TITLE 32: ENERGY CHAPTER II: DEPARTMENT OF NUCLEAR SAFETY SUBCHAPTER b: RADIATION PROTECTION PART 400 NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS; INSPECTIONS Section 400.10 Purpose and Scope 400.110 Posting of Notices to Workers 400.120 Instructions to Workers 400.130 Notifications and Reports to Individuals 400.140 Presence of Representatives of Licensees or Registrants and Workers During Inspection 400.150 Consultation with Workers During Inspections 400.160 Requests by Workers for Inspections 400.170 Inspections Not Warranted; Informal Review AUTHORITY: Implementing and authorized by Sections 8 - 8.13 of the Radiation Protection Act (Ill. Rev. Stat. 1987, ch. 111«, pars. 218 - 218.13), and Section 5 of "AN ACT in relation to personnel monitoring" (Ill. Rev. Stat. 1987, ch. 111«, par. 230.15). SOURCE: Adopted at 10 Ill. Reg. 17496, effective September 25, 1986; amended at 11 Ill. Reg. 15629, effective September 11, 1987; amended at 13 Ill. Reg. effective August 11, 1989. Section 400.10 Purpose and Scope a) This Part establishes requirements for notices, instructions, and reports by licensees or registrants to individuals engaged in activities under a license or registration and options available to such individuals in connection with Department of Nuclear Safety (Department) inspections of licensees or registrants to ascertain compliance with the provisions of the Radiation Protection Act (Ill. Rev. Stat. 1987, ch. 111«, pars. 211 et seq.) (the Act) and regulations, orders, and licenses issued thereunder regarding radiological working conditions. b) The regulations in this Part apply to: 1) All persons who receive, possess, use, own, or transfer sources of radiation registered with or licensed by the Department pursuant to 32 Ill. Adm. Code 320 or 330. 2) Inspection and testing of radiation machines and associated operating procedures by Departmental inspectors or by qualified nondepartment inspectors whose names are included in the department's record of individuals approved as qualified nondepartment inspectors of radiation machines pursuant to 32 Ill. Adm. Code 410. 3) Inspection of licensed activities by Departmental inspectors. (Source: Amended at 13 Ill. Reg. 13581, effective August 11, 1989) Section 400.110 Posting of Notices to Workers a) Each licensee or registrant shall post current copies of the following documents: 1) the regulations in this Part and in 32 Ill. Adm. Code 340; 2) the certificate of registration, the license, the license conditions, and any documents incorporated into the license by reference and amendments thereto; 3) the operating procedures applicable to activities under the license or registration; and 4) any notice of violation involving radiological working conditions, proposed imposition of civil penalty, or order issued pursuant to 32 Ill. Adm. Code 310, and any response from the licensee or registrant. b) If the posting of a document specified in subsections (a)(1), (2), or (3) is not practicable, the licensee or registrant may post a notice which describes the documents and states where they may be examined. c) Department Form KLA.001 "Notice to Employees" shall be posted by each licensee or registrant. d) Department documents posted pursuant to subsection (a)(4) shall be posted within five (5) working days after receipt of the documents from the Department; the licensee's or registrant's response, if any, shall be posted within five (5) working days after dispatch from the licensee or registrant. Such documents shall remain posted for a minimum of five (5) working days or until action correcting the violation has been completed, whichever is later. e) Documents, notices, or forms posted pursuant to this Section shall appear in a sufficient number of places to permit individuals engaged in work under the license or registration to observe them on the way to or from any particular work location to which the document applies, shall be conspicuous, and shall be replaced if defaced or altered. (Source: Amended at 13 Ill. Reg. 13581, effective August 11, 1989) Section 400.120 Instructions to Workers a) All individuals working in, or the performance of whose duties requires access to any portion of a restricted area: 1) shall be kept informed of the storage, transfer, or use of sources of radiation in such portions of the restricted area; 2) shall be instructed in the health protection problems associated with exposure to radiation or radioactive material, in the risks of radiation exposure to the embryo and fetus, in precautions or procedures to minimize exposure, and in the purposes and functions of protective devices employed; 3) shall be instructed in, and instructed to observe to the extent within the worker's control, the conditions of the license, the provisions of this Part and 32 Ill. Adm. Code 310, 320, 330, 331, 340, 341, 350, 351, 401 and 601 for the protection of personnel from exposures to radiation or radioactive material occurring in such areas; 4) shall be instructed to report promptly to the licensee or registrant any condition which may constitute, lead to, or cause a violation of the Act, the conditions of the license, the provisions of this Part or 32 Ill. Adm. Code 310, 320, 330, 331, 340, 341, 350, 351, 360, 370, 380, 390, 401, 410 and 601 or unnecessary exposure to radiation or radioactive material; 5) shall be instructed in the appropriate response to warnings made in the event of any unusual occurrence or malfunction that may involve exposure to radiation or radioactive material; and 6) shall be advised as to the radiation exposure reports which workers shall be furnished pursuant to Section 400.130. b) These instructions shall be of sufficient detail to avoid radiolo- gical health protection problems and shall be given directly to each worker either in writing or in an orientation course, with the workers signing a statement that they have received the above information and understand it. (Source: Amended at 13 Ill. Reg. 13581, effective August 11, 1989) Section 400.130 Notifications and Reports to Individuals a) Radiation exposure data for an individual and the results of any measurements, analyses, and calculations of radioactive material deposited or retained in the body of an individual shall be reported to the individual as specified in this Section. The information reported shall include data and results obtained pursuant to this Part, orders, or license conditions, as shown in records maintained by the licensee or registrant pursuant to 32 Ill. Adm. Code 340.4010(a) and (c). Each notification and report shall: 1) be in writing; 2) include the name of the licensee or registrant, the name of the individual, and the individual's social security number; 3) include the individual's exposure information; and 4) contain the following statement: "This report is furnished to you under the provisions of the Department of Nuclear Safety Regulations for Radiation Protection (32 Ill. Adm. Code 400). You should preserve this report for further reference." b) At the request of a worker, the licensee or registrant shall advise each worker annually of the worker's exposure to radiation or radioactive material as shown in records maintained by the licensee or registrant pursuant to 32 Ill. Adm. Code 340.4010(a) and (c). c) At the request of a worker, each licensee or registrant shall furnish to the worker a report of the worker's exposure to radiation or radioactive material upon termination of employment. Such report shall be furnished within 30 days from the time the request is made, or within 30 days of termination of employment, or within 30 days after exposure of the individual has been determined by the licensee or registrant, whichever is later. The report shall cover each calendar quarter in which the worker's activities involved exposure to sources of radiation and shall include the dates and locations of work under the license or registration in which the worker participated. d) When a licensee or registrant is required pursuant to 32 Ill. Adm. Code 340.4050 to report to the Department any exposure of an individual to radiation or radioactive material, the licensee or the registrant shall also provide the individual a report on the exposure data included therein. Such reports shall be transmitted at a time not later than the transmittal to the Department. e) At the request of a worker who is terminating employment in a given calendar quarter with the licensee or registrant in work involving radiation dose, or of a worker who, while employed by another person, is terminating assignment to work involving radiation dose in the licensee's or registrant's facility in that calendar quarter, each licensee or registrant shall provide to each such worker, or to the worker's designee, at termination, a written report regarding the radiation dose received by that worker from operations of the licensee or registrant during that specifically identified calendar quarter or fraction thereof, or provide a written estimate of that dose if the finally determined personnel monitoring results are not available at that time. Estimated doses shall be clearly indicated as such. If an estimate of dose is provided, the actual radiation exposure records shall be provided to the worker when these records become available to the licensee or registrant. (Source: Amended at 13 Ill. Reg. 13581, effective August 11, 1989) Section 400.140 Presence of Representatives of Licensees or Registrants and Workers During Inspection a) Pursuant to Section 400.160 and 32 Ill. Adm. Code 310.50, each licensee or registrant shall afford the Department at all reasonable times the opportunity to inspect such materials, machines, activities, facilities, premises, and records as the Department determines are necessary to establish compliance with the requirements of the license and the provisions of 32 Ill. Adm. Code 310, 320, 330, 331, 340, 341, 350, 351, 360, 370, 380, 390, 400, 401, 410, and 601. Reasonable times shall be any time the facility is operational. The inspection may be announced or unannounced. Materials licensees shall be inspected at least as frequently as they would have been inspected by the U.S. Nuclear Regulatory Commission (U.S. NRC) if the licensees were regulated by the U.S. NRC, but no more frequently than once in a calendar quarter. Radiation machines shall be inspected in accordance with the provisions of Sections 8.11 and 8.13 of the Act. Inspection of licensees and radiation machines may be conducted more frequently than once per calendar quarter if, in the past three years, there has been a condition at the facility which required emergency response; or if the Department has received a complaint, the investigation of which will result in a more frequent inspection; or if the Department has documented a violation of the Act or the above referenced rules of the Department at the facility and additional inspections are necessary to establish that the violation has been abated. b) During an inspection, Departmental and qualified nondepartment inspectors may consult privately with workers as specified in Section 400.150. The licensee or registrant may accompany Departmental and qualified nondepartment inspectors during other phases of an inspection. c) If, at the time of inspection, an individual has been authorized by the workers to represent them during inspections, the licensee or registrant shall notify the Departmental or qualified nondepartment inspectors of such authorization and shall give the workers' representative an opportunity to accompany the inspectors during the inspection of physical working conditions. d) Each workers' representative shall be routinely engaged in work under control of the licensee or registrant and shall have received instructions as specified in Section 400.120. e) Different representatives of licensees or registrants and workers may accompany the Departmental or qualified nondepartment inspectors during different phases of an inspection if there is no resulting interference with the conduct of the inspection. However, only one workers' representative at a time may accompany the inspectors. f) With the approval of the licensee or registrant and the workers' representative, an individual who is not routinely engaged in work under control of the licensee or registrant, for example, a consultant to the licensee or registrant or to the workers' representative, shall be afforded the opportunity to accompany Departmental and qualified nondepartment inspectors during the inspection of physical working conditions. g) Notwithstanding the other provisions of this Section, Departmental inspectors and qualified nondepartment inspectors are authorized to refuse to permit accompaniment by any individual who deliberately interferes with a fair and orderly inspection. With regard to areas containing information classified by an agency of the U.S. Government in the interest of national security, an individual who accompanies an inspector may have access to such information only if authorized to do so. With regard to any area containing proprietary information, i.e., trade secrets and commercial or financial information where such information is privileged or confidential or where disclosure of such information may cause competitive harm, the workers' representative for that area shall be an individual previously authorized by the licensee or registrant to enter that area. (Source: Amended at 13 Ill. Reg. 13581, effective August 11, 1989) Section 400.150 Consultation with Workers During Inspections a) Departmental and qualified nondepartment inspectors may consult privately with workers concerning matters of occupational radiation protection and other matters related to the activities of the licensee or registrant which bear upon compliance with the conditions of the license or the provisions of this Part or 32 Ill. Adm. Code 310, 320, 330, 331, 340, 341, 350, 351, 360, 370, 380, 390, 401, 410 or 601. b) During the course of an inspection, or at any other time, any worker may bring privately to the attention of the Department, its inspectors or qualified nondepartment inspectors, either orally or in writing, any past or present condition which the worker has reason to believe may have contributed to or caused any violation of the Act, the provisions of this Part or 32 Ill. Adm. Code 310, 320, 330, 331, 340, 341, 350, 351, 360, 370, 380, 390, 401, 410, and 601 or license condition, or any unnecessary exposure of an individual to sources of radiation under the licensee's or registrant's control. Any such notice in writing shall comply with the requirements of Section 400.160(a). If a worker seeks an opportunity to speak to an inspector during an inspection, the licensee or registrant shall permit the worker such opportunity. AGENCY NOTE: The provisions of subsection (b) shall not be interpreted as authorization to disregard instructions pursuant to Section 400.120. (Source: Amended at 13 Ill. Reg. 13581, effective August 11, 1989) Section 400.160 Requests by Workers for Inspections a) Any worker or representative of workers believing that a violation of the Act, the provisions of this Part or 32 Ill. Adm. Code 310, 320, 330, 331, 340, 341, 350, 351, 360, 370, 380, 390, 401, 410 and 601, or license conditions exists or has occurred, or that an unnecessary exposure to radiation or radioactive material has occurred in work under a license or registration with regard to radiological working conditions in which the worker is engaged may request an inspection by giving notice of the alleged violation to the Department. Any such notice shall be in writing, shall set forth the circumstances describing the perceived violation or condition, and shall be signed by the worker or representative of the workers. A copy shall be provided to the licensee or registrant by the Department no later than at the time of inspection except that, upon the request of the worker giving such notice, his name and the name of individuals referred to therein shall not appear in such copy or on any record published, released, or made available by the Department, except for good cause shown, such as when necessary in the course of enforcement actions. b) If conditions stated on the face of the complaint indicate there is or has been a violation or the possibility of a violation, the Department shall conduct an inspection as soon as practicable to determine if such alleged violation exists or has occurred. Inspections made pursuant to this Section need not be limited to matters referred to in the complaint. c) No licensee or registrant shall discharge or in any manner discriminate against any worker because such worker has filed any complaint or instituted or caused to be instituted any proceedings under this Part or has testified or is about to testify in any such proceeding or because of the exercise by such worker on behalf of himself or others of any option afforded by this Part. Furthermore, each licensee and registrant shall instruct his contractors and subcontractors not to discharge or in any manner discriminate against any worker because such worker has filed any complaint or instituted or caused to be instituted any proceedings under this Part or has testified or is about to testify in any such proceeding or because of the exercise by such worker on behalf of himself or others any option afforded by this Part. Any worker who believes that he has been so discharged or discriminated against may file a complaint with the Department alleging a violation of this subsection. (Source: Amended at 13 Ill. Reg. 13581, effective August 11, 1989) Section 400.170 Inspections Not Warranted; Informal Review a) Review of Determination That No Inspection is Warranted 1) If the Office of Radiation Safety determines, pursuant to Section 400.160, that an inspection is not warranted, the Office of Radiation Safety shall notify the complainant in writing within 60 days of receipt of the complaint. The complainant may obtain review of such determination by submitting a written statement of position with the Department. The Department will provide the licensee or registrant with a copy of such statement by certified mail, excluding, at the request of the complainant, the name of the complainant. The licensee or registrant may submit an opposing written statement of position with the Department. The Department will provide the complainant with a copy of such statement by certified mail. 2) Upon the request of the complainant or the licensee or registrant, the Department shall hold an informal conference in which the complainant and the licensee or registrant may orally present their views. If such a conference is requested by the complainant, the presence of the licensee or registrant at the conference shall be subject to the concurrence of the complainant. If the conference is requested by the licensee or registrant, the presence or disclosure of the identity of the complainant will be made only pursuant to written authorization from the complainant. After considering all written and oral views presented, the Department shall affirm, modify, or reverse the determination of the Office of Radiation Safety and furnish the complainant and the licensee or registrant a written notification of the decision and the reason therefor. b) If the Department determines that an inspection is not warranted because the requirements of Section 400.160(a) have not been met, the complainant shall be notified in writing, within 30 days of receipt of the complaint, of such determination. Such determination shall be without prejudice to the filing of a new complaint meeting the requirements of Section 400.160(a). (Source: Amended at 13 Ill. Reg. 13581, effective August 11, 1989)