ascertain that radiation field is safe upon entering a roomB2416(2)Failure to verify that radiation survey meter is working immediately before entering a roomB2516.1(1)Failure to ensure patients are surveyed and free of nuclear substances following treatment using brachytherapy remote afterloaderB2616.1(2)(a)Failure to equip brachytherapy remote afterloader treatment room with a remote alarm system to warn of treatment interruptionsB2716.1(2)(b)Failure to equip brachytherapy remote afterloader treatment room with a shielded storage container of sufficient sizeB2816.1(2)(c)Failure to equip brachytherapy remote afterloader treatment room with the necessary remote handling toolsB2917(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 specificationsB3017(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 machineB3118(1)(a)Failure to make available to each worker a calibrated radiation survey meterB3218(1)(b)Failure to make available to each worker a radiation survey meter that can measure radiation from sealed source and Class II prescribed equipmentB3318(1)(c)Failure to make available to each worker a radiation survey meter that indicates the power level of batteriesB3418(2)Use of a radiation survey meter that has not been calibrated within the specified periodB3519(1)Failure to conduct leak test on sealed source or shielding as requiredB3619(2)Failure to take required action when a leak on a sealed source or shielding is detectedB3720Use of Class II prescribed equipment on a person without being directed by a qualified medical practitionerB3821(1)Failure to keep record of measurements of radiation dose rates and retain record for the specified periodA3921(2)(a)Failure to keep record of daily outputs of radiation resulting from operation of Class II prescribed equipmentA4021(2)(b)Failure to keep record of training received by workersA4121(2)(c)Failure to keep record of inspections, verifications, servicing, measurements or tests requiredA4221(3)Failure to retain training record for the specified periodA4321(4)Failure to keep record of transfer of Class II prescribed equipmentA4421(5)Failure to keep record of leak tests conducted on sealed source or shielding and to retain it for the specified periodA4521(6)Failure to keep record of measurements of radiation dose rates, as required, and to retain them for the specified periodA4621(7)Failure to keep servicing record of Class II prescribed equipmentA4721(8)Failure to retain servicing record for the specified periodA
PART 6
Uranium Mines and Mills RegulationsColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory19Failure to post code of practice where it is accessible to all workers in uranium mine or millA210(a)Failure to establish, implement and maintain written operating proceduresB310(b)Failure to train workers to perform their work in accordance with operating proceduresB410(c)Failure to audit workers to verify compliance with operating proceduresB511(a)Failure to ensure each main fan is equipped with a fan malfunction warning signal deviceB611(b)Failure to ensure person is designated to receive and respond to main fan failure warning signalB711(c)Failure to implement measures to prevent interference by persons or activities with proper operation of ventilation systemsB812(1)(a)Failure to implement alternative measures to protect worker health and safety when ventilation system malfunctionsB912(1)(b)Failure to ensure that only work necessary to restore ventilation system is performed in work place when ventilation system malfunctionsB1012(2)Failure to inform worker of protective measures in connection with restoration of ventilation systemB1113Improper reliance on respiratorB1214(a)Failure to post signs where gamma radiation dose rate exceeds the specified limitA1314(b)Failure to provide direct-reading dosimeter to workers entering an area where gamma radiation dose rate exceeds the specified limitB1415(1)Failure to provide radiation health and safety training certificate to workerA1515(2)Failure to provide copy of radiation health and safety training program to worker’s representativeA1616(1)(a)Failure to keep record of operating and maintenance proceduresB1716(1)(b)Failure to keep record of mine plansB1816(1)(c)Failure to keep record of schedules for planned mining operationsA1916(1)(d)Failure to keep record of plans of waste management systemsA2016(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 millA2116(1)(f)Failure to keep record of method and data used to ascertain radiation dose and intake of radioactive nuclear substances by workersA2216(1)(g)Failure to keep record of measurementsA2316(1)(h)Failure to keep record of inspections and maintenanceA2416(1)(i)Failure to keep record of quantity of air delivered by each main fanA2516(1)(j)Failure to keep record of performance of each dust control systemA2616(1)(k)Failure to keep record of training received by each workerA2716(2)Failure to make required records available to worker or to worker’s representativeA2816(3)Failure to retain training record for the specified periodA2916(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 RegulationsColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory111(1)(a)Use of uncertified radiation deviceB211(1)(b)Use of radiation device contrary to development licenceA311(2)Transfer of uncertified radiation device for use within CanadaB416Use of radioactive nuclear substance or radiation device on a person otherwise than as directed by a qualified medical practitionerB517Failure to make instructions concerning radiation safety and accidents available to workersB618(1) and 18(2)Failure to conduct leak tests on sealed source or shieldingB718(3)(a)Failure to discontinue use of sealed source or shielding when leakage detectedB818(3)(b)Failure to discontinue use of radiation device when leakage detectedB918(3)(c)Failure to take measures to limit the spread of radioactive contamination when leakage detectedB1018(3)(d)Failure to immediately notify the Commission that leakage was detectedB1119(1)Failure to provide required instructions for dealing with accidents upon transfer of a radiation deviceA1219(2)Failure to provide most recent leak test record upon transfer of sealed source or shieldingA1320Use of a radiation survey meter that has not been calibrated within the specified periodB1421Use of a radiation device that was not tested or inspected after accidentB1522Use of radiation device in field operation that does not have attached label with contact informationA1623(a)Failure to post emergency contact information where the radioactive nuclear substance is used or storedB1723(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 deviceB1824Operation of an exposure device by an uncertified operator or by an unsupervised traineeB1929Failure of exposure device operator to immediately surrender certificate to the Commission upon decertificationA2030(1)(a)Failure of licensee to ensure exposure device is equipped with source tagA2130(1)(b)Failure of licensee to lock exposure device when not in useB2230(1)(c)Failure of licensee to return dosimeter within the specified periodB2330(2)Failure of licensee to immediately notify the Commission about loss, theft, damage or malfunction of exposure deviceA2430(3)(a)Failure of licensee to provide the specified radiation survey meterB2530(3)(b)Failure of licensee to provide the specified emergency equipment and material when a guide tube is usedB2630(3)(c) to (e)Failure of licensee to provide dosimeter that meets the specified requirementsB2730(3)(f)Failure of licensee to provide sufficient number of radiation warning signs for postingB2830(3)(g)Failure of licensee to provide sufficient number of forms to keep recordsA2930(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 limitB3030(5)Failure of licensee to provide written authorization for sealed source changeA3130(6)Failure of licensee to limit dose of radiation to persons other than nuclear energy workersC3230(7)Authorizing a person to respond to exposure device or sealed source assembly malfunctions without proper trainingB3331(1)(a)Failure of exposure device operator to use the specified radiation survey meterB3431(1)(b)Failure of exposure device operator to have the specified emergency equipment and material immediately available when using a guide tubeB3531(1)(c), (d) and (f)Failure of exposure device operator to properly wear the required dosimeterB3631(1)(e)Failure of exposure device operator to keep daily radiation dose recordsA3731(1)(g)Failure of exposure device operator to ensure exposure device functions within manufacturer’s specificationsB3831(1)(h)Failure of exposure device operator to use radiation survey meter to confirm sealed source assembly returned to shielded positionB3931(1)(i)Failure of exposure device operator to limit radiation dose to persons other than nuclear energy workersC4031(1)(j)Failure of exposure device operator to place persons or erect barriers to prevent entry into radiation areaB4131(1)(k)Failure of exposure device operator to post radiation warning signs to prevent entry into radiation areaB4231(1)(l)Failure of exposure device operator to lock exposure device when not in useB4331(1)(m)Failure of exposure device operator to immediately report to licensee a specified situation and actions takenB4431(2)Failure of exposure device operator to return dosimeter to licensee at the specified timeA4531(3)Failure of exposure device operator to submit dose record to licensee at the specified timeA4631(4)Operating malfunctioning exposure device or exposure device with radiation dose rate on its surface greater than the specified limitB4731(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 shiftB4831(6)Responding to exposure device or sealed source assembly malfunctions without proper trainingB4932Improper appointment of exposure device operator to supervise traineesA5033(1)Authorizing a trainee lacking sufficient knowledge to operate an exposure deviceB5133(2)Failure of exposure device operator to directly supervise and continuously observe trainee operating an exposure deviceB5234(1)Removal or insertion of sealed source without written authorization of the licenseeA5334(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 sourcesA5435(1)Failure to notify the Commission before conducting tracer or subsurface tracer studiesA5535(2)Failure to file a tracer study report with the specified information within the specified timeA5636(1)(a)Failure to keep record of specified information in respect of any nuclear substance in licensee’s possessionA5736(1)(b)Failure to keep record of name of workers who use or handle nuclear substancesA5836(1)(c)Failure to keep record of any transfer, receipt, disposal or abandonment of a nuclear substanceA5936(1)(d)Failure to keep record of training received by each workerA6036(1)(e)Failure to keep record of every inspection, measurement, test or servicing of radiation deviceA6136(1.1)Failure to keep record of servicing another licensee’s radiation deviceA6236(2)Failure to retain worker training record for the specified periodA6336(3)Failure to retain record of every inspection, measurement, test or servicing of radiation device for the specified periodA6436(4)Failure to keep record of leak tests conducted on a sealed source or shielding and retain it for the specified periodA6537Failure to keep record of specified information in respect of exposure devices in licensee’s possessionA6638(1)Failure to immediately notify the Commission regarding a loss or theft, as requiredB6738(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, 2015Column 1Column 2Column 3ItemProvisionShort-form DescriptionCategory13(1)Failure to characterize nuclear substance at earliest possible timeA23(3)(a)Failure to keep record documenting the detection of the radiation and the disposal of the nuclear substance for specified periodA33(3)(b)Failure to file annual report containing required information by specified timeA43(3)(c)Failure to immediately notify if source of radioactivity in load is licensable quantity of nuclear substanceB53(4)(a)Failure to immediately make preliminary report containing required informationB63(4)(b)Failure to characterize source of radiation within specified period and make follow-up reportB73(5)(a)Failure to immediately make preliminary report containing required informationB83(5)(b)Failure to prevent dispersal of nuclear substanceB93(5)(b)Failure to isolate load and control accessC103(5)(c)Failure to have situation assessedB113(5)(d)Failure to report resultsB124Failure to classify packages and radioactive materialB135Failure to correctly classify LSA materialB1410Failure to have design or calculation of value for prescribed equipment certifiedB1518(a)Production of package of certified design not in accordance with requirementsB1618(b)Failure to mark package with required informationA1719(3)Use of package of certified design without confirmation that use is registeredA1820(1)(a)Production of special form radioactive material not in accordance with certificateB1920(1)(b)Failure to mark special form radioactive materialA2020(2)Transport of special form radioactive material that has not been produced in accordance with certified design or design approved by foreign competent authorityA2121(1)(a)Production of low dispersible radioactive material not in accordance with certificateB2221(1)(b)Failure to mark low dispersible radioactive materialA2321(2)Transport of low dispersible radioactive material that has not been produced in accordance with certified designA2422(1)Production of instrument or article that has alternative activity limit for exempt consignment that has not been produced using certified calculationB2522(2)Transport of instrument or article that has alternative activity limit for exempt consignment that has not been produced using certified calculationB2623(2)Transport of fissile-excepted radioactive material that has not been produced in accordance with requirementsB2724(a)Failure to implement and maintain management systemB2824(b) and (c)Failure to keep and retain record documenting management systemA2925(1)Failure to comply with Transportation of Dangerous Goods RegulationsC3025(2)Failure of consignor to comply with IAEA RegulationsB3125(3)Failure of consignor to advise consignee of transport of materialA3225(4)(a)Failure of carrier to comply with IAEA RegulationsB3325(4)(b)Failure of carrier to transport in accordance with consignor’s instructionsB3425(4)(c)Failure of carrier to implement, maintain and keep record documenting work proceduresA3526(1)(a)Presentation for transport or transport of radioactive material in package not meeting requirementsB3626(1)(b)Presentation for transport or transport of radioactive material requiring licence if no licence issuedB3726(1)(c)Failure to present for transport or to transport unpackaged LSA-I material or unpackaged SCO-I in accordance with IAEA RegulationsB3826(1)(d)Presentation for transport or transport of package containing 0.1 kg or more of uranium hexafluoride in unapproved packageB3927(1)Failure to transport in required packageC4028(1)Failure of consignor or carrier to comply with IAEA RegulationsB4129(1)Failure of consignor to include required information in transport documentsA4229(3)Transportation of consignment of radioactive material without required documentsB4331(1)(a)Failure to keep exposure and effective dose and equivalent dose as low as reasonably achievableB4431(1)(b)Failure to prevent persons from receiving high radiation dosesC4531(1)(c)Failure to assess radiation at workplace and conduct monitoringB4631(1)(d)Failure to train specified persons on application of radiation protection programB4731(2)Failure to keep and retain record documenting radiation protection programA4832(a)Failure to immediately notify if person may have received dose that exceeded prescribed limitB4932(b)Failure to conduct investigationB5032(c)Failure to take action to prevent recurrenceB5132(d)Failure to report results of investigation within specified timeA5233(1)Failure to inform every nuclear energy worker in writingA5333(2)Failure to inform pregnant nuclear energy workers of their rights and obligationsB5436(1)Failure to immediately take required actions after dangerous occurrenceB5536(2)Failure to take required actions as soon as feasible after dangerous occurrenceB5637(1)Failure to immediately make required preliminary reportB5737(3)Failure to immediately notify consignor in specified circumstancesB5838Failure to file full report of failure to comply or of dangerous occurrence within specified periodB5940(1)Opening package without taking required measuresB6040(2)Failure to restore package to required condition before forwardingB6140(3)Failure to verify package integrity on receipt or on openingB6240(4)Failure to immediately make preliminary report if package shows evidence of problem conditionsA6340(5)Failure to include specified information in preliminary reportA6440(6)Failure to file full report within specified periodA6541(a)Failure to notify consignor, consignee and Commission of undeliverable consignmentB6641(b)Failure to keep undeliverable consignment in access-controlled areaB6742Failure to keep and retain records documenting specified information concerning certain packagesA
PART 9
Nuclear Security RegulationsColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory17(1)Failure to process, use or store Category I nuclear material in an inner areaB27(2)Failure to process, use or store Category II nuclear material in a protected areaB37(3)(a)Failure to process, use or store Category III nuclear material in a protected areaB47(3)(b)Failure to process, use or store Category III nuclear material in an area under direct visual surveillanceB57(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 accessB67.1(1)(a) to (d)Failure to equip controlled access area for Category III nuclear material with specified devicesB77.2(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 storedB87.2(2)(a) and (b)Failure to include the specified provisions in arrangements with off-site response forceB97.2(3)Failure of alarm monitoring service under contract to notify the licensee and off-site response force on receipt of an alarm signalB107.5(1)Failure to conduct threat and risk assessment at the specified intervalB117.5(2)Failure to modify physical protection system to counter identified credible threatB127.5(3)Failure to keep written record of each threat and risk assessment conductedA137.5(4)Failure to provide the Commission with record of threat and risk assessment and statement of actions within prescribed periodA149(1)Failure to enclose protected area by a barrier at its perimeterB159(2) and (3)Failure to construct protected area barrier that meets requirementsB169(6)Failure to construct means of entry or exit that can be closed and lockedB179(7)Failure to keep means of entry or exit closed and locked unless under direct visual surveillance of nuclear security officerB189.1(1)Failure to confine entry and exit of land vehicles to vehicle portalsB199.1(2)Failure to ensure that gates of vehicle portal are not both open at the same timeB209.1(3)Permitting a land vehicle to enter protected area without operational requirementB219.1(4)Failure to implement physical protection measures to reduce risk of forced land vehicle penetrationB2210(1), 10(2)(a) and (b)Failure to maintain specified unobstructed area around protected areaB2311(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 signalB2413(1) and (2)Failure to enclose inner area with a structure or barrier that meets requirementsB2513(3)Failure to keep means of entry or exit closed and locked with device that can only be unlocked by two authorized personsB2613(4)Entering and remaining in an inner area without another authorized personB2713(5)Permitting a land vehicle to enter an inner area without operational requirementsB2814(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 signalB2914.1Failure to identify vital areas and implement physical protection measuresB3015(1)(a) to (c)Failure to monitor the protected area devices, inner area devices and physical protection measures from a security monitoring roomB3115(2)Failure to meet security monitoring room requirementsB3215(3)Failure to monitor the alarm devices as requiredB3315.1(a) and (b)Failure to provide uninterrupted power supply for required devices and equipmentB3415.2(1) and (2)Failure to maintain records of access control devices with the specified informationA3515.2(3)Failure to restore integrity of defective, lost, stolen or unlawfully transferred access control deviceB3615.2(4)Issuing an access control device or combination to unauthorized personB3716Failure to maintain site planB3817(1)Entering protected area without authorizationB3917(2)Failure to prepare identification report as requiredA4017(3)Issuing an authorization to enter protected area without proof of name and address and without condition that person be escortedB4117(4)Permitting unescorted person to enter or remain in protected areaB4217(6)Failure to give person copy of requested information or documentsA4317.1Failure to verify person’s identity by two separate personnel identity verification systems when person enters protected areaB4418(1)Entering inner area without recorded authorizationB4518(2)Acting as a nuclear security officer without recorded authorizationA4618(3)Acting as a physical protection system support person without recorded authorizationA4718.1Failure to conduct required checks before granting authorization to enter protected area or act as physical protection system support personA4818.2Failure to conduct required checks, obtain proof of status in Canada or obtain required certificates prior to issuing an authorization to a nuclear security officerA4918.5Failure to give person copy of requested information or documentsA5019(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 personA5119(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 itA5220(1)Entering inner area without required authorizationB5320(2)Acting as physical protection system support person without required authorizationB5420.1Failure to obtain required information prior to issuing an authorization to enter inner area or act as physical protection system support personA5520.2(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 personB5620.2(3)Permitting person with authorization to enter or remain in inner area or to act as a physical protection system support person without being escortedB5721(2)Failure to notify the Commission in writing of revocation of authorizationA5823(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 officerB5923(2)Permitting the means of entry or exit in structure or barrier to inner area to be unlocked by unauthorized personsB6024(1)Permitting an unauthorized person to enter or remain in protected area or inner areaB6124(2)Failure to immediately report unauthorized person in protected area or inner area to nuclear security officerB6225Failure to ensure that weapons and explosives only enter protected or inner area under the control of an authorized personB6326Failure to ensure Category I, II and III nuclear material is only removed from a protected area or inner area in accordance with a licenceB6427(1)Failure to post required advisory notices at entrance of protected and inner areasA6527(2)Failure to search a person and their possessions on entering and leaving protected area or inner areaB6627(4)Permitting a person to remain in protected area or inner area without the person and their possessions being searchedB6727(5)Failure to conduct search in accordance with the requirementsB6828(1)Entering or leaving a protected area or inner area after refusing to submit to a searchC6928(2)(a)Taking weapons or explosive substances, unless under the control of an authorized person, into protected area or inner areaC7028(2)(b)Unauthorized removal of Category I, II and III nuclear material from protected or inner areaC7130Failure to provide sufficient number of nuclear security officers required to carry on the specified activitiesB7231Failure to provide nuclear security officer with required equipment to perform the specified dutiesB7332Failure to maintain on-site nuclear response force capable of making effective interventionB7434(1)Failure to train nuclear security officers regarding their security duties and responsibilitiesB7534(2)Failure to examine nuclear security officer candidate’s familiarity with security duties and responsibilities within the specified periodB7635(1)Failure to make written arrangements with off-site response force to provide for protection of facilityB7735(2)Failure to include specified provisions in arrangements with off-site response forceB7836(1)Failure to develop and maintain contingency plan with off-site response force to ensure effective interventionB7936(2)Failure to conduct security exercise at the specified intervalB8036(3)Failure to notify the Commission about security exercise within the specified periodA8136(4)Failure to conduct security drill at the specified intervalB8237(1)(a)Failure to keep record of persons authorized to enter protected or inner areaA8337(1)(b)Failure to retain record of persons authorized to enter protected or inner area for the specified periodA8437(1)(c)Failure to make copy of record of persons authorized to enter protected or inner area available to nuclear security officersA8537(2)Failure to keep record of duties and responsibilities of nuclear security officers and to give a copy of record to nuclear security officerA8637(3)Failure to keep record of training received by each nuclear security officerA8738Failure to develop and implement supervisory awareness programB8842(1)Permitting a person without a facility-access security clearance to enter or remain in a nuclear facilityB8942(1)Permitting an unescorted or unauthorized person to enter or remain in a nuclear facilityB9042(2)Failure to verify criminal record, personal history or information relating to trustworthiness before granting facility-access security clearanceB9143(1)Failure to establish and maintain list of persons granted facility-access security clearanceA9243(2)Failure to provide list of persons granted facility-access security clearance to the Commission or the inspector requesting itA9344(2)Failure to notify the Commission in writing about revocation of facility-access security clearanceA9445(a)Permitting a land vehicle to enter a nuclear facility without operational requirement and without searching it for explosive substances, weapons or unauthorized personsB9545(b)Permitting entry of an unauthorized land vehicle at a nuclear facilityB9646(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 accessB9746(2)Failure to equip area with specified devices where nuclear substances or radioactive material is processed, used or storedB9847(1)Failure to make written arrangements with an off-site response force capable of making an effective intervention at nuclear facilityB9947(2)Failure to include specified provisions in arrangements with off-site response forceB10047(3)Failure of alarm monitoring service under contract to notify the licensee and off-site response force on receipt of an alarm signalB10148Failure to develop and implement supervisory awareness programB
PART 10
Nuclear Non-Proliferation Import and Export Control RegulationsColumn 1Column 2Column 3ItemProvisionShort-form DescriptionCategory14(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; SOR/2017-199, s. 7SOR/2020-237, s. 24SOR/2020-2372020-11-25