ML20057A385
| ML20057A385 | |
| Person / Time | |
|---|---|
| Issue date: | 08/10/1989 |
| From: | NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II) |
| To: | |
| Shared Package | |
| ML20055C202 | List:
|
| References | |
| 0901, 901, NUDOCS 9309140132 | |
| Download: ML20057A385 (2) | |
Text
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Afl.ANTA, GEORGI A 30323 AUG 101999 Regional Office Instruction No. 0901, Revision 3 NON-CITED VIOLATIONS (NCVs)
I A.
Purpose:
1 To provide guidance for documentation and tracking of non-cited violations (NCVs) referenced in Sections V.A and V.G.1 of the NRC Enforcement Policy.
The purpose of this guidance is to (1) document why a violation is not cited if the subject was reviewed during an inspection and addressed in an inspec-tion report, (2) track the violation to avoid repetitively exercising discretion for the same issue, and (3) include in the enforcement history data base the more significant licensee identified issues (i.e., those the i
inspector considers worthy of review and discussion in the report).
B.
Discussion:
Section V.A of the NRC Enforcement Policy states that isolated SL-V viola-tions, whether identified by NRC or the licensee, will nonsally not be cited in a Notice of Violation provided the following criteria are met:
Appropriate corrective action initiated before end of inspection Not willful N
Not similar to prior violations for which corrective actions have not
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been sufficient to prevent recurrence N
(Note:
Standard practice is to consider violations during past two years, or the last inspection for low priority material licensees.)
Section V.G.1 of the NRC Enforcement Policy provides the following criteria for licensee identified violations for which NRC will normally not issue a Notice of Violation (e.g., hot cite):
Licensee identified SL-IV or V oz$
ReportedtoMRC(ifrequired)
E Was or will be corrected, including measures to prevent recurrence, within reasonable time W
Not willful; not similar. (e.g., not reasonable to expect violation to nio have been prevented by corrective action for previous violation)
OE (Note:
Standard practice is to consider violations during past two years, or the last inspection for low priority material licensees.)
$m Inspector identified SL-V violations, or licensee identified violations that, in the inspectors judgement, warrant review and documentation, should be discussed during the exit meeting with the licenses and should be doc-umented in the inspection report.
It is not the intent of this Instruction to create an all encompassing data base; rather, it provides the mechanism to accomplish the objectives listed in A. above.
Inspectors are expected to
Regional Office Instruction 2
MG 10 W No. 0901, Revision 3 time and attention and what issues warrant review and documentation.
For example, an inspector should not expend resources seeking SL-V violations, which by definition are of minor safety significance.
On the other hand, when sufficient information is developed to identify that a SL-V violation has occurred, it should be documented.
Similarly, not all licensee identified violations are expected to be documented in an inspection report, but the more significant issues should be included.
It is not necessary to discuss NCVs in the letter that transmits the inspec-tion report if there are other violations cited in a Notice of Violation.
If there is no Notice of Violation, then the fact that NCVs were reviewed must be addressed in the letter in order to avoid use of the " clear inspec-tion" terminology (see C.3. below).
C.
Action:
1.
Isolated SL-V violations and licensee identified SL-IV or V violations, meeting the criteria of Sections V. A. or V.G.1 of the Enforcement Policy, should not be cited in a Notice of Violation, unless there are unusual circumstances.
2.
Violations that are not cited in a Notice of Violation should be discussed in the inspection report details, and should be documented int the Exit interview paragraph and in the Summary of the inspection 5
report or, for materials inspections, on the NRC Fonn 591
" Safety Inspection" and in the Materials Inspection Field Notes.
The discus-sion in the report details and the Form 591 should include the correc-tive action that has been taken or initiated, and should conclude with one of the following two statements:
For licensee identified SL-IV or V:
"This licensee identified violation is not being cited because criteria specified in Section V.G.1 of the NRC Enforcement Policy were satisfied."
For inspector identified SL-V:
"This NRC identified violation is not being cited because criteria specified in Section V.A of the NRC Enforcement Policy were satisfied."
3.
If there are no violations cited (e.g., no Notice of Violation), and the inspection report discusses violations that are not cited, the third paragraph of the letter that transmits the inspection report should state:
"The enclosed Inspection Report identifies activities that appeared to violate NRC requirements but are not cited; therefore, no response is required."
If there are other violations cited in a Notice of Violation, the letter that transmits an inspection report should not address NCVs unless the inspector and Section Chief determine that there is a special need to do so.