Circular No. 26/2010/TT-BKHCN guiding certain provisions of Government Decree No. 111/2009/NĐ-CP dated December 11, 2009 on administrative sanctions for violations in the field of atomic energy.

CIRCULAR

GUIDELINES FOR SOME PROVISIONS OF DECREE NO. 111/2009/ND-CP OF THE GOVERNMENT DATED DECEMBER 11, 2009 ON ADMINISTRATIVE SANCTIONS IN THE FIELD OF NUCLEAR ENERGY

REGULATING ADMINISTRATIVE SANCTIONS FOR VIOLATIONS IN THE FIELD OF NUCLEAR ENERGY

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Pursuant to the Atomic Energy Law 2008;

BASED ON THE ADMINISTRATIVE VIOLATION HANDLING LAW 2002 AS AMENDED AND COMPLEMENTED IN 2007 AND 2008;

BASED ON DECREE NO. 111/2009/ND-CP OF THE GOVERNMENT DATED DECEMBER 11, 2009 REGULATING ADMINISTRATIVE SANCTIONS FOR VIOLATIONS IN THE FIELD OF NUCLEAR ENERGY;

BASED ON DECREE NO. 28/2008/ND-CP OF THE GOVERNMENT DATED MARCH 14, 2008 REGULATING THE FUNCTIONS, TASKS, POWERS, AND ORGANIZATIONAL STRUCTURE OF THE MINISTRY OF SCIENCE AND TECHNOLOGY,

THE MINISTER OF SCIENCE AND TECHNOLOGY GUIDES SOME PROVISIONS SET OUT IN CHAPTER II OF DECREE NO. 111/2009/ND-CP (HEREINAFTER REFERRED TO AS DECREE 111) ON VIOLATIONS OF ADMINISTRATIVE LAW IN THE FIELD OF NUCLEAR ENERGY AND THE AUTHORITY AND PROCEDURES FOR IMPOSING SANCTIONS AS FOLLOWS:

PART I

GUIDELINES FOR DETERMINING CERTAIN VIOLATIONS OF ADMINISTRATIVE LAW IN THE FIELD OF NUCLEAR ENERGY

Article 1. VIOLATIONS OF REPORTING REQUIREMENTS

1. THE VIOLATION OF FAILING TO REPORT RADIOACTIVE MATERIALS, RADIOACTIVE WASTE, USED RADIATION SOURCES, RADIATION EQUIPMENT, NUCLEAR SOURCE MATERIALS, NUCLEAR MATERIALS, NUCLEAR EQUIPMENT, AND USED NUCLEAR FUEL TO THE COMPETENT STATE AUTHORITIES AS PROVIDED FOR IN POINT A, CLAUSE 1, AND POINT A, CLAUSE 2, ARTICLE 5 OF DECREE 111 IS UNDERSTOOD AS FAILING TO REPORT TO THE DEPARTMENT OF SCIENCE AND TECHNOLOGY OR THE RADIATION AND NUCLEAR SAFETY AGENCY AS CLASSIFIED IN ARTICLE 8 OF CIRCULAR NO. 08/2010/TT-BKHCN DATED JULY 22, 2010 ON REPORTING AND ISSUING LICENSES FOR RADIATION WORK AND RADIATION EMPLOYEE CERTIFICATES.

2. THE VIOLATION OF "FAILING TO REPORT USED RADIATION SOURCES" AS PROVIDED FOR IN POINT D, CLAUSE 1, ARTICLE 5 OF DECREE 111: "USED RADIATION SOURCES" ARE UNDERSTOOD AS RADIATION SOURCES THAT HAVE BEEN USED AND ARE NO LONGER IN USE (DUE TO DAMAGE TO THE RADIATION SOURCE OR RADIATION EQUIPMENT, OR NO LONGER BEING NECESSARY).

Article 2. VIOLATIONS OF RADIATION SAFETY AND NUCLEAR SAFETY REQUIREMENTS

1. REGARDING THE MEASURE TO MITIGATE CONSEQUENCES "HALTING THE CIRCULATION OF GOODS FOR A SPECIFIED PERIOD" AS PROVIDED FOR IN POINT B, CLAUSE 4, ARTICLE 10 OF DECREE 111: "SPECIFIED PERIOD" IS THE TIME REQUIRED FOR THE RADIOACTIVITY LEVEL OF RADIOACTIVE MATERIALS ON THE GOODS TO REDUCE TO THE LEVEL SATISFYING THE NATIONAL TECHNICAL REGULATION ON RADIATION SAFETY - DISPOSAL OF RADIOACTIVE MATERIALS AND CONTAMINATED OBJECTS BY THE MINISTER OF SCIENCE AND TECHNOLOGY.

WHEN APPLYING THE MEASURE TO MITIGATE CONSEQUENCES "HALTING THE CIRCULATION OF GOODS," IF THE AUTHORIZED SANCTIONING AUTHORITY CANNOT DETERMINE THE SPECIFIC HALTING PERIOD, THEY SHALL SEEK EXPERT OPINIONS FROM QUALIFIED SPECIALIZED AUTHORITIES AS PROVIDED FOR BY LAW. THE EVALUATION RESULTS OF THE SPECIALIZED AUTHORITIES SHALL BE THE BASIS FOR DETERMINING THE HALTING PERIOD FOR THE VIOLATING GOODS.

2. THE VIOLATION OF "ALLOWING PUBLIC AND RADIATION EMPLOYEES TO BE EXPOSED TO DOSES EXCEEDING THE LIMIT" AS PROVIDED FOR IN POINT A, CLAUSE 1, ARTICLE 13 OF DECREE 111 IS UNDERSTOOD AS: ORGANIZATIONS AND INDIVIDUALS CARRYING OUT RADIATION WORK ALLOWING OCCUPATIONAL AND PUBLIC DOSES TO EXCEED THE LIMITS SET OUT IN THE CIRCULAR GUIDING THE CONTROL AND ENSURING OF RADIATION SAFETY IN OCCUPATIONAL AND PUBLIC IRRADIATION ISSUED BY THE MINISTER OF SCIENCE AND TECHNOLOGY.

3. THE VIOLATION OF "FAILING TO PROVIDE SAFETY, SECURITY, AND RADIATION WARNING SIGNS" AS PROVIDED FOR IN POINT A, CLAUSE 1, AND POINT A, CLAUSE 2, ARTICLE 14 OF DECREE 111 IS UNDERSTOOD AS:

a) FAILING TO INSTALL RADIATION WARNING SIGNS, DANGER WARNING SIGNS, RADIATION WARNING LIGHTS, AND RADIATION ACTIVITY INDICATOR LIGHTS AT THE ENTRANCES TO ROOMS WHERE RADIATION EQUIPMENT IS LOCATED OR OPERATED;

b) IN CASES WHERE A FACILITY CARRYING OUT RADIATION WORK HAS MULTIPLE RADIATION EQUIPMENTS LOCATED IN DIFFERENT ROOMS BUT COLLECTED INTO A ZONE (LIKE DEPARTMENTS, CENTERS...), WITHOUT INSTALLING RADIATION WARNING SIGNS AT THE ZONES WITH ROOMS WHERE RADIATION EQUIPMENT IS LOCATED, USED, OR OPERATED;

c) FAILING TO PROVIDE DANGER WARNING SIGNS ON THE CONTAINERS OF RADIATION SOURCES, ON THE CONTAINERS OF RADIATION SOURCE DEVICES, AND ON RADIATION EQUIPMENT;

d) FAILING TO PROVIDE RADIATION WARNING SIGNS AND SAFETY GUIDANCE SIGNS AT THE ENTRANCES AND EXITS OF CONTROL ZONES AND SUPERVISED ZONES;

đ) FAILING TO PROVIDE RADIATION WARNING DEVICES FOR FACILITIES WITH NUCLEAR REACTORS, ACCELERATORS, RADIATION TREATMENT EQUIPMENT, MATERIAL PROCESSING EQUIPMENT, INDUSTRIAL RADIATION IMAGING EQUIPMENT, DISTANT RADIOTHERAPY FACILITIES, AND RADIUM ORE MINING AND PROCESSING FACILITIES;

e) FAILING TO PROVIDE SECURITY GUIDANCE TO PREVENT UNAUTHORIZED PERSONS FROM APPROACHING AREAS WITH RADIATION SOURCES AND RADIATION EQUIPMENT.

4. THE VIOLATION OF "FAILING TO ORGANIZE TRAINING ON RADIATION AND NUCLEAR SAFETY FOR RADIATION EMPLOYEES" AS PROVIDED FOR IN POINT B, CLAUSE 3, ARTICLE 14 OF DECREE 111 IS UNDERSTOOD AS:

a) ORGANIZATIONS AND INDIVIDUALS CARRYING OUT RADIATION WORK FAILING TO ORGANIZE TRAINING FOR NEWLY HIRED RADIATION EMPLOYEES;

b) ORGANIZATIONS AND INDIVIDUALS CARRYING OUT RADIATION WORK NOT ORGANIZING ANNUAL TRAINING AND UPDATING KNOWLEDGE ON RADIATION AND NUCLEAR SAFETY AND SPECIALIZATION FOR RADIATION EMPLOYEES.

5. THE VIOLATION OF "FAILING TO DEVELOP AND IMPLEMENT A FACILITY-LEVEL EMERGENCY RESPONSE PLAN" AS PROVIDED FOR IN POINT C, CLAUSE 3, ARTICLE 14 OF DECREE 111 IS UNDERSTOOD AS:

a) FACILITIES STORING, USING, AND MANAGING RADIATION SOURCES FAILING TO DEVELOP A FACILITY-LEVEL EMERGENCY RESPONSE PLAN;

b) FACILITIES STORING, USING, AND MANAGING RADIATION SOURCES HAVING A FACILITY-LEVEL EMERGENCY RESPONSE PLAN BUT IT DOES NOT FULLY COMPLY WITH THE PROVISIONS OF CLAUSE 2, ARTICLE 83 OF THE NUCLEAR ENERGY LAW. THE CONTENT OF THE FACILITY-LEVEL EMERGENCY RESPONSE PLAN INCLUDES: ANTICIPATING POSSIBLE EMERGENCY SITUATIONS, HUMAN AND EQUIPMENT RESOURCES FOR INITIAL RESPONSE ACTIONS, ORGANIZING MEDICAL CARE FOR INJURED PERSONS, LIMITING SPREAD AND CONSEQUENCES, SECURING DANGEROUS AREAS, AND CONTROLLING SAFETY AND SECURITY, ORGANIZING ANNUAL EMERGENCY RESPONSE DRILLS;

c) FACILITIES STORING, USING, AND MANAGING RADIATION SOURCES FAILING TO IMPLEMENT ANY OF THE ITEMS OF THE FACILITY-LEVEL EMERGENCY RESPONSE PLAN AS PROVIDED FOR IN POINT B, CLAUSE 5 OF THIS PROVISION.

6. THE VIOLATION OF "FAILING TO ORGANIZE REGULAR HEALTH CHECKS FOR RADIATION EMPLOYEES" AS PROVIDED FOR IN POINT A, CLAUSE 4, ARTICLE 14 OF DECREE 111 IS UNDERSTOOD AS:

a) ORGANIZATIONS AND INDIVIDUALS CARRYING OUT RADIATION WORK FAILING TO ORGANIZE HEALTH CHECKS FOR RADIATION EMPLOYEES WHEN THEY ARE HIRED.

b) Organizations and individuals conducting radiation work who do not organize annual health check-ups for radiation workers as prescribed by the Ministry of Health.

7. The violation of the regulations on organizing individual dose assessment for radiation workers as stipulated in point c, Clause 4, Article 14 of Decree 111 shall be understood as follows:

a) Organizations and individuals conducting radiation work who do not organize at least one dose assessment for radiation workers every three months.

b) Inadequate or non-continuous dose assessments throughout the year.

8. The violation of the regulations on establishing controlled areas, surveillance areas, and restricted access zones as stipulated in point i, Clause 4, Article 14 of Decree 111 shall be understood as follows: Organizations and individuals conducting radiation work who do not establish controlled areas and surveillance areas according to the Circular guiding radiation control and safety assurance during occupational and public exposure issued by the Minister of Science and Technology.

9. The violation of "failing to report or reporting inadequately on the current status of radiation work safety" as stipulated in point a, Clause 5, Article 14 of Decree 111 shall be understood as follows:

a) Organizations and individuals conducting radiation work who fail to report the current status of radiation work safety to the Department of Science and Technology or the Radiation and Nuclear Safety Agency at least once a year.

b) Organizations and individuals conducting radiation work who report on the current status of radiation work safety to the radiation safety management agency but do not include all required contents as specified in Clause 2, Article 20 of the Atomic Energy Law. These contents include compliance with conditions listed in the radiation work permit, changes from the application file, radiation incidents, and corrective measures.

10. The violation of "failing to regularly monitor radiation levels in the workplace of radiation workers" as stipulated in point b, Clause 5, Article 14 of Decree 111 shall be understood as follows: Organizations and individuals conducting radiation work who do not conduct monitoring according to the Circular guiding radiation control and safety assurance during occupational and public exposure issued by the Minister of Science and Technology.

11. The violation of "failing to periodically inspect and calibrate radiation measurement equipment, radiation devices, and nuclear devices" as stipulated in point c, Clause 5, Article 14 of Decree 111 shall be understood as follows:

a) Organizations and individuals using radiation measurement equipment, radiation devices, and nuclear devices listed in the catalog of radiation measurement equipment, radiation devices, and nuclear devices that must be inspected and calibrated by the Ministry of Science and Technology but do not inspect or calibrate them as required before putting the equipment into use.

b) Failing to periodically inspect and calibrate as required.

c) After reinstalling or repairing the equipment which affects its safety features and accuracy without inspecting or calibrating it as required.

12. The violation of "using radioactive sources, radiation devices that do not meet standards for diagnosis and treatment in medical examinations and treatments" as stipulated in point e, Clause 5, Article 14 of Decree 111 shall be understood as follows:

a) Organizations and individuals conducting radiation work who continue to use radiation devices that have failed inspection requirements without rectifying the issues.

b) Organizations and individuals conducting radiation work who use radiation devices that have been inspected but found to be unsuitable for patient diagnosis and treatment at the time of inspection by the inspection team.

13. The violation of "disposing of radioactive contaminated objects with higher contamination levels than prescribed" as stipulated in point b, Clause 1, Article 17 of Decree 111 shall be understood as follows: Organizations and individuals disposing of radioactive contaminated objects with contamination levels exceeding those specified in the National Technical Regulation on Radioactive Waste Disposal issued by the Minister of Science and Technology.

Article 3. Violations of regulations on nuclear security for radioactive sources, nuclear materials, and nuclear devices.

1. The violation of "failing to implement measures to prevent unauthorized access to radioactive sources" as stipulated in point a, Clause 1, Article 23 of Decree 111: "measures to prevent unauthorized access to radioactive sources" shall be understood as: security measures for radioactive sources to control illegal access, theft, seizure, and destruction as prescribed in Circular No. 23/2010/TT-BKHCN dated December 29, 2010, on Ensuring Security for Radioactive Sources issued by the Minister of Science and Technology (hereinafter referred to as Circular No. 23/2010/TT-BKHCN).

2. The violation of "failing to regularly inventory radioactive sources" as stipulated in point c, Clause 1, Article 23 of Decree 111 shall be understood as follows: organizations and individuals possessing radioactive sources who do not confirm the presence of radioactive sources at their location as prescribed in Circular No. 23/2010/TT-BKHCN. Specifically:

a) Organizations and individuals managing and using radioactive sources classified under Security Level A who do not inventory radioactive sources daily.

b) Organizations and individuals managing and using radioactive sources classified under Security Level B who do not inventory radioactive sources at least weekly.

c) Organizations and individuals managing and using radioactive sources classified under Security Level C who do not inventory radioactive sources at least monthly.

d) Organizations and individuals managing and using radioactive sources classified under Security Level D who do not inventory radioactive sources at least annually.

Article 4. Violations of regulations on support services for atomic energy applications.

The violation of "conducting support services for atomic energy applications but violating radiation safety and nuclear safety regulations" as stipulated in point b, Clause 1, Article 29 of Decree 111 shall be understood as follows:

1. Any organization or individual conducting nuclear energy application support services using radioactive sources or radiation equipment without complying with radiation safety and nuclear safety regulations, such as safety guidelines, security measures, maintaining and keeping radiation safety records, assigning responsible personnel for safety, regular health check-ups for radiation workers, testing and calibrating radiation equipment, reporting the current status of radiation work to the competent state management agency on radiation safety and nuclear safety, and other regulations applicable to a radiation work facility.

2. Any organization or individual conducting nuclear energy application support services without adhering to safety rules during service activities leading to consequences that cause loss of radiation safety and nuclear safety, such as the following actions:

a) Causing radiation dose exposure exceeding permitted limits;

b) Causing the release of radioactive substances into the environment; losing radioactive sources;

c) Not having procedures when measuring and inspecting radioactive sources and radiation equipment; not implementing procedures approved by the competent authority;

d) Not establishing control zones, surveillance zones, and restricting access when testing and calibrating radiation measurement equipment, radiation equipment, nuclear equipment, decontamination, and installing radioactive sources.

3. Failing to strictly fulfill the responsibilities of a nuclear energy application support service facility. Examples include the following actions:

a) Providing inaccurate or substandard service results;

b) Sending personal dose reading results late; not providing customers with instructions on how to use personal dosimeters as required;

c) Recording incomplete or inaccurate information in: personal dose reading results; quality inspection reports, calibration reports for radiation equipment, nuclear equipment, and radiation measurement equipment, radiation area monitoring, safety assessments, radiation technology evaluation and certification, nuclear technology evaluation;

d) Not performing service contracts fully and promptly as stipulated in the contract;

đ) Not retaining records related to nuclear energy application support service activities;

e) Using unsuitable or non-compliant equipment in nuclear energy application support service activities;

g) Causing radiation equipment to operate contrary to the manufacturer's operating principles;

h) Issuing safety inspection certificates when safety conditions are not met;

i) Not entering data into the national database as required;

k) Not regularly reporting individual dose assessment results to the Radiation and Nuclear Safety Administration as required.

Article 5. Violations concerning occupational insurance, civil liability insurance, and environmental damage compensation insurance.

1. Medical X-ray facilities and radiation work facilities not listed in Clause 2 Article 19 of Decree 111 that fail to purchase occupational insurance and civil liability insurance for radiation workers as required shall be subject to penalties under Clause 1 Article 19 of Decree 111.

2. Facilities operating accelerators, treatment devices, irradiation sterilization devices, material processing devices, industrial radiographic imaging devices, radioactive substance production and processing facilities, radioactive ore exploration, extraction, and processing facilities, nuclear materials outside the nuclear fuel cycle, and nuclear material transportation outside the nuclear facility premises that fail to purchase occupational insurance and civil liability insurance for radiation workers as required shall be subject to penalties as stipulated in Clause 2 Article 19 of Decree 111.

3. Facilities with research reactors, nuclear power plants, radioactive substance production and processing facilities, radioactive ore extraction and processing facilities, radioactive waste treatment facilities, used radioactive sources, and used nuclear fuel that fail to purchase environmental damage compensation insurance as required shall be subject to penalties as stipulated in Clause 4 Article 19 of Decree 111.

Article 6. Obstructing inspection and supervision activities as provided for in Article 30 of Decree 111.

Organizations or individuals engaging in any of the following acts shall be subject to penalties as stipulated in Point b Clause 2 Article 30 of Decree 111:

1. Not appointing staff to work with the inspection team, appointing staff without the necessary authority to work with the inspection team, or not authorizing staff to work with the inspection team;

2. Unauthorizedly breaking seals, altering positions, or tampering with sealed marks on radioactive sources or radiation equipment when these sources or equipment are temporarily seized or sealed by the inspection agency due to violations of declaration, licensing, testing, calibration, upgrading of radiation equipment, or improper room arrangements for radiation work while awaiting decisions from authorized persons;

3. Not implementing or not fully and promptly implementing inspection conclusions and decisions made by authorized persons;

4. Other acts obstructing or making it difficult for competent authorities to conduct inspections and supervision (for example: delaying the provision of documents requested by the inspection team; failing to arrange or delaying the arrangement of personnel to unlock rooms or operate machines for the inspection team during actual inspections and measurements in various rooms).

Chapter II

GUIDANCE ON AUTHORITY AND PROCEDURES FOR ADMINISTRATIVE PENALTIES

Article 7. Inspectors specializing in science and technology as specified in Clause 1 Article 32 of Decree 111 include: Inspectors working at the Ministry of Science and Technology Inspectorate, Radiation and Nuclear Safety Inspectorate (persons assigned inspection tasks at the Radiation and Nuclear Safety Inspectorate), and Science and Technology Inspectorates of provincial departments.

Article 8. Authority to issue administrative violation notices

The following persons have the authority to issue administrative violation notices in the field of atomic energy: Chief Inspector of the Ministry of Science and Technology, Chief Inspector of the Provincial Department of Science and Technology, Head of specialized radiation and nuclear safety inspection teams, inspectors specializing in science and technology, and officials with penalty authority as stipulated in Articles 33 and 34 of Decree 111.

Chapter III

IMPLEMENTATION

Article 9. Effectiveness

This Circular takes effect from February 22, 2011. During implementation, if there are difficulties or obstacles, agencies and units are requested to promptly report them to the Ministry of Science and Technology for study and resolution.