Enclosure 

Responses to Information Requests 

The Honorable Jason Chaffetz 

Letter dated June 8, 2015 

REQUEST 1. A list of all fines or penalties that may be assessed by the Agency. For 

each fine or penalty, identify: 

a. the Agency component responsible for assessing the fine or 

penalty; 

 b. the regulatory and statutory authority under which the fine or 

penalty may be assessed; 

 c. the regulatory and statutory authority under which funds may be 

retained or spent after collection, including any constraints on 

such spending; 

 d. all non-Agency recipients of funds collected from the fine or 

penalty, including the amount provided to each recipient, since 

January 1, 2010; and, 

 e. whether the fine or penalty is civil or criminal in nature. 

ANSWER. 

a) The Office of Enforcement is responsible for oversight of the enforcement program, 

including assessment of fines or penalties. The head of the applicable program or 

regional office proposes fines and penalties, in consultation with the Office of 

Enforcement, and issues the initial enforcement sanction. 

b) Civil penalties are assessed under section 234 of the Atomic Energy Act, as amended, 

42 U.S.C. § 2282a. Regulations promulgated to implement this authority are at 10 CFR 

Part 2, Subpart B. The maximum civil penalty is adjusted at least once every four years 

pursuant to the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended. 

c) The U.S. Nuclear Regulatory Commission (NRC) does not have the authority to retain or 

spend civil penalties collected. All penalties are deposited in the United States Treasury 

as miscellaneous receipts. 

d) None. 

e) The NRC authority is limited to imposition of civil penalties. 
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REQUEST 2. All guidance referring or relating to assessment of fines or penalties. 

ANSWER. 

a) The U.S. Nuclear Regulatory Commission (NRC) Enforcement Policy (Policy) sets forth 

the general principles governing the NRC’s enforcement program and the Commission’s 

expectations regarding the process to be used by the NRC to assess and disposition 

violations of NRC requirements. Section 2.3.4 of the Policy describes the assessment of 

civil penalties. The current version of the Policy, dated February 4, 2015, is available at: 

http://pbadupws.nrc.gov/docs/ML1502/ML15029A148.pdf. 

b) The Enforcement Manual (Manual) provides specific guidance to the staff on 

implementation of the NRC enforcement program. The current version of the Manual, 

dated December 5, 2014, is available at: 

http://pbadupws.nrc.gov/docs/ML1026/ML102630150.pdf

Hard copies of these two documents have not been included because they are over 500 

pages combined. 

REQUEST 3. All guidance referring or relating to retention or expenditure of funds 

collected from fines or penalties. 

ANSWER. 

Section 234 of the Atomic Energy Act of 1954, as amended, 42 U.S.C. § 2282, authorizes the 

NRC to impose civil penalties. Additionally, 31 U.S.C. § 3302(b) (Miscellaneous Receipts Act) 

requires the NRC to deposit into the U.S. Treasury as miscellaneous receipts all monies 

collected under Section 234. As such, the NRC lacks the authority to retain or expend funds 

collected from fines or civil penalties. This was confirmed by the Comptroller General of the 

United States in B-238419, 70 Comp. Gen. 17(1990). 
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REQUEST 4. A list of all instances since January 1, 2010, where a fine or penalty was 

waived or otherwise disposed of as part of a settlement with the Agency 

and/or the Department of Justice. 

ANSWER. 

The following table lists those instances, since January 1, 2010, where a fine or penalty was 

waived or otherwise disposed of as part of a settlement through the use of alternative dispute 

resolution (ADR). The Administrative Dispute Resolution Act of 1996 provides the statutory 

framework to use ADR to settle disputes. 

Case No. Licensee Action Date 

EA-2009-142 U.S. Department of Commerce, 

National Institute of Standards and Technology

Confirmatory Order with 

Civil Penalty 

03/01/2010 

EA-2008-184 CAN USA, Inc. Confirmatory Order 04/16/2010 

EA-2009-272 AREVA NP, Inc. Confirmatory Order 04/26/2010 

EA-2009-252 Duke Energy Carolinas, LLC Confirmatory Order 06/02/2010 

EA-2010-054 Stone & Webster Construction, Inc., 

Browns Ferry Nuclear Power Plant 

Confirmatory Order 09/10/2010 

EA-2010-076 Nuclear Fuel Services, Inc. Confirmatory Order 11/16/2010 

EA-2010-041 AREVA NP, Inc. Confirmatory Order 12/02/2010 

EA-2010-077 Superior Well Services, Ltd. Confirmatory Order with 

Civil Penalty 

02/08/2011 

EA-2010-231 Alaska Industrial X-Ray, Inc. Confirmatory Order with 

Civil Penalty 

06/07/2011 

EA-2010-258 Bozeman Deaconess Hospital Confirmatory Order with 

Civil Penalty 

07/08/2011 

EA-2011-056 United States Enrichment Corporation Confirmatory Order 08/17/2011 

EA-2010-161 Professional Service Industries, Inc. Confirmatory Order with 

Civil Penalty 

08/18/2011 

EA-2011-096 Entergy Nuclear Operations, Inc., River Bend 

Station 

Confirmatory Order 08/24/2011 

EA-2011-043 Accurate NDE and Inspection, Inc. Confirmatory Order with 

Civil Penalty 

12/19/2011 

EA-2011-214 Entergy Nuclear Operations, Inc., Palisades 

Nuclear Plant 

Confirmatory Order 01/25/2012 

EA-2010-090 Entergy Nuclear Operations, Inc., 

James A. Fitzpatrick Nuclear Power Plant 

NOV 01/26/2012 

EA-2011-254 ABSG Consulting Inc. Confirmatory Order 04/17/2012 

EA-2010-102 Texas Gamma Ray, LLC Confirmatory Order with 

Civil Penalty 

05/15/2012 
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Case No. Licensee Action Date 

EA-2012-021 Tennessee Valley Authority Confirmatory Order 06/18/2012 

EA-2012-005 Indiana Michigan Power Co. Confirmatory Order 06/28/2012 

EA-2011-124 Quality Inspection and Testing, Inc. Confirmatory Order with 

Civil Penalty 

08/10/2012 

EA-2012-058 DBI , Inc. Confirmatory Order with 

Civil Penalty 

10/11/2012 

EA-2012-145 Southern Nuclear Operating Company, Inc., 

Joseph M. Farley Nuclear Plant 

Confirmatory Order 05/06/2013 

EA-2013-025 Dr. Bradley D. Bastow Confirmatory Order with 

Civil Penalty 

09/03/2013 

EA-2012-189 Chicago Bridge and Iron Company Confirmatory Order 09/16/2013 

EA-2013-068 Exelon Generation Company, LLC Confirmatory Order 10/28/2013 

EA-2012-140 South Carolina Electric & Gas Company, Virgil 

C. Summer Nuclear Station 

Confirmatory Order 03/10/2014 

EA-2014-005 Tennessee Valley Authority, Browns Ferry 

Nuclear Plant 

Confirmatory Order 05/01/2014 

EA-2014-013 Entergy Nuclear Operations, Inc., Palisades 

Nuclear Plant 

Confirmatory Order 07/21/2014 

EA-2013-196 Chicago Bridge and Iron Company Confirmatory Order 09/25/2014 

EA-2014-113 Kruger Technologies, Inc. Confirmatory Order 10/28/2014 

EA-2014-009 Entergy Operations, Inc., River Bend Station Confirmatory Order with 

Civil Penalty 

12/03/2014 

REQUEST 5. For each Agency component, the total amount of funds collected 

through the assessment of fines and penalties by the applicable statute 

or regulation that was implicated, since January 1, 2010. 

ANSWER. 

The total amount of funds collected from civil penalties assessed under section 234 of the 

Atomic Energy Act, as amended, 42 U.S.C. §2282a, since January 1, 2010, is approximately 

$1,558,036. All funds collected are deposited into the U.S. Treasury. 

REQUEST 6. A breakdown of the total amount of funds collected through the 

assessment of fines and penalties by the applicable statute or 

regulation that was implicated, since January 1, 2010. 
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ANSWER. 

The total amount of funds collected from civil penalties assessed under section 234 of the 

Atomic Energy Act, as amended, 42 U.S.C. §2282a, since January 1, 2010, is approximately 

$1,558,036. All funds collected are deposited into the U.S. Treasury. No funds from civil 

penalties were assessed or collected under any other statute or regulation.