ML19308C199

Draft NRC Manual Chapter, Notifications & Actions for Incidents Which Involve NRC-Licensed Activities

ML19308C199
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Site:	Crane
Issue date:	06/30/1975
From:	NRC OFFICE OF INSPECTION & ENFORCEMENT (IE)
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ML19308C196	List: ML19308C195 ML19308C199
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TASK-TF, TASK-TMR NUDOCS 8001210533
Download: ML19308C199 (26)

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h U. S. NUCLEAR REGULATORY COSCIISSION NRC EiNUAL CHAPTER OXXX NOTIFICATIONS AND ACTIONS FOR INCIDENTS WHICH INVOLVE NRC-LICENSED ACTIVITIES OXXX-01 POLICY The Nuclear Regulatory Commission (NRC) will assure that proper actions are taken by responsible authorities to protect the health and safety of licensee employees and the general public, and the environment and property, from the consequences of incidents which occur as a result of NRC-licensed activities.

The NRC vill also assure that the public is kept informed of actual or potential threats to health and safety arising from such incidents.

The Licensee has prir.ary responaihility for ascurino

<sf+ cor.Jf r f nns in his operation, for safeguarding material and facilities under his control, and for taking preplanned actions to protect health and safety, the environ-ment, and property from the consequences of incidents which may occur directly as a result of his operation.

The NRC will respond to significant incidents and emergencies which involve licensees by sending its personnel to the scene; however, the arrival and presence of NRC personnel at the scene does not relieve the licensee of his responsibility. NRC personnel have no authority to direct, nor assist in the direction of, the licensee's actions or operations.

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o S The NRC will coordinate its emergency planning and incident response actions with other Federal agencies, will notify them of significant inci-dents and emergencies which involve NRC-licensed activities, and will request their assistance and support as appropriate.

OXXX-02 OBJECTIVES 021 To assure that proper actions are taken to protect livet, property, and the public health and safety under conditions of radiological and operational type emergencies.

022 To obtain early, complete, and factual information on incidents as a basis for reports to the Commission, senior regulatory management, and the Joint Committee on Atomic Energy, and where appropriate, informing the public.

023 To evaluate the circumstances relating to incidents to determine the cause or causes thereof and appropriate measures to prevent recurrence.

024 To provide a basis for the improvement of codes, guides, and standards for accident prevention and for radiation protection.

0XXX-03 DEFINITIONS 041 Incident Any significant deviation from planned or expected operatio'ns or normal course of events involving NRC-licensed activities, including:

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• radiation over-exposure of people, suspected or known loss of control of radioactive material, off-normal operation of facility systems, and threate and acts of terrorists, among others.

042 Headouarters Operations-Emergency Center (HOEC)

A facility at the East / West Towers Building, Bethesda, Maryland, operated by the Office of Inspection and Enforc'ement to-support routine inspection activities and the response to incidents which require continuing coordination between the NRC and other agencies (see Appendix OXXX, Part I).

043 Incident Resconse Action Coordination Team (IRACT)

A group of officials of the Office of Inspection and Enforcement assigned to initiate the response activities required for inci-dents.

044 Headquarters Incident Investigation Review Committee (IIRC)

A group of officials of NRC assigned to review, investigate, evaluate, and report on the actions taken by NRC in response to an incident which has particularly significant health and safety or public information aspects.

. OXXX-04 RESPONSIBILITIES AND AUTHORITIES 031 Director, Office of Inspection and Enforcement (IE)

a. Provide direction for the IRACT and the Headquarters and IE regional office actions taken in response to incidents.

b. Operate the HOEC to support normal operational activities, and response to incidents and emergencies which require coordin-ation between NRC and other agencies.

c. Develop procedures for use within NRC, for receipt and disseednation of inforr cion relating to notifications and reports of incidents.

d.. Receive and evaluate reports of incidents and where appropriate, request radiological assistance be sent to the incident scene through the Energy Research and Development Administration (ERDA) or the Interagency Radiological Assistance Plan (IRAP).

e. Inform the Commissioners, the Executive Director for Operations, other senior regulatory =anagement, and other appropriate agencies, of incidents.

f. Disseminate pertinent information about incidents to NRC licensees.

g. Advise the Commission, the Executive Director for Operations, and other regulatory management on questions connected with the operational aspects of shutting down or placing licensed facilities

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4 and operations in a safe condition; and determine the need to order the shutdown or placement in a safe condition of NRC licensed facilities under emergency conditions.

033 Director, Office of Technical Advisor As Chair =an, direct activities of the Headquarters Incident Investigation Review Co=mittee (IIRC) in its investigation of incidents when requested by the Executive Director for Operations.

034 Director, Office of Standards Development (SD)

a. Develop regulations, standards, and guides for licensees reporting of incidents to the NRC.

b. Review reports of investigation of incidents to determine whether chan6es and improve =ents are needed in regulations, guides, codes, and standards relating to the use of materials and facilities.

c. Provide technical staff to support activities of the IRACT and the IIRC.

035 Director, Office of Nuclear Reactor Regulation (NRR) a., Establish requirements in licenses and technical specifications for reactor licensees to report incidents to the NRC.

b. Review reports of investigation of incidents to:

(1) identify safety and safeguards related problems associated with the

. construction and operation of nuclear reactors and the materials and activities associated therewith; (2) determine if additional safety and rafeguards evaluation may be needed; and (3) determine if changes and improvements are needed in regulatory requirements.

c. Evaluate corrective actions prpposed by reactor licensees as a result of incidents; perform safety evaluations of reactor facili-ties subsequent to an incident, during repair, test, and startup.

d. Provide technical staff to support activities of the IRACT and the IIRC for incidents involving nuclear reactors.

036 Director, Office of Nuclear Material Safety & Safeguards (NMSS)

a. Establish requirements in licenses and technical specifications for materials and fuel cycle facility licensees to report incidents to the NRC.

b.

Review reports of inspection of incidents to:. (1) identify problems associated with the processing, transport, and handling of nuclear materials, including provision and maintenance of safeguards against threats, thefts, diversion, and sabotage of licensed materials and facilities; (2) determine if additional safety and safeguards evaluation may be needed; and (3) determine if changes or improve-ments are needed in regulatory requirements.

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c. Consult and coordinate with other Offices and Divisions of the NRC and with the ERDA in the development of contingency plans for dealing with threats, thefts, diversion, and sabotage relating to special nuclear material, high-level radioactive wastes, and licensed nuclear facilities.

d. Provide technical staff to support activities of the IRACT and the IIRC for incidents and emergencies involving threats, thefts, and sabotage relating to special nuclear material and other licensed material and facilities.

e. Evaluate corrective actions proposed by materials and fuel cycle, facility licensees as a result of incidents; perform safety evaluations subsequent to an incident, during any repair, test, or startup of facilities or activities.

037 Director, Office of Management Information and Program Control Collect, collate, and disseminate historical 'information regarding past incidents experienced in NRC licensed activities and operations.

038 Director, Office of International and State Programs a.' Carry out the responsibility of the NRC to perform as the

" lead agency" in nuclear incident planning activities among Federal agencies and in coordinating Federal advice and assistance to State and local governments.

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o 4 b. Provide liaison to coordinate any necessary activities required under this Chapter with the neighboring countries of Canada and Mexico.

c. Assist the Office of Public Affairs as necessary in its relations with the State Department on incidents having international implications.

039 Director, Office of Administration Provide central control and coordination through the Division of Security for receipt and dissemination of reports of investi-gations which are made by the Federal Bureau of Investigation relating to NRC licensed activities.

Provide the HOEC with computer service, telephone and other communication service, access to emergency communications systems, information and data processing and other communications capabilities for the use of the IRACT.

1 040 Director, Office of Public Affairs

a. Follow established liRC public information policies for release of information relative to incidents and emergencies,

b. Designate a staff member to serve as Public Affairs Duty Officer during off-duty hours; provide the names of Duty Officers to the W

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c. Assist the lleadquarters and Regional Offices of Inspection and Enforcement in information activities relating to incidents.

d. Review public statements and press' releases concernin'g inci-dents and emergencies at NRC-licensed facilities and clear those having international implications with th,e State Department.

e. Promote the NRC policy of encouraging licensees to take the lead in information activities on incidents and emergencies at their facilities.

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NOTIFICATIONS AND ACTIONS FOR INCIDENTS tGIICH INVOLVE NRC-LICENSED ACTIVITIES NRC APPENDIX OXXX PART I HEADQUARTERS PLAN FOR RESPONSE TO INCIDENTS A.

GENERAL The Director, Office of Inspection and Enforcement, is responsible for direction of the Headquarters and IE Regional Office actions taken in response to incidents which involve NRC-licensed activities.

Under his direction the Headquarters Operations-Emergency Center (HOEC), the Headquarters Incident Response Action Cc' ordination Team (IRACT), and Reg'ional Office staffs provide the resources and capabilities to coordinate, monitor, manage, and initiate the response actions.

B.

INCIDENT RESPONSE ACTION COORDINATION TEAM (IRACT)

Time IRACT is cumposed of management officials (and alternates) designated by the Director, Office of Inspection and Enforcement.

Continuity is maintained in the direction of incident response actions through a succession of authority which is stipulated in procedures established by the Director, Office of Inspection 'and Enforcement.

These procedures also designate the operating cadre for the HOEC and a support staff to assist the IRACT in the discharge of its responsibilities.

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PART I iTRC APPENDLX OXXX C.

HEADQUARTERS OPERATIONS-EMERGENCY Cf,NTER (HOEC)

The NRC actions taken in response to an incident which requires continuing direction and coordination of actions, and continuing exchange of information between NRC and other agencies, is accom-plished from the HOEC.

The HOEC is manned during these times by the IRACT and support staff as decided by the IRACT Director.

The HOEC is connected to appropriate com=unications services and contains information and information handling aids sufficient to facilitate an understanding of the impact.rf..tL.:zz.:;ide;:reor emergency condition on licensed activities and public health and safety, and to provide support for the direction, coordination, and donitoring of the NRC response actions.

D.

CONCEPT 1.

General Reports and notifications of incidents involving NRC-licensed activities are normally received by Regional Offices of Inspection and Enforcement.

The Director of the Region'al Office receiving the report of an incident will make the initial determination of the effects of the incident and initiate appropriate response actions, including dispatch of inspectors to the scene if appropriate, under procedures established by the Director, Office of Inspection and Enforcement.

The initial response actions by the Region will include prompt notification of the HOEC (or the Headquarters IE Duty Officer during non-working hours).

PART I NRC APPENDIX OXXX The responsible official of the HOEC (or the IE HQ Duty Officer) will notify the most senior IRACT member available who will Enitiate the Headquarters response actions.

The IRAC; will direct and coordinate the initial actions taken in response to incidents which have particularly significant health and safety, security and safeguards, or public interest aspects.

The HOEC staff 'or the IRACT will: a) notify the Comissioners,,

the Executive Director for Operations, and other senior regulatory management, b) assure that appropriate Federal, state, and local agencies are notified, c) assure updated information is obtained regarding the incident, and d) provide periodic reporrs and updated information about the incident to all concerned.

When an incident has particularly significant health and safety, security and safeguards, or public interest aspects, the actions taken by the NRC may be reviewed by a Headquarters Incident Investigation Review Committee.

This Committee will execute the actions required by Part III of this plan. The Executive Director for Operations will determine, with resp,ect to incidents reported to him or otherwise brought to his attention, whether the incident should be reviewed by the Co=mittee.

PART I NRC APPE : DIX 02C(X 2.

Requirements a.

Office of Inspection and Enforcement (IE) designate and provide uritten instruction for members of its Headquarters and Regional Office staff who serve as Duty Officers during off-duty hours.

establish appropriate contacts with other Federal agencies, and with State and local agencies, for the purposes of notifications of incidents and emergencies, maintaining lines of communication, and implementing the necessary response actions.

evaluate reports and notifications of incidents to deter-mine whether an actual or threatened energency exists and, when warranted, dispatch inspectors to the scene, b.

IRACT and HOEC Staff assemble the IRACT, activate the HOEC as an emergency center, and call upon other established emergency response organizations for support and assistance, if required.

notify the Commissioners, the Executive Director for Operations, the Director of the Office of Public Affairs, and Directors of other NRC Offices, and provide a central channel and source of information relating to the' incident and provide periodic reports on the status of the incident to all concerned.

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4 PART I NRC APPE" DIX OXXX Notify the appropriate Office or Division of ERDA, or the ERDA Energency Action and Coordination Team (EACT), immedi-ately of incidents and emergencies involving NRC licensed activities when NRC expects or anticipates that assistance and support from ERDA will be required, and request that ERDA provide a representative as liaison to NRC's IRACT to keep ERDA informed of:

1) the course of events relating to the incident,

2) NRC response actions, and 3) assistance and support required from ERDA by the NRC.

Notify the appropriat"e Office or Division of ERDA, or the ERDA EACT, i= mediately of all major e=ergencies believed to involve ERDA activities or operations, and at the request of ERDA, promptly provide an NRC represen-tative as liaisors to ERDA to keep the NRC informed of:

1) the course of events relating to the ERDA emergency, 2)

ERDA response actions, and 3) any assistance and support required from NRC by ERDA.

contact the Federal Bureau of Investigation (FBI) when notified Ef an incident where there is suspected violation of Federal laws, and in cooperation with the FBI:

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PART I NRC APPE: DIX OXXX 1) provide all available facts, including copies or con-tents of any threat messages, identify threatening parties if known, etc;

2) provide assistance as required in the assess =ent of the credibility of nuclear-related threats received, including the assessment of threat messages or devices, search operations, identification a'nd evaluation of radiological hazards, etc.

Coordinate with the NRC's Office of Public Affairs to advise the State Department Operations Center promptly of major incidents or emergencies believed to have international 1/

1mplications, it such knowledge originates within tne NKc;-

and provide a representative or other assistance as requested to the State Department Task Force designated to handle a particular emergency.

Notify, as appropriate, other Federal agencies and organ-izations, including:

1) Joint Committee on Atomic Energy, U. S. Congress 2)

Environmental Protection Agency 1/ There may be occasions when the IRACT may decide to advise the State Department Operations Center of e=ergencies and incidents which do not have international implications or of those for which a determination has not yet been made. On these occasions, it will be necessary to assure that NRC's prerogative to issue press releases is maintained.

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PART I NRC APPENDIX OXXX

3) Department of Defense and/or Defense Civil Preparedness Agency

4) Office of Preparedness, General Services Administration Assure that appropriate regional offices of Federal agencies, and appropriate State and local agencies, are notified of incidents if necessary.

d.

Headquarters Offices and Divisions Notify the IRACT through the HOEC (or the IE Duty Officer ~

during non-working hours) of reports of incidents received from sources other than the NRC staff.

Provida tcchnical support :sff :: the HOEC nd T**CT on request of the Director, Office of Inspection and Enforcement.

3.

Criteria for Notification Notification of an incident should not be delayed pending complete information.

Supplemental information will be gathered and supplied as soon as it becomes available.

When possible, the initial notification of an incident shall provide:

a.

time, date, location, general nature of the incident, and its major consequences;

PART T NRC APPENDIX OXXX' 1

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whether the facts, as known, eliminate the need for further act?.ons or inspectors at the scene; c.

known significant details of the incident, effects or impact on the public and on the regulatory program, injuries, property damage, actions being taken for control'of the incdent, status of actions taken or proposed by the NRC Office receiving the report, comments on possible,causes of the incident *,

d.

status of efforts (if known) to mitigate the consequences of the incident; whether a press release has been issued or is contemplated.

e.

E.

COORDINATION WITH OTHER AGENCIES 1.

Energy Research and Development Administration The ERDA and NRC will provide mutual assistance in responding to incidents and emergencies occurring in,or affecting facilities or activities under their jurisdiction.

a.

In cooperation with the NRC, the ERDA has agreed to:

1) Notify the NRC immediately of all major emergencies

. believed to involve NRC or State licensee activities or facilities, transportation of licensed materials, or releases of hazardous material to unrestricted areas as the result of accident occurring in ERDA facilities or operations.

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PART I NRC APPENDIX 0.\\'X. X"

2) Provide technical advice and assistance as necessary, including capabilities of ERDA's Radiological Assistance Program, to support the NRC response to incidents and emergencies involving licensed activities and operations (see D.2.c above).

3) At the request of the IRACT Director, promptly provide an ERDA representative as liaison to NRC'*s IRACT (see D.2.c above).

4) Coordinate any ERDA press release with NRC's Office of Public Affairs when an incident or emergency involves NRC or St, ate licensees.

b.

In cooperation with the ERDA the NRC IRACT will perform the functions in D.2.c above).

2.

Federal Bureau of Investigation (FBI)

The FBI is responsible for investigating all incidents, including nuclear-related threats, involving suspected violations of Federal laws which are related to NRC-licensed activities and facilities.

In cooperation with the FBI the NRC will perform the functions given in D.2.c above).

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State Department The State Department is responsible for coordinating the Federal Government response to major non-military emergencies which have international i=plications.

In cooperation with the State Department, the NRC will perform the fbnctions in D.2.c above).

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SOTTFICATIONS AND ACTIONS FOR INCIDENTS NRC APPENDIX OX:C{

INVOLVING ::RC-LICENSED ACTIVITIES PART II PUBLIC INFORMATION PROCEDURE A.

REQUIRDDCU The NRC shall conduct a continuing public information program to keep the public fully and currently informed of incidents and events involving licensed facilities and activities.

It is a policy of the NRC to encourage licensees to takd the lead in infor=ation activities relating to incidents and emergencies at their facilities.

B.

CRITERIA FOR PRESS RELEASES RELATING TO INCIDENTS

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L'ith due regard to the common defense and security, a press release should be made for any incident, covered by Part II of this Appendix, which is believed to have public information significance.

2.

Press releases must be factual and must report accurately the licensee's position or statements about the incident. Additionally, press releases shall identify the equipment involved in the incident and state whether the equipment is safety-related or whether it is a part of the " conventional" systems of the plant or facility.

Press releases shall contain a statement of NRC actions relating to the incident.

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PART II NRC APPENDIX OXXX C.

PROCEDURES The following responsibilities and procedures shall apply for information activities relating to incidents involving NRC licensed activities:

1.

Director, Office of Public Affairs a.

determine public information requirements relating to incidents and when necessary takes action to clear or release state =ents to the public or press when prior consultation with the Commission, the Executive Director for Operations, or appropriate Directors of Headquarters Offices and Divisions is not possible,;

b.

clear public statements and press releases concerning incidents and emergencies having international implications with the State Department; and c.

promote the NRC policy of encouraging licensees to take the initiative in information activities relating to incidents at their facilities.

2.

Directors, Headouarters and Regional Of fices of Inspection and Enforcement.

a.

conform to established NRC public information polfeies and procedures, including advance coordination wi*.n the Office i

'6f Public Affairs, Headquarters where appropriate, on f

issuance of statements and press releases relating to incidents;

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PART II NRC APPD; DIX OXXX b.

determine local public information requirements relating to incidents and take necessary action when tine is of the essence and prior consultation with the Office of Public Affairs is not possible; provide the Office of Public Affairs as soon as possible with the text of any press release that has been made; and c.

encourage licensees to take the initiative in information activities relating to incidents at their facilities.

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NRC APPENDIX OXXX NOTIFICATION AND ACTIONS FOR I:iCIDENTS INVOLVING NRC LICENSED ACTIVITIES PART III PROCEDURES FOR HEADQUARTERS INVESTIGATION REVIEW OF INCIDENTS A.

REQUIREMENTS Except as otherwise prescribed by the Commission, an investigation of incidents will be made under the direction of N,RC's Executive Director for Operations as provided in this Part.

B.

CRITERIA FOR INVESTIGATION REVIEW Where an incident has particularly significant health and safety or public interest aspects, the results of any special inspection or documented record of the incident will be reviewed by the Incident Investigation Review Committee.

The Executive Director for Operations (EDO) will determine, with respect to incidents reported to him or otherwise brought to his attention, whether the incident shall be referred to the Co=mittee.

C.

INCIDENT INVESTIGATION REVIER COMMITTEE (IRC) 1.

The Director, Of fice of Technical Advisor, Executive Director for Operations shall serve as Chairman of the Committee 1

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NRC APPENDIX OXXX PART III The members of the Committee shall be appointed, according to the type of incident and activity involved, from Head-quarters Offices and Divisions (line offices).

One or more members of the Division of Technical Members Review, Office of Nuclear Reactor Regulation (NRR)

One or more members of the Division of Reactor Members Licensing, NRR One or more members of the Division of Safeguards Members Nuclear Materials Safety and Safeguards (NMSS)

One or more members of the Division of Materials Members and Fuel Cycle Facility Licensing, NMSS One or more members of the Office of Standards Members Development (SD)

One or more members of the Office of N clear Members Regulatory Research (RES)

One or mere members of the Office of Members Inspection and Enforcement (IE)

There shall be no less than three nor more than seven members.

2.

NRC personnel directly involved in the regulatory licensing 3.

or inspection process of the facility or activity involved in the incident may serve oa the Committee, but they shall not constitute a majority of the Committee nor serve as the only investigator of any rubcommittee or task group the Committee or Chairman may appoint.

The EDO may request the Executive Legal Director to appoint a 4.

counsel to the Committee; the counsel so appointed shall attend the meetings of the Committee and advise and assist it!

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NRC APPENDIX 07.*CC PART III D.

PROCEDURES relieve the NRC line Offices The actions of the Committee do not 1.

of their operational responsibility, the Chairman of the Committee shall assure that committee actions do not interfere with the incident response and inspection actions carried out by the Office of inspection and Enforcement.

shall The Director, Office of Inspection and Enforcement, 2.

assure that the Committee is kept fully and currently informed with respect to information and data obtained by his staff as a result of the incident.

3.

The Committee will:

Review information gathered by inspectors or otherwise a.

obtained as a result of the incident.

Review the information developed as a res' ult of the incident b.

with respect to such matters as the nature of the incident, its causes, the safety of the operation, and matters to be considered in order to assure continued safety and to minimize or preclude similar incidents, 4

Advise whether additional investigation or inspection c.

should be conducted and, if so', in what particulars.

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• so PART III NRC APPENDIX OXXX 4.

The Committee may question witnesses and examine documents, equipment, facilities, and sites relevant to the incident.

5.

If, after reviewing all information available and making such inquirites as it deems necessary, the Committee decer-mines that additional information is necessary, the Directors of line Offices will be requested to obtain and furnish such information as appropriate.

6.

After completing its investigation review and prior to preparing its final written report, the Committee shall con-

, sult with the Directors of line Of fices as appropriate, cencerning the resulta of the iuve= Ligation review to determine if any further review by the Committee is necessary or desirable.

7.

Thereafter, if it appears that no further review or action by the Committee is necessary or appropriate, the Committee shall prepare a report to the Executive Director for Operations.

The report shall contain an evaluation of safety, both specific to the incident and on a generic basis, and a complete summary of the incident and all actions taken by the NRC.

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