ML20055C268

Submits Enforcement Guidance Memo EGM 89-04 Re Documentation & Tracking of Noncited Violations

ML20055C268
Person / Time
Issue date:	04/04/1989
From:	Lieberman J NRC OFFICE OF ENFORCEMENT (OE)
To:	Russell W NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I)
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References
NUDOCS 9002230015
Download: ML20055C268 (2)

Text

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m uns 89 APR 7 A9:34 EGM 89-04 MEMORANDUM FOR:

William T. Russell, Regional Administrator, Region I Stewart D. Ebneter, Regional Administrator, Region II A. Bert Davis, Regional Administrator, Region III Robert D. Martin, Regional Administrator, Regfon !Y John 8. Martin, Regional Administrator, Region V FRON:

James Lieberman, Director Office of Enforcement SUSJECT:

NON-CITED V10LATIONS (NCV) j

Purpose:

This EGM provides guidance for documentation and tracking of l

NCYs referenced in Sections V.A and V.G.1 of the revised Enforcement Policy (October,1988).

i

Background:

The Enforcement policy provides the Staff with the flexibility

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anddiscretionnottoissueaNoticeofViolation(NOV)for (1) inspection findings which involve an isolated Severity Level V violation; regardless of who identified it, and (2) licensee '

identified Severity Level IVs that meet certain criteria.

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Guidance:'

1.

Licensee identified Severity Level IV and V violations referenced in an inspection report or official field note (NMSS), should be identified with the prefix 'NCV',

followed by a tracking number consistent with other cited violations and unresolved items. The inspection report should state "...the violation is not being cited because the criteria specified in Section Y.G. of the Enforcement Policy were satisfied." for Severity Level IV or V violations identified by the licensee.

In those cases where the NRC identifies a Severity Level V violation that is not cited, the inspection report should state "...the violation is not being cited because the criteria specified in Section V.A of the Enforcement Policy were satisfied."

In all cases, the licensee's corrective action should be discussed.

2.

For the purpose of closing out findings of NCYs pursuant to Manual Chapter 0610.0704 a further closecut is not required since the corrective actions have been previously considered in the inspection report discussing the NCV.

l 3.

For the purpose of considering recurrence of NCVs they l

may be removed from your tracking systems two years after the inspection report is issued.

22300 2pp, W

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Regional Office Instruction 3

AUG 101989 No. 0901, Revision 3 4

Non-cited violations snould be astigned identification tracking numbers j

with the prefix "NC4" or "NC5," indicating severity level, and should 1

be entered on Form T-5 for the Outstanding Items List (OIL).

NCys should be opened and closed with the same Fonn T-B, since the corree-tive actions have been considered in the inspection report discussing the NCV.

For materials licensees, retain the field notes in the docket folder as the followup record.

For the purpose of considering recur-rence, NCVs may be deleted from the tracking system two years after the inspection report is issued.

5.

NCVs should be documented in the current 766 system.

The 766 Severity Level field has been modified to accept "N" for NCVs. When the 766 system is replaced, the new system will continue to track NCVs.

D.

Contact:

Questions or comments concerning this Instruction should be directed to the Director, Enforcement and Investigation Coordination Staff.

This Instruc-tion incorporates the guidance provided by the Office of Enforcement in EGM 89-04 (Enclosure 1), which was coordinated with NRR.

That EGM was distributed to the staff with RON No. 0916, dated April 27, 1989.

As additional background information, an exchange of correspondence between Region III and the Office of Enforcement is also enclosed with this I

Instruction.

E.

Effective Date:

This Instruction is effective upon issuance, and replaces ROI No. 0901, Revision 2. " Documenting Violations For Which No Notice Of Violation Is Issued" dated January 9, 1989.

C+11 Stewart D. Ebneter Regional Administrator

Enclosures:

1.

EGM 89-04 i

2.

Background Infortnation Distribution List A

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