ML20057A595
| ML20057A595 | |
| Person / Time | |
|---|---|
| Issue date: | 07/20/1989 |
| From: | Martin R NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV) |
| To: | |
| Shared Package | |
| ML20055C202 | List:
|
| References | |
| 0557, 557, NUDOCS 9309150019 | |
| Download: ML20057A595 (4) | |
Text
[%
Q UNITED STATES
^
[ip NUCLEAR REGULATORY COMMISSION
- * \\W, a REGILN IV
$11 RYAN PLAZA DRIVE. SUITE 1000 p
ARLINGTON. TEXAS 76011 M 201989 Regional Office Policy Guide (0557) DOCUMENTING VIOLATIONS FOR WHICH NO CITATION IS ISSUED (NON-CITED VIOLATIONS OR NCVs)
A.
Purpose:
The purpose of this policy guide is to provide regional staff guidance and procedures for documenting violations for which no citation is being issued. This policy guide is applicable both when an inspection results in an inspection report and, in the case of certain inspections of materials licensees, when no inspection report is issued.
B.
Discussion:
The NRC's Enforcement Policy, which is published in 10 CFR Part 2, Appendix C, and which was most recently revised on October 13,(NOY) 1988 describes the circumstances under which a Notice of Violation waived despite violations of NRC requirements having occurred.
Section V.G.I. of the Enforcement Policy describes the criteria which, if met, permit us to waive an NOV for Severity Level IV and V violations identified by the licensee.Section V.A. describes the criteria which, if met, permit us to waive an NOV for Severity Level V violations identified by either the licensee or the NRC. Viarlations that meet these criteria should normally be treated as NCVs and should not result in citations.
Enforcement Guidance Memorandum 89-04, issued on April 4, 1989, discusses the need to record NCVs in order to ensure that these violations can be taken into consideration when reviewing a licensee's compliance history.
1 In the case of licensee-identified violat' ions, this policy guide should not be interpreted to require the documentation and tracking of all violations that may have been identified by a licensee's audit program. However, this policy guide is applicable to those licensee-identified violations which, based on their relative significance, merit discussion in an inspection report or in the official field notes compiled by materials inspectors (when a Form 591 is issued).
In using this discretion, the staff should consider the significance of particular violations should they recur. Documenting such violations, even if they do not result in citations when they first occur, will provide the staff a i
basis for taking stronger enforcement action should the violations recur.
9309150019 930830
,f Attachtnent 4 PDR STPRG ESGGEN 7-PDR
/
M E : 9-(PG0557) p.
The following procedures describe how Region IV will document NCVs:
1.
NCVs will be documented in either an inspection report or, in the case of materials inspections which result in the issuance of a Form 591 or letter to the licensee enclosing an NOV, in official field notes placed in the region's docket files. NCVs should be characterized as apparent violations in exit meetings with licensees.
2.
To support a decision that no NOV will be issued, an inspection report or the official field notes should include information for each NCY regarding whether NRC or the licensee identified the violation, what corrective action was taken or planned and whether the facts surrounding the violation meet the criteria of section V.A. or V.G.I. of the Enforcement Policy such that no citation (NOV) is being issued.
a.
The following guidance is applicable when an inspection report is being issued:
(1), The decision to waive an NOV for a violation that has occurred will normally be made by the director of the division responsible for the inspection or by his designee once that individual is satisfied that the criteria in the Enforcement Policy have been met.
(2) The following is an example of how an NCV may be documented in an inspection report:
"The licensee's failure to ensure that a logging supervisor was equipped with a film. badge or TLD during the handling of licensed radioactive material on December 22, 1988, is aviolationof10CFR39.65(a). This violation was discovered by the licensee and was corrected by the licensee prior to the NRC inspection. The licensee conducted additional training of all well-logging supervisors and assistants.in those procedures that require the use of personnel monitoring devices. A Notice of Violation for this violation is not being issued because the criteria of Section V.G.I. of the NRC's Enforcement Policy have been met."
(3) The following is an example of the language that may be used in the cover letter transmitting the inspection report:
"During this inspection, it was founc that certain of your activities were in violation of HRC requirements. However, inaccordancewith(SectionV.A.orSectionV.G.I.)ofthe
f 5
(PG0557) NRC's Enforcement Policy, no citation is being issued for the violation described in Paragraph 5 of the enclosed inspection report."
(4) NCVs resulting from inspections of power reactors rust be documented in the 766 system (using N in the field reserved for severity level) and in the system that will eventually replace 766. For other types of licensees (materials, non-powerreactorsanduraniummills),documentingNCVsin inspection reports or, as discussed elsewhere in this policy guide, in official field notes will suffice, b.
The following guidance is applicable when the results of a materials inspection are documented in a form 591 or in a letter tothelicenseewhichincludesanNOV(forotherviolations):
(1) The decision to waive an NOV for a violation that has occurred will be made by the inspector in the field in those instances where a Form 591 is issued to the licensee imediately following the inspection and by the section or branch chief if a Form 591 or letter enclosing an NOV is issued following an inspector's return to the regional office.
In either case the responsible individual should verify that the criteria in the Enforcement Policy have been met.
(2) The official field notes (also referred to as a draft inspection report) should include information necessary to support waiving an NOV and to document the fact that a violation did occur and corrective action was taken. This information should include: a) who identified the violation, b) what corrective action was taken or planned, and c) a statement regarding whether the criteria in Section V.A. or V.G.I. of the Enforcement Policy were met.
(3)
It is not necessary to document these NCVs in the 766 system or the system that replaces it.
C.
Action:
DRP, DRS and DRSS are to implement the procedures discussed above.
D.
Contact:
Questions on this should be addressed to the Regional Enforcew nt Officer, Ext. 222. For additional information, staff should refer to the Enforcement Policy in 10 CFR 2, Appendix C (as revised October 13,1988),
and EGM 89-04.
(PG0557) -'5 E.
Cancellation Date:
This policy guide is in effect until sup,erseded.
j
!Lt(
(t' c ' -
obert D. Martin Regional Administrator Distribution List C i
e J
sop 9
L
-