Conn. Agencies Regs. § 22a-6b-8
The penalty for each distinct violation shall be determined as follows: Calculate the amount of economic benefit resulting from the violation in accordance with subsection (b), calculate the gravity-based penalty component in accordance with subsection (c), and calculate the gravity-based penalty adjustments in accordance with subsection (d). The administrative civil penalty for each distinct violation is the sum of the economic benefit, gravity-based penalty component, and any gravity-based penalty adjustments.
If the respondent derived a measurable economic benefit, such as savings in money, time and effort, as a result of the violation, the commissioner shall calculate the amount of such economic benefit. Economic benefit includes but may not be limited to lower, delayed or avoided compliance costs. The commissioner need not calculate economic benefit if there is no identifiable benefit from the noncompliance or the amount of economic benefit cannot be quantified. The total economic benefit for a violation shall not be less than zero.
The gravity-based penalty component shall be calculated as follows:
Each distinct violation of section 22a-39, 22a-42a, 22a-45a, 22a-342, 22a-345 through 22a-347, 22a-349a, 22a-368, 22a-401 through 22a-405, or 22a-411 of the Connecticut General Statutes, or of any regulation, order or permit administered or issued thereunder, or of an order issued or administered under section 22a-6 or 22a-7 of the Connecticut General Statutes to enforce any provision of sections 22a-36 through 22a-45a, sections 22a-342 through 22a-349a, sections 22a-365 through 22a-379, or sections 22a-401 through 22a-411 of the Connecticut General Statutes, shall first be evaluated in terms of its potential for harm to human health and welfare and the environment using each of the four sub-factors listed in Table 1A. The applicable sub-score under each sub-factor is the highest score that corresponds to the characteristics of the distinct violation. A sub-score of zero shall be used for any sub-factor for which none of the listed characteristics are associated with such violation. The total potential for harm score for each distinct violation is the sum of the four sub-scores.
Table 1A Potential For Harm Sub-factors For Inland Water Resources, Stream Channel Encroachment Lines, Water Diversion Or Dam Safety Violations | |
SUB-FACTOR 1: | Potential Impact To The Environment, To Human Health And Welfare, Or To Property Caused By The Violation. |
Sub-score | Characteristics |
2 | Violation involves a land disturbance of 1/2 acre or less, and erosion and sediment controls were either not installed or improperly installed or maintained; Violation involves or impacts a dam with an assigned hazard classification of "A" as determined in accordance with section 22a-409-2 of the Regulations of Connecticut State Agencies; Violation is within a FEMA designated flood fringe and the violation neither caused any loss of flood storage nor created a potential increase in flood heights; Violation resulted in the alteration of a wetland or watercourse, but caused either negligible or no apparent damage to such wetland or watercourse; or A water diversion violation that caused either negligible or no apparent impact on an inland water resource. |
4 | Violation involves a land disturbance that is greater than 1/2 acre but less than 10 acres, and erosion and sediment controls were either not installed or were improperly installed or maintained; Violation involves or impacts a dam with an assigned hazard classification of "B" or "BB" as determined in accordance with section 22a-409-2 of the Regulations of Connecticut State Agencies; Violation is located within a FEMA designated flood fringe and the violation either caused a loss of flood storage or caused a potential increase in flood heights; A water diversion violation that caused damage to an inland water resource, but such damage is not permanent, and the diversion has neither contributed to nor resulted in human injury or property damage; A diversion of water for consumptive use that may contribute to the degradation of surface water quality for a waterbody not meeting water quality standards as identified by the department pursuant to section 303(d) of the Federal Clean Water Act; or Violation resulted in the alteration of a wetland or watercourse, and the alteration caused damage to a wetland or watercourse but such damage is not permanent. |
6 | Violation involves a land disturbance that is greater than or equal to 10 acres and erosion and sediment controls were either not installed or were improperly installed or maintained; Violation involves or impacts a dam with an assigned hazard classification of "C" as determined in accordance with section 22a-409-2 of the Regulations of Connecticut State Agencies; Violation is located within a FEMA designated floodway; A water diversion violation that caused damage to an inland water resource, but the diversion cannot be ceased or the damage cannot be remediated, or the diversion violation has contributed to or resulted in human injury or loss of life or property damage; Violation resulted in the alteration of a wetland or watercourse, and the alteration caused permanent damage to a wetland or watercourse; or Violation caused the destruction of or damage to endangered species habitat. |
SUB-FACTOR 2: | Quantity Or Extent Of Resource Potentially Impacted By The Violation. |
Sub-score | Characteristics |
1 | * Less than 5,000 square feet of wetland, watercourse, floodplain, or landriverward of a State established stream channel encroachmentline; * Less than 200 linear feet of watercourse; or * Violation had apotential to result in a consumptive withdrawal of surface or ground water that is less than 250,000 gallons per day. |
2 | * From 5,000 to 50,000 square feet of wetland, watercourse, floodplain, or landriverward of a State established stream channel encroachmentline; * From 200 to 1,000 linear feet of watercourse; or * Violation had apotential to result in 250,000 to 2,000,000 gallons per day of consumptive withdrawal of surface or ground water. |
3 | * Physically impact more than 50,000 square feet of wetland, water-course, floodplain, or land riverward of a State established stream channel encroachment line; * Physically impact more than 1,000 linear feet of watercourse; or * Violation had a potential to result in more than 2,000,000 gallons per day of consumptive withdrawal of surface or ground water. |
SUB-FACTOR 3: | Quality Or Condition Of Natural Resource Potentially Impacted By The Violation. |
Sub-score | Characteristics |
1 | Class C Inland Surface Water that is not a swamp, marsh, bog, vernal pool or wetland containing alluvial or floodplain soils; or groundwater classified as GC. [ALPHA] |
2 | Class B Inland Surface Water that is not a swamp, marsh, bog, vernal pool or wetland containing alluvial or floodplain soils; or groundwater classified as GB. [ALPHA] |
3 | Oligotrophic Lake or Class A Inland Surface Water or Class AA Inland SurfaceWater, or any swamp, marsh, bog, vernal pool or wetland, or groundwater classified as GA, GA *, GAA, GAAs or GAA *;[ALPHA] Coldwater fishery, special management area as described in section26-112-46 of the Regulations of Connecticut State Agencies, or a stocked watercourse; All or a portion of the area potentially impacted is part of the Connecticutnatural diversity database inventory; or The violation is located in or potentially impacts a public water supply watershed. |
SUB-FACTOR 4: | Potential Impact On The Department's Ability, Through its Regulatory Programs, To Prevent Or Monitor Potential Harm To Human Health And Welfare Or The Environment. |
Sub-score | Characteristics |
1 | Failure to provide notification to the department upon completion of an activity, when such notification was required by a statute, regulation, order, permit or approval. |
2 | Failure to obtain an authorization for a regulated activity that could have been covered under a general permit; or Failure to submit on time a monitoring or progress report, notice of commencement of an activity, non-compliance notice, or any other notice or report, except a notice of completion, required by a statute, regulation, order, permit or approval. |
3 | Failure to obtain a permit for a regulated activity that was not covered by a general permit, or to submit on time plans or descriptions of work, or to perform any other action required by a statute, regulation, order, permit or approval. |
[ALPHA] Surface water and groundwater classifications as prescribed by the Water Quality Standards.
Each distinct violation shall then be evaluated in terms of its extent of deviation from the legal requirement using the criteria in Table 1B.
Table 1B Extent of Deviation Criteria For Inland Water Resources, Stream Channel Encroachment Lines, Water Diversion Or Dam Safety Violations | |
Extent of Deviation | Criteria |
Minor | Minimal noncompliance with the legal requirement in that the violator deviates somewhat from the requirement but that most of the requirement, or all important aspects of the requirement, were met after either minimal or no delay. |
Significant | Deviation from the legal requirement that does not meet the criteria for minor deviation. |
The gravity-based penalty component for each distinct violation shall comprise:
Table 1C Penalty Matrix for Inland Water Resources, Stream Channel Encroachment Lines, Water Diversion Or Dam Safety Violations | ||
POTENTIAL FOR HARM | EXTENT OF DEVIATION | |
Total Score | Significant | Minor |
15 | $ 1,000 | $ 600 |
14 | $ 930 | $ 570 |
13 | $ 860 | $ 540 |
12 | $ 790 | $ 510 |
11 | $ 720 | $ 480 |
10 | $ 480 | $ 180 |
9 | $ 424 | $ 160 |
8 | $ 368 | $ 140 |
7 | $ 312 | $ 120 |
6 | $ 256 | $ 100 |
5 | $ 110 | $ 50 |
4 | $ 100 | $ 45 |
3 | $ 90 | $ 40 |
2 | $ 80 | $ 35 |
1 | $ 70 | $ 35 |
Each distinct violation of section 22a-32, 22a-359, 22a-361 or 22a-362 of the Connecticut General Statutes, or of a regulation administered or issued thereunder, or of a permit administered or issued either thereunder or under section 22a-363b or 22a-363d of the Connecticut General Statutes, or of an order administered or issued under section 22a-6, 22a-7 or 22a-363f of the Connecticut General Statutes to enforce either section 22a-32, 22a-359, 22a-361, 22a-362, 22a-363b, 22a-363d or 22a-363f of the Connecticut General Statutes or a regulation or permit administered or issued thereunder, shall first be evaluated in terms of its potential for harm to human health and welfare and the environment using each of the three sub-factors listed in Table 2A. The applicable category of harm for each sub-factor is the highest category that corresponds to the characteristics of the distinct violation. The potential for harm of such violation shall be the highest category of harm identified in the sub-factor analysis.
Table 2A Potential for Harm Sub-factors for Tidal Wetlands, Structures, Dredging or Fill Violations | ||
Potential for Harm Sub-Factors | Violation Characteristics | Category of Harm |
1. Potential Impact to a Coastal Resource | Dredging, excavating or filling, or performing work incidental thereto, of a tidal wetland, intertidal flat, submerged aquatic vegetation or other statutorily protected coastal resource; or placing a structure or performing work incidental thereto either on, in, or affecting any tidal wetland, intertidal flat, submerged aquatic vegetation or other coastal resource. | Major |
A violation that has a significant potential to cause damage to any coastal resource, or has caused damage that can be fully remediated within one year. | Moderate | |
Storage or placement of boats, floats or other material in a tidal wetland, or deposition or disposal of brush or other readily retrievable material. | Minor | |
2. Encroachments | Constructing a new bulkhead or seawall, or performing work incidental thereto; or excavating or filling, or performing work incidental thereto, with heavy equipment waterward of the high tide line; or constructing docks or other marine facilities, or performing work incidental thereto, for five or more boats, or greater than forty feet in length. | Major |
Constructing or placing docks or other marine facilities, or performing work incidental thereto, for two to four boats, or less than or equal to forty feet in length; non-water-dependent encroachments such as decks, gazebos and floating homes with no potential for discharges; or capping or additional riprap, concrete or rocks placed on existing erosion control structures or armored shorelines. | Moderate | |
Constructing or placing a residential dock, or performing work incidental thereto, not greater than thirty feet in length for only one boat; or a deck, balcony or other attachment which extends waterward of the high tide line. | Minor | |
3. Navigational or Riparian Interference. | Constructing or placing a structure, or performing work incidental thereto, which encroaches into a navigational channel or creates a clear and obvious obstruction to riparian access, public access, navigation, fishing or other traditional public trust use. | Major |
Constructing or placing a structure, or performing work incidental thereto, that results in less than a complete blockage or obstruction to riparian access, public access, navigation, fishing or other traditional public trust use, and creates a potential navigational or riparian interference. | Moderate | |
Structures that appear to cross riparian boundaries or may affect navigation under certain conditions. | Minor | |
If the distinct violation does not have any of the characteristics listed in Table 2A, the potential for harm of such violation shall each be categorized as either major, moderate or minor using Table 2B.
Table 2B Alternate Potential for Harm Characteristics for Tidal Wetlands, Structures, Dredging or Fill Violations | |
Category of Harm | Violation Characteristics |
Major | Unauthorized activity which, without rapid and active restoration or remediation of the site or other impacted area, could create permanent resource damage, significant encroachment or acute and ongoing navigational or riparian interference, or which substantially inhibit or limit the Department's ability, through its regulatory programs, to ensure against actual or potential harm to the environment or to public health or welfare. |
Moderate | Unauthorized activity that could cause a substantial adverse impact to a coastal resource, the public trust, navigational or riparian considerations, or regulatory programs, but can be more readily corrected than major impact activities; or where formal enforcement action is warranted to ensure consistency and compliance with Department regulatory programs. |
Minor | Unauthorized activity that could cause only a minimal adverse impact and does not require substantial restoration of the site, or a violation having no on-site manifestation, such as a failure to file a report, plan or other form required by a permit. |
Each distinct violation shall then be evaluated in terms of its extent of deviation from the legal requirement using the criteria in Table 2C.
Table 2C Extent of Deviation Criteria for Tidal Wetlands, Structures, Dredging or Fill Violations | |
Category | Extent of Deviation Criteria |
Major | A violation that is substantially inconsistent with legal requirements; examples include: Significant violation of a permit or order. Activity that is inconsistent with applicable statutory standards and would not have been authorized by the department. Unauthorized activity that does not modify or reconstruct any previously existing or authorized structure or work. Unauthorized activity that is significantly different in scope and scale from surrounding existing or historical activities. |
Moderate | Violation that is generally consistent or can be made consistent with legal requirements through a permit authorization process or through modification of the violating activity; examples include: Unauthorized activity that might be statutorily consistent and permit-table if reconfigured or modified. Unauthorized minor modifications to existing commercial facilities. Significant reconstruction or modification of pre-existing structures which does not significantly change the footprint of the structure. Activity that is not significantly different in scope and scale than surrounding or prior activities. |
Minor | Unauthorized activity that was consistent with applicable statutory standards and would likely have been authorized had a timely and complete application been filed. |
The gravity-based penalty component for each distinct violation shall comprise the following:
Table 2D Penalty Matrix for Tidal Wetlands, Structures, Dredging or Fill Violations | |||
POTENTIAL FOR HARM | EXTENT OF DEVIATION | ||
Major | Moderate | Minor | |
Major | $720 to $1,000 | $570 to $770 | $480 to $600 |
Moderate | $256 to $480 | $160 to $288 | $100 to $180 |
Minor | $70 to $110 | $50 to $70 | $35 to $50 |
For each distinct violation of chapter 441 of the Connecticut General Statutes, or of any regulation, order or permit administered or issued thereunder, the gravity-based penalty component shall be determined using Table 3A.
Table 3A Penalty Schedule for Pesticide Control Violations | ||
Type of Violation | Penalty for Minor Extent of Deviation[DAGGER] | Penalty for Significant Extent of Deviation[DAGGER][ DAGGER] |
Commercial application of pesticides without supervisory certification in violation of 22a-54(c)(1) of the Connecticut General Statutes. | Not a minor deviation. | $1000 plus $100 for each subsequent application. |
Sale of a restricted use or permit use pesticide by a dealer who has not registered in violation of 22a-56(c) of the Connecticut General Statutes. | Not a minor deviation. | $1000 plus $100 for each additional sale |
Sale, use or distribution of a pesticide that has not been registered in violation of 22a-61(a)(1) of the Connecticut General Statutes. | Not a minor deviation. | $800 plus $100 for each additional sale |
Sale of a restricted use or permit use pesticide to a person who is not registered, certified or who has not obtained a permit in violation of 22a-57 of the Connecticut General Statutes. | Not a minor deviation. | $1000 plus $100 for each additional sale |
Failure of a registered dealer to: Maintain records of the sale of restricted use or permit use pesticides or to allow inspection of such records by the commissioner in violation of section 22a-58 of the Connecticut General Statutes; or submit records to the commissioner in violation of section 22a-66-4 of the Regulations of Connecticut State Agencies; or display restricted use or permit use pesticides in a separate secure area in violation of section 22a-66-4(f) of the Regulations of Connecticut State Agencies. | $300 | $1000 |
Failure of a certified private applicator to maintain or submit records of the use of restricted use pesticides in violation of section 22a-58 of the Connecticut General Statutes. | $100 | $500 |
Failure of a certified commercial supervisor to maintain records of the use of pesticides in violation of 22a-58 of the Connecticut General Statutes. | $250 plus $50 for each additional violation | $750 plus $50 for each additional violation |
Refusal to allow an inspection of a place where pesticides may have been used or stored, in violation of section 22a-59 or 22a-61(b)(2) of the Connecticut General Statutes, or refusal to allow inspection of records in violation of section 22a-58 or 22a-61(b)(2) of the Connecticut General Statutes. | $300 | $1000 |
Use or sale of a pesticide that has been adulterated or misbranded as defined in section 22a-47 of the Connecticut General Statutes in violation of section 22a-61(a)(5) | Not a minor deviation. | $1000 |
Detaching, altering, defacing, or destroying any pesticide label in violation of section 22a-61(b)(1) of the Connecticut General Statutes. | $250 | $750 |
Using a registered pesticide in a manner inconsistent with its labeling in violation of section 22a-61(b)(7) of the Connecticut General Statutes. | $750 | $2500 |
Advertising or soliciting to perform work that requires a commercial supervisory certification by a person who is uncertified or holds an operator's certification, or performance of such work by a person who holds operator certification in violation of section 22a-61(d) and 22a-61(e) of the Connecticut General Statutes. | $500 plus $100 for each additional advertisement, solicitation or performance | $1000 plus $100 for each additional advertisement, solicitation or performance |
Failure to post required notice of a pesticide application, or failure to post signs and provide signs at a retail establishment, or failure to provide other notification in violation of 22a-66a of the Connecticut General Statutes. | $75 | $90 |
Failure to register or renew a registration of a pesticide application business in violation of section 22a-66c(a) of the Connecticut General Statutes. | Not a minor deviation. | $1000 |
Failure of a registered pesticide business to notify the commissioner of changes to the registration within 30 day of the change in violation of section 22a-66c(b) of the Connecticut General Statutes. | $200 | $500 |
Failure to maintain or retain for the required period a pesticide application business record, or failure to include all required items in a pesticide application business record in violation of 22a-66g of the Connecticut General Statutes. | $300 plus $100 for each additional violation | $1000 plus $100 for each additional violation |
Introducing a chemical into the waters of the state to control aquatic organisms without a permit in violation of section 22a-66z of the Connecticut General Statutes. | $500 | $1500 |
Failure to comply with a requirement of a permit to apply chemicals to the waters of the state issued under 22a-66z of the Connecticut General Statutes. | $500 | $1000 |
Failure of a certified supervisor to provide written instructions to a certified operator in violation of section 22a-66-5(g)(2) of the Regulations of Connecticut State Agencies. | $250 plus $100 for each additional application | $750 plus $100 for each additional application |
Failure to obtain operator certification for use of pesticides in other than a supervisory capacity in violation of section 22a-66-5(h) of the Regulations of Connecticut State Agencies. | $500 | $1000 |
Failure of a pesticide application business to employ a certified supervisory applicator in violation of section 22a-66f of the Connecticut General Statutes. | $500 | $1000 |
Application of pesticides or fertilizers by aircraft without a landowner's permit; or application of pesticides or fertilizers by aircraft without an aircraft applicator's certificate in violation of section 22a-54(e)(1) of the Connecticut General Statutes. | $500 | $1500 |
Failure to comply with a requirement of section 22a-66-7 of the Regulations of Connecticut State Agencies in violation of a permit or license to apply pesticides or fertilizer by aircraft. | $500 | $1000 |
Failure to have check valves or other anti-siphon devices on filler hoses used to draw water for mixing pesticides or failure to cover filler hoses while spraying pesticides in violation of section 22a-66-3 of the Regulations of Connecticut State Agencies | $300 | $1000 |
[DAGGER] Minor deviation means minimal noncompliance with a legal requirement in that the respondent deviated somewhat from the requirement, but all or most of the important aspects of the requirement were met, or were met after minimal delay.
[DAGGER][DAGGER] Significant deviation means noncompliance with a legal requirement that is not a minor deviation.
Table 4A Actual or Potential for Harm for Radioactive Materials Security Violations | |
Sub-factor: Theft, Diversion, or Sabotage of Radioactive Materials | |
Category of Harm | Violations |
Very High | 1. The theft, diversion, or sabotage of a Category 1 quantity of radioactive material results from the failure to establish or implement one or more legal requirements. |
High | 1. The theft, diversion, or sabotage of a Category 2 quantity of radioactive material results from the failure to establish or implement one or more increased control legal requirements. |
Moderate | 1. A licensee fails to immediately respond (e.g., without undue delay in accordance with the licensee's prearranged plan) to an attempted theft, sabotage, or diversion of a Category 1 or Category 2 quantity of radioactive material, including a failure to request assistance from the local law enforcement agency, but the failure does not result in actual theft, sabotage, or diversion of radioactive material. |
Sub-factor: Radioactive Materials Security Program Violations | |
Category of Harm | Violations |
Moderate | 1. A licensee fails to establish or implement one or more increased control legal requirements. |
Sub-factor: Information Security Violations | |
Very High | 1. A person who does not have authorization gains access to information requiring protection that may be useful to an adversary about technology or physical security plan of a facility, and both of the following are met: - Access to the information was not limited by other controls; and, - The number of days the information was not controlled properly in accordance with the respective handling and storage legal requirements is greater than or equal to fourteen (14) days from the date of infraction to discovery of the non-compliance by either the licensee or the department. |
High | 1. A person who does not have authorization gains access to information requiring protection whose disclosure, taken by itself, would not aid an adversary in gaining information about a technology or physical security plan of a facility, and both of the following are met: - Access to the information was not limited by other controls; and, - The number of days the information was not controlled properly in accordance with the respective handling and storage legal requirements is greater than or equal to fourteen (14) days from the date of infraction to discovery of the non-compliance by either the licensee or the department. |
Moderate | 1. A person who does not have authorization gains access to information requiring protection but either: - Access to the information was limited by other controls: or, - The number of days the information was not controlled properly in accordance with the respective handling and storage legal requirements is less than fourteen (14) days from the date of infraction to discovery of the non-compliance by either the licensee or the department. 2. Instances when information requiring protection has been secured, protected, or marked improperly but there is no evidence that anyone has accessed the information while it was improperly secured, protected or marked and either of the following conditions is met: - The number of days the information was not controlled properly in accordance with the respective handling and storage legal requirements is greater than or equal to fourteen (14) days from the date of infraction to discovery of the non-compliance by either the licensee or the department; or, - Access to the information was not limited by other controls |
Table 4B Actual or Potential for Harm for Other Violations Related to Sources of Ionizing Radiation | |
Sub-factor: Operations | |
Category of Harm | Violations |
Very High | 1. The loss of control over licensed or regulated activities, including chemical processes that are integral to the licensed or regulated activity, results in serious physical injury or loss of life. 2. A system designed to prevent or mitigate a safety event is inoperable when actually required to perform its design function, and this results in serious physical injury or loss of life. 3. Failure to use a properly prepared medical written directive as required or failure to develop, implement, or maintain procedures for medical administrations requiring a written directive as required results in serious physical injury or loss of life. 4. Failure to have or to follow required written operating and emergency procedures results in a serious physical injury or loss of life. |
High | 1. The loss of control over licensed or regulated activities, including chemical processes that are integral to the licensed or regulated activity, results in the substantial potential for a serious physical injury or loss of life, whether or not radioactive material is released. 2. A system designed to prevent or mitigate a safety event is inoperable when actually required to perform its design function. 3. A programmatic failure to implement medical written directives or procedures for administrations requiring a written directive, such as a failure of the licensee's procedures to address one or more of the essential elements, or a failure to train personnel in those procedures, results in a medical event. 4. Failure to have or to follow required written operating procedures results in a substantial potential for a serious physical injury or death. |
Moderate | 1. A system designed to prevent or mitigate a safety event has one of the following characteristics: (a) It is unable to perform its intended function under certain conditions (e.g., a safety system is not operable unless the required backup power is available); or, (b) It is outside design specifications to the extent that a detailed evaluation would be required to determine its operability. 2. Occurrence of a programmatic failure to implement written directives or procedures for administrations requiring a written directive. 3. A licensee fails to secure a portable gauge as required by regulation.1 4. A failure to implement the legal requirements for radiation safety during radiographic operations. 5. An unqualified person conducts licensed activities. 6. Licensed radioactive material is used on humans where such use is not authorized. 7. A licensee authorizes the release from its control of an individual who does not meet the release criteria for individuals containing unsealed byproduct material or implants containing byproduct material. 8. An individual without supervision operates an irradiator when the individual has not been trained as required. 9. Occurrence of a programmatic failure to have and follow required written operating procedures. 10. Occurrence of a programmatic failure to perform required irradiator inspection and maintenance checks. 11. A licensee fails to seek required approval before the implementation of a change in licensed activities that has radiological or programmatic significance. 12. A licensee fails to meet decommissioning legal requirements. |
Sub-factor: Health Physics2 | |
Category of Harm | Violations |
Very High | 1. An adult radiation worker receives a radiation exposure during any year in excess of twenty-five rem (25 rem) or twenty-five hundredths of a sievert (0.25 Sv)) total effective dose equivalent; seventy-five rem (75 rem) or seventy-five hundredths of a sievert (0.75 Sv) to the lens of the eye; or two hundred fifty rem (250 rem) or two and five tenths sieverts (2.5 Sv) to the skin of the whole body, or to the feet, ankles, hands, or forearms, or to any other organ or tissue. 2. A declared pregnant woman receives a radiation exposure over the gestation period of the embryo/fetus of two and five tenths rem (2.5 rem) or twenty-five thousandths of a sievert (0.025 Sv) total effective dose equivalent. 3. A minor radiation worker (i.e., an individual less than 18 years of age) receives a radiation exposure during any year in excess of two and five tenths rem (2.5 rem) or twenty-five thousandths of a sievert (0.025 Sv) total effective dose equivalent; seven and five tenths rem (7.5 rem) or seventy-five thousandths of a sievert (0.075 Sv) to the lens of the eye; or twenty five rem (25 rem) or twenty-five hundredths of a sievert (0.25 Sv) to the skin of the whole body, or to the feet, ankles, hands or forearms, or to any other organ or tissue. 4. A member of the public receives an annual exposure in excess of one rem (1 rem) or one hundredth of a sievert (0.01 Sv) total effective dose equivalent. 5. A release of radioactive material occurs to an unrestricted area in annual average concentrations in excess of fifty (50) times the limits for members of the public. 6. Disposal of licensed radioactive material into sanitary sewerage occurs in quantities or concentrations in excess of ten (10) times the release limits. |
High | 1. An adult radiation worker receives a radiation exposure during any year in excess of ten rem (10 rem) or one tenth of a sievert (0.1 Sv) total effective dose equivalent; thirty rem (30 rem) or three tenths of a sievert (0.3 Sv) to the lens of the eye; or one hundred rem (100 rem) or one sievert (1.0 Sv) to the skin of the whole body, or to the feet, ankles, hands, or forearms, or to any other organ or tissue. 2. A declared pregnant woman receives a radiation exposure over the gestation period of the embryo/fetus in excess of one rem (1.0 rem) or one hundredth of a sievert (0.01 Sv) total effective dose equivalent. 3. A minor radiation worker receives a radiation exposure during any year in excess of one rem (1.0 rem) or one hundredth of a sievert (0.01 Sv) total effective dose equivalent; three rem (3.0 rem) or three hundredths of a sievert (0.03 Sv) to the lens of the eye; or ten rem (10 rem) or one tenth of a sievert (0.1 Sv) to the skin of the whole body, or to the feet, ankles, hands, or forearms, or to any other organ or tissue. 4. A member of the public receives an annual exposure in excess of five tenths of a rem (0.5 rem) or five millisieverts (5 mSv) total effective dose equivalent. 5. Release of radioactive material occurs to an unrestricted area in annual average concentrations in excess of ten (10) times the regulatory limits except when the commissioner has approved operation up to five tenths of a rem (0.5 rem) or five millisieverts (5 mSv) per year. 6. Disposal of licensed radioactive material into sanitary sewerage occurs in quantities or concentrations in excess of five (5) times the release limits. |
Moderate | 1. An adult radiation worker receives a radiation exposure during any year in excess of five rem (5 rem) or five one hundredths of a sievert (0.05 Sv) total effective dose equivalent; fifteen rem (15 rem) or fifteen one hundredths of a sievert (0.15 Sv) to the lens of the eye; or fifty rem (50 rem) or five one hundredths of a sievert (0.5 Sv) to the skin of the whole body or to the feet, ankles, hands, or forearms, or to any other organ or tissue. 2. A declared pregnant woman receives a radiation exposure over the gestation period of the embryo/fetus in excess of five tenths of a rem (0.5 rem) or five millisieverts (5 mSv) total effective dose equivalent.3 3. A minor radiation worker receives a radiation exposure during any year in excess of five tenths of a rem (0.5 rem) of five millisieverts (5 mSv) total effective dose equivalent; one and five tenths of a rem (1.5 rem) or fifteen one thousandths of a sievert (0.015 Sv) to the lens of the eye; or five rem (5 rem) or five one hundredths of sievert (0.05 Sv) to the skin of the whole body, or to the feet, ankles, hands, or forearms, or to any other organ or tissue. 4. A member of the public receives an annual exposure in excess of one tenth of a rem (0.1 rem) or one millisievert (1 mSv) total effective dose equivalent except when operation up to five tenths of a rem (0.5 rem) or five millisieverts (5 mSv) per year is authorized by regulation. 5. A release of radioactive material occurs to an unrestricted area in annual average concentrations in excess of two (2) times the effluent concentration regulatory limits except when the commissioner has approved operation up to five tenths of a rem (0.5 rem) or five millisieverts (5 mSv) per year. 6. A substantial potential exists for exposures or releases in excess of the applicable regulatory limits, whether or not an exposure or release occurs. 7. Disposal of radioactive material occurs in quantities or concentrations in excess of the regulatory limits. 8. A licensee releases, for unrestricted use, contaminated or radioactive material or equipment that poses a substantial potential for exposure of the public exceeding the annual dose limits for members of the public. 9. A technically unqualified person conducts licensee activities. 10. A violation involves failure to secure, or maintain surveillance over, licensed radioactive material in any of the following situations: (a) involves licensed radioactive material in any aggregate quantity greater than one thousand (1,000) times the quantity of licensed radioactive material requiring labeling; (b) involves licensed radioactive material in any aggregate quantity greater than ten (10) times the quantity of licensed radioactive material requiring labeling, where the failure is accompanied by the absence of a functional program to detect and deter security violations that includes training, staff awareness, detection (including auditing), and corrective action (including disciplinary action); or (c) results in a substantial potential for exposures or releases in excess of the applicable regulatory limits. |
Sub-factor: Transportation of Radioactive Materials4 | |
Category of Harm | Violations |
Very High | 1. Failure to meet transportation legal requirements results in loss of control of radioactive material with a breach in package integrity such that the radioactive material causes a radiation exposure to a member of the public in excess of the regulatory limits. 2. Surface contamination exceeds fifty (50) times regulatory limits. 3. External radiation levels exceed ten (10) times the regulatory limits. |
High | 1. Failure to meet transportation legal requirements results in loss of control of radioactive material with a breach in package integrity such that there is a substantial potential for a member of the public to receive a radiation exposure in excess of the regulatory limits. 2. Surface contamination exceeds ten (10) times, but not more than fifty (50) times, regulatory limits. 3. External radiation levels exceed five (5) times, but not more than ten (10) times, regulatory limits. |
Moderate | 1. Surface contamination exceeds five (5) times, but not more than ten (10) times, regulatory limits. 2. External radiation exceeds one (1) times, but not more than five (5) times, regulatory limits. 3. A violation involves labeling, placarding, shipping paper, packaging, loading, or other legal requirements that could reasonably result in any of the following: (a) a failure to identify the type, quantity, or form of radioactive material; (b) a failure of the carrier or recipient to exercise adequate controls; or, (c) a substantial potential for either personnel exposure or contamination above regulatory limits or improper transfer of radioactive material. |
Sub-factor: Impacts the Commissioner's Ability to Perform a Regulatory Function | |
Category of Harm | Violations |
Very High | 1. A person provides or maintains information with careless disregard of its completeness or accuracy. If this information had been completely and accurately provided or maintained, it would likely have caused the commissioner to issue an order requiring suspension or cessation of the licensed activity or other immediate action to protect the public health and safety or the environment. 2. A withholding of information or a failure to make a required report occurs, with careless disregard of the underlying legal requirement. If the information had been provided or the report been made, it would likely have caused the commissioner to issue an order requiring suspension or cessation of the licensed activity or other immediate action to protect the public health and safety or the environment. |
High | 1. A person provides or maintains information with careless disregard of its completeness or accuracy. If this information had been completely and accurately provided or maintained, it would likely have caused the commissioner to reconsider a regulatory position or undertake a further inquiry. 2. A withholding of information or a failure to make a required report occurs with careless disregard of the underlying legal requirement. If the information had been provided or the report been made, it would likely have resulted in reconsideration of a regulatory position or further inquiry. 3. Inaccurate or incomplete information is provided or maintained, with careless disregard of the underlying legal requirement. If this information had been completely and accurately provided or maintained, it would likely have caused the commissioner to issue an order requiring suspension or cessation of licensed activity or other immediate action to protect the public health and safety or the environment. |
Moderate | 1. Inaccurate or incomplete information is provided or maintained, with careless disregard of the underlying legal requirement. If this information had been completely and accurately provided or maintained, it would likely have caused the commissioner to reconsider a regulatory position or undertake a further inquiry. 2. A withholding of information or a failure to make a required report occurs, with careless disregard of the underlying legal requirement, including but not limited to, a failure to make a twenty-four (24) hour report or notification when required. If this information had been provided or the report been made, it would likely have caused the commissioner to reconsider a regulatory position or undertake further inquiry. 3. A programmatic failure to comply with reporting legal requirements for transactions involving nationally tracked sources occurs, where a "nationally tracked source" has the same meaning as provided in 10 CFR 20.1003. |
Low | 1. Failure to register or renew a registration for a source of radiation requiring registration pursuant to section 22a-148(b) or 22a-150 of the Connecticut General Statutes. 2. A licensee fails to make an immediate notification when required. |
Table 4C Penalty Matrix for Radioactive Material Violations | ||
Actual or Potential for Harm | Gravity-Based Penalty for Radioactive Materials Security Violations | Gravity-Based Penalty for Other Violations related to Sources of Ionizing Radiation |
Very High | $25,000 | $16,000 |
High | $20,000 | $12,000 |
Moderate | $12,000 | $8,000 |
Low | Not Applicable | $1,000 |
1 Civil penalty does not apply if a licensee fails to secure a portable gauge, whenever the gauge is not under the control and constant surveillance of the licensee, if one level of physical control existed and there was no actual loss of material, and that failure is not repetitive.
2 Personnel overexposures and associated violations incurred during a lifesaving or other emergency response effort shall be assessed on a case-by-case basis.
3 Except when doses are in accordance with the provisions of 10 CFR 20.1208(d)) which has been incorporated by reference in RCSA 22a-153-20.
4 Some transportation legal requirements apply to more than one licensee involved in the same activity (e.g., a shipper and a carrier). When such a violation occurs, the commissioner shall direct enforcement action against the responsible licensee or licensees.
For each distinct violation, gravity-based penalty adjustments shall be determined as follows:
A gravity-based penalty component may be adjusted downward by as much as 25% depending upon whether or not, in the sole judgment of the commissioner, the respondent had taken all steps or followed all procedures necessary or appropriate to comply or to correct the violation prior to the department's discovery of such violation. However, the commissioner need not adjust such gravity-based penalty in accordance with this provision if the respondent failed to take reasonable and prompt measures to fully comply upon respondent's discovery of such violation.
A gravity-based penalty component may be adjusted upward by as much as 25% if the respondent has a history of a prior violation. In determining the amount of upward penalty adjustment, the commissioner shall consider all known violations, any prior violations by the respondent of statutes, regulations, orders, permits or licenses administered, adopted or issued by the commissioner, and any judgments or orders entered by the federal government or any state or municipality against the respondent.
The gravity-based penalty component, plus any gravity-based penalty adjustments under subdivisions (1) and (2) of this section, may be adjusted based on the economic and financial conditions of the violator. The commissioner may deem a respondent to be unable to pay a gravity-based penalty if payment of such penalty would interfere with the respondent's financial ability to come into compliance or force the respondent out of business. It shall be the respondent's sole burden to assert any claim of inability to pay and to submit all documents that the commissioner reasonably believes are necessary to evaluate such claim. Any penalty adjustment for a demonstrated inability to pay may be limited if the:
Further, any of the following does not necessarily constitute an inability to pay: Potential reduction of manager or officer salaries or employee bonuses; potential reduction of shareholder dividends; limited cash flow, but respondent is able to raise money through borrowing, selling assets, or other steps without incurring extraordinary burdens.
Conn. Agencies Regs. § 22a-6b-8