Read tthe notice of violation

Administrative monetary penalty (AMP)
Sanction administrative pécuniaire (SAP)
Notice of Violation (Corporation)
Procès-verbal (Société)
Date of notice / Date de l’avis: September 29, 2016
AMP number / Numéro de SAP: 2016-AMP-06
Violation committed by / Violation commise par: Amount of penalty / Montant de la sanction:
Glencore Canada Corporation
$ 1000
Violation
Failure to comply with a condition of a licence in violation of Paragraph 48(c) of the Nuclear Safety and
Control Act.
Relevant facts / Faits pertinents
I, Colin Moses, Director General of the Directorate of Nuclear Substance Regulation and Designated
Officer authorized by the Canadian Nuclear Safety Commission (CNSC) to issue notices of violations,
believe on reasonable grounds that Glencore Canada Corporation committed the above violation. The
facts relevant to the violation and the penalty calculation are:
Glencore Canada Corporation (Glencore) holds a number of licences authorizing the possession and use
of fixed gauges at mine sites throughout Canada. On or about July 19, 2016, (Glencore) staff at the
Fraser Mine in Onaping, Ontario, were assigned to complete work in a vessel used for transport of ore
and rock within the mine. This vessel has two fixed nuclear gauges used for measuring the quantity of
ore and rock in the vessel. As the scheduled work required entry into the vessel, Glencore’s confined
space entry permit system was initiated. The Glencore licence in use at this site (CNSC licence number
15066-9-19.2) includes the condition authorizing entry into vessels subject to restrictions and the use of
an entry process acceptable to the CNSC.
On July 19, 2016, prior to the vessel entry, Glencore staff prepared a confined space entry permit, but
the permit form used was not the version previously reviewed and accepted by the CNSC – the
requirement to close and lock out the nuclear gauges was not included on the form. Once pre-entry
checks were complete, a mechanic entered the vessel to begin assigned tasks.
After the initial entry at 12:37pm, the mechanic had a conversation with the confined space attendant
regarding air quality. During this conversation, the topic of radiation was raised which reminded the
mechanic of the nuclear gauges attached to the vessel. The mechanic realised the gauges were not
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Administrative monetary penalty (AMP)
Sanction administrative pécuniaire (SAP)
closed or locked out as required by entry process and exited the vessel. The mechanic spent a total of
five (5) minutes in the vessel, as recorded on the confined space entry log.
Glencore staff present identified the nuclear gauges on the vessel, however, they were not familiar with
the correct procedure for closing and locking out the gauges. The shift instrument technician was
contacted for guidance. As the technician was not able to attend the site of the vessel entry, verbal
instructions for closing and locking out the gauge were given to the staff at the vessel. Glencore
acknowledges that the importance of having authorized users lock out the gauges was not adequately
identified to the staff at the vessel.
After this conversation the mechanic closed the gauges and contacted his supervisor. The previous five
minute entry (with the gauges open) was not raised with the supervisor at this time. Understanding the
gauges were in a safe position the mechanic re-entered the vessel at 1:16pm, exiting at 2:22pm – a total
of 66 minutes.
Glencore staff calculated a dose to the worker in the vessel of 5µSv. CNSC RP staff have reviewed and
accepted the 5µSv estimate.
Once the work was complete, the workers returned to the surface at the mine and debriefed the
supervisor. It was at this point that the vessel entry with the gauges opened was communicated. The
Alternate RSO was subsequently notified of the incident the next day (July 20) and he contacted the
CNSC Duty Officer at 09:30 the same day.
Glencore’s investigation determined that the confined space permit used for this job did not contain the
requirement to close and lock out the gauges before entering the vessel. CNSC staff confirmed that the
procedure reviewed, accepted and referenced on the licence did contain the requirement to close and
lock out the gauges. Further investigation by Glencore identified that the confined space plan document
was amended in June 2016 as part of a routine three-year review cycle.
Glencore has determined that the confined space plan document reviewed under this cycle was not the
current version of the plan, rather an older version which did not identify the requirement to close and
lock out the gauges prior to entering the vessel. Furthermore, the revised document that was put into
circulation at the licensee site in June 2016 did not follow the Glencore internal review procedure, nor
was the procedure submitted to the CNSC for review and acceptance as required by the Vessel Entry
licence condition.
The use of the incorrect procedure error directly led to the worker entering the vessel without properly
closing and locking out the gauges or completing the required radiation surveys. Had the correct
procedure been used, the worker would have noticed that the gauges were not locked out prior to
entering the vessel and the dose received would have been avoided.
Based on my review of this matter I am of the opinion that an Administrative Monetary Penalty will deter
recurrence of the above violation and promote future compliance with CNSC regulatory requirements. In
consideration of the seven factors in section 5 of the Administrative Monetary Penalties Regulations
(Canadian Nuclear Safety Commission), the amount of the penalty was determined having regard to the
following relevant facts:
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Administrative monetary penalty (AMP)
Sanction administrative pécuniaire (SAP)
1. Compliance history: Assessed score = 0
Review of CNSC records in relation to the licensee’s compliance history have no concerns identified
in the past nine years. In particular, inspections were conducted in August 2007 and June 2013 with
no items of non-compliance identified.
2. Intention or negligence: Assessed score = 1
Based on the review of the licensee’s event report, and particularly the failure of Glencore staff to
follow established document review procedures – which directly led to the failure of the gauges to be
locked out before entry into the vessel - I believe there was a small degree of demonstrable
negligence.
3. Actual or potential harm: Assessed score = 1
Based on the review of the licensee’s event report, there was a potential for harm to workers entering
the vessel. The worker identified the failure to lock out the gauges on his own. Had he continued
working to the incorrect procedure, there was a potential for a more significant radiation exposure.
4. Competitive or economic benefit: Assessed score = 0
There does not appear to be any competitive or economic benefit as a result of this violation.
5. Efforts to mitigate or reverse effects: Assessed score = 1
Based on the review of the event report submitted by the licensee on August 4, 2016, the worker left
the vessel and locked out the gauges upon recognizing the presence of nuclear gauges. However these
actions were insufficient to mitigate or reverse the effects of the occurrence. Furthermore, the lock
out of the gauges was not carried out in accordance with procedures established by the licensee.
6. Assistance to Commission: Assessed score = -2
Once the discovery was reported to the CNSC, the licensee addressed the causes of the noncompliance, cooperated with the investigation and provided all requested information to the CNSC.
7. Attention of Commission: Assessed score = -1
Glencore staff did not notify the Radiation Safety staff as soon as they became aware of the incident.
Once the Alternate was notified, the CNSC was informed immediately of the incident although this
was on the day following the event. Once the discovery was reported to the CNSC, the licensee
addressed the causes of the non-compliance, cooperated with the investigation and provided all
requested information to the CNSC.
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Administrative monetary penalty (AMP)
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Penalty calculation / Calcul de la sanction:
(See Administrative Monetary Penalties Regulations (Canadian Nuclear Safety Commission) SOR/2013-139)
(Veuillez consulter le Règlement sur les sanctions administratives pécuniaires de la Commission canadienne de
sûreté nucléaire, DORS/2013-139)
(a) Category of violation / Catégorie de violation
Category A / Catégorie A
Category B / Catégorie B
Category C / Catégorie C
(b) Penalty range / Barème de sanction
Category /
Catégorie
Minimum
Maximum
Maximum –
Minimum
A
$1 000
$12 000
$11 000
B
$1 000
$40 000
$39 000
C
$1 000
$100 000
$99 000
(c) Determining factors / Facteurs determinants
Factors / Facteurs
Scale of regulatory significance /
Échelle de l’importance sur le plan
réglementaire
Assessed score /
Pondération évaluée
1. Compliance history
Antécédents en matière de conformité
0
+1
+2
+3
+4
+5
0
2. Intention or negligence
Intention ou négligence
0
+1
+2
+3
+4
+5
1
3. Actual or potential harm
Dommages réels ou potentiels
0
+1
+2
+3
+4
+5
1
4. Competitive or economic benefit
Avantage économique ou concurrentiel
0
+1
+2
+3
+4
+5
0
5. Efforts to mitigate or reverse effects
Efforts pour atténuer ou neutraliser les effets
-2
-1
0
+1
+2
+3
1
6. Assistance to Commission
Aide apportée à la Commission
-2
-1
0
+1
+2
+3
-2
7. Attention of Commission
Violation déclarée à la Commission
-2
-1
0
+1
+2
+3
-1
Total
÷ 29
(1)
[rounded to 2 decimal points / arrondi à 2 décimales près]=
0
0.00
x 99000
[total]
=
+ $ 1000 [minimum for the category / montant minimal pour la catégorie] =
(1)
29 being the maximum value of regulatory significance / (1)29 étant la valeur maximale de l’importance sur le plan réglementaire
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0
$1000
Administrative monetary penalty (AMP)
Sanction administrative pécuniaire (SAP)
To request a review / Pour présenter une demande de révision
As a person subject to an administrative monetary
penalty, you have the right to request a review of the
amount of the penalty or the facts of the violation, or
both. Your request must be made in writing
indicating the reasons why you are requesting a
review and providing supporting information.
En tant que personne faisant l’objet d’une sanction
administrative pécuniaire, vous avez le droit de
demander une révision du montant de la pénalité ou
des faits quant à la violation, ou des deux. Vous
devez présenter votre demande par écrit, y indiquer
pourquoi vous demandez une révision et inclure toute
information à l’appui de votre demande.
If you choose to request a review, you must do so in
writing by November 1, 2016 to:
Si vous demandez une révision, vous devez le faire
par écrit avant le 1 novembre, 2016 en
communiquant avec :
Canadian Nuclear Safety Commission
c/o Marc Leblanc
Commission Secretary
P.O. Box 1046, Station B
Ottawa, Ontario K1P 5S9
Commission canadienne de sûreté nucléaire
a/s Marc Leblanc
Secrétaire de la Commission
C.P. 1046, succursale B
Ottawa (Ontario) K1P 5S9
Fax: (613) 995-5086
Telephone: (613) 995-6506
Email: [email protected]
Télécopieur : 613-995-5086
Téléphone : 613-995-6506
Courriel : [email protected]
Payment / Paiement
You may pay this administrative monetary penalty by
sending a cheque to:
Receiver General for Canada
c/o Canadian Nuclear Safety Commission
Finance Division
P.O. Box 1046, Station B
Ottawa, Ontario K1P 5S9
Cette sanction administrative pécuniaire peut être
payée par chèque libellé au nom du :
Receveur général du Canada
a/s Commission canadienne de sûreté
nucléaire
Division des finances
C.P. 1046, succursale B
Ottawa (Ontario) K1P 5S9
For other payment methods and further instructions,
please refer to the attached Notice of Payment Due.
Pour de l’information sur les autres méthodes de
paiement et d’autres instructions, veuillez consulter le
document Avis de paiement dû ci-joint.
Should you neither pay the penalty nor exercise
your right to a review, you will be considered as
having committed the violation and will be liable
to the penalty set out herein.
Si vous ne payez pas la sanction et n’exercez pas
votre droit de révision, on considérera que vous
avez commis la violation et vous serez passible de
la sanction mentionnée aux présentes.
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Administrative monetary penalty (AMP)
Sanction administrative pécuniaire (SAP)
Issued by / Délivré par
_______________________________
__________________
Colin Moses
Date
Designated Officer / Fonctionnaire désigné
Telephone / Téléphone: 613-993-7699
Email / Courriel: [email protected]
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