ML20237J976
| ML20237J976 | |
| Person / Time | |
|---|---|
| Issue date: | 03/25/1983 |
| From: | NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV) |
| To: | |
| Shared Package | |
| ML20237J972 | List: |
| References | |
| FOIA-87-450 PROC-830325, NUDOCS 8708260386 | |
| Download: ML20237J976 (135) | |
Text
-
[ m c# ""% UNITED STATES yx / ^., NUCLEAR REGULATORY COMMISSION 5, ,'f REGION IV
, 8 611 RYAN PLAZA DRIVE. SUITE 1000 ARLINGTON, TEXAS 76011 MAR 2 51983 SSINS No.
Regional Office Policy Guide 1051, Revision 0 PROCEDURES FOR ALLEGATIONS AND INVESTIGATIONS A. Objective To outline the procedures that will be used in Region IV for handling allegations and interfacing with the Office of Investigations staff.
- 3. Policy It is Region IV policy that all allegations received by the region, whether directly or from another NRC office, that affect a Region IV licensee or a company covered by the vendor inspection program be tracked by Region IV from start to closecut. This will include those allegations received by the 01 Field Office, Region IV. It is also the policy of Recion IV to cooperate fully with the Office of Investigations in closing out all allegations affectir.g Region IV licensees and vendors.
C. Definitions I
- 1. Allegation Review form - each allegation is opened by completing an Allegation Review form. This form contains basic information on the allegation such as alleger, facility involved, substance of the allegation, and action party. This form becomes an individual file entry in the allegation data file and is the cover for the allegation package.
- 2. Allegation Package - a manila folder containing all supporting documents on the allegation (letters, memoranda, inspection reports closing out the allegation, etc). Wnen an allegation is assigned to !
the action party for completion, the allegation package is forwarded j to that party and is held until the allegation is closed out. The j package is then returned to the Enforcement Officer for archiving.
For allegations that are turned over to Investigators, the supporting documentation will remain in the OI Files and a copy of the completed Investigation Report will be archived with the completed allegation form in the Enforcement Officer files.
hT- 0 7- N D c// ! j B708260386 B70B04 FDR FOIA ppp GUILDB7-450 / E l j
^1 4
l Form NRC-1 l (RIV-1/82) l [ U. S. NUCLEAR REGULATORY COMMISSION RECION IV TRANSMITTAL SHEET FOR l POLICY GUIDE AND/0R NOTICE l 1 . ] i i Folicy Guide No. 3051 - PROCEDURES FOR ALLEGATIONS AND INVESTIGATIONS TRANSMITTED: SUPERSEDED: Policy Guide No. 1051 Rev. O Policy Guide No. n/a Series Notice No. Rev. Dated: No. of Pages _ 1 Distribution: AB l (A-Administrative Staff; B-Professional; AB-All Employees) 1 REMARKS: This policy provides guidance on the handling of allegations and investi-gations in Region IV. i
, . - I at '
~
~
L: %$lpa
$k A ,h ,
f - Prepared by: E. H. Johnson (Signature) Approved by:Ch6e/[dv4s24
/ (Si
/Ji
%7 N h"
l v%lgDdf y JohnT.Collnaturi),. ins, . t
Title:
"' Enforcement Officer
Title:
Regional Administrator %jyt%c%c
.. - .n , , .a Date Approved: 3 o/f3: ~bd $h O ! ;
mw- a#MB f;'lQ
. xy;4g
.~v aa
- 6,2{ >,lml&l
- k , .,
Regional Office Policy Guide No. 1051, Revision 0 2
- 3. Inquiry - an activity conducted by the 01 alone or in concert with the regional inspection staff to gather additional information on an allegation. The results of the inquiry will determine whether an allegation may be closed with no further action, needs investigation, or should be the subject of regional routine or special inspection.
- 4. Investigation - activities conducted by the Office of Investigation, with or without technical assistance from the regional inspection j staff. The Office of Investigations is the lead action party for all investigations. Investigation reports will be forwarded to the J Regionai Administrator for disposition. l
-f
- 5. Inspection - routine or special inspection activities by the Regional Inspection staff to closecut allegations. These activities may involve limited assistance from the investigative staff to closecut certain nontechnical issues. The investigative staff will prepare an Assist to Inspection Report (AIR) to document this close out. The regional inspection staff retains the lead on allegations closed out by inspection.
- 6. Assist to Inspec .on Report (AIR) - a report prepared by the investi-
! gative staff to accument findings when the nature of the allegation is primarily technical but limited investigative effort is required. The AIR will be forwarded to the regional inspection staff, and may be appended to the inspection report as considered necessary. A copy of the AIR will be sent to the Regional Administrator. j , 7. Action Party - Generally the cognizant section chief. The-action party is responsible for keeping all necessary Region IV staff informed as to the progress in closing out allegations. He will assure that the 01 list is updated to show the close out of allegations. D. procedures for Handling Allegations { The method of handling allegations is divided into four procedures as follows: receipt of allegations; processing allegations; review of allegations (including whether inspection or investigation is warranted); and closecut of allegations. These procedures are detailed below: l
- 1. Receipt of Allegations
- a. All allegations received are to be forwarded to the Enforcement Officer as soon as possible after receipt. l 4
j-3' % , ( . L
Regional Office Policy Guide i No. 1051, Revision 0 3 l Allegations not dealing with Region IV licensees or vendors will be. forwarded to the appropriate NRC office by the Enforcement Officer, j 1
- b. The person receiving the allegation, whether by telephone or l personal contact, shall attempt to get information as follows: i allegers name, phone numbers (work and home and when the alleger can be contacted), address, job title and organization, nature of the allegation, and what facility, license or company it is i related to. l 1
- c. This information shall be forwerded by informal memo or by use j of the allegation review form shown in attachment 1. Any additional supporting information shall be included. If the l allegation is received by personal contact or by mail, all original documents (including envelope) shall be forwarded. -
\
Note: An offer of confidentiality shall not be offered unless specifically requested. If the alleger requires confi-dentiality, the phone call shall be transferred to an investi-l gator, if available. If an investigator is not available then ! take down as much detail as possible and try to get a phone ! number where the alleger can be contacted, f
- 2. Processing Allegations
- a. The Enforcement Officer shall complete the allegation review form and assign an allegation number to the package of information.
Appendix A describes the allegation review form and allegation data file in more detail,
- b. The allegction shall be entered into an index.
- c. The allegation will then be submitted for preliminary review by the Region IV field office of the Office of Investigations.
, d. The Enforcement Officer will fill out the Allegation Data Form j 1 l (NRC Form 307) blocks 1 thru 10 and block 13 and will forward to # IE,HQ. I I i t', f 1 1 1
I l Regional Office Policy Guide i No. 1051, Revision 0 4 l l l 1
- 3. Review of Allegations j
- a. Approximately monthly, or more often if needed, an Allegation l
Review Board will meet to consider allegations. This board will l l consist of: l Deputy Regional Administrator, Enforcement Officer - Chairman, l Director, Office of Investigation, Region IV Field Office, or his representative, Representative of the Vendor Programs Branch, Representative of the Technical Programs Branch, Representatives of Division of Resident, Resctor Project and Engineering Programs (each branch). l Attendance by Division Directors is encouraged.
- b. The primary purpose of the board shall be to review all new allegations to determine whether the allegation is best handled by investigation, inspection on whether further inquiry is needed and, if so, who shall do this. Priorities for investi-gative/ inspection activities will be identified by the board. l The Regional Administrator is informed of the results of these decisions.
- c. The secondary function of the review board shall be to provide j the up-to-date status of each allegation. To this end, each l board member must be prepared to discuss the current status of l all allegations being handled by his/her branch or division. 1 Information as to date of proposed inspection or investigation, j when completed, report in preparation, etc., will be made i available. The status of current investigations will be made j available to the board. l
- d. Following the meeting, the Enforcement Officer shall update ;
the allegation index showing the new status of allegations and j assignments decided upon. !
- e. A final function of the board is to act as a forum to discuss investigation policy, so as to maintain an understanding of the current NRC investigation policy and ensure close liaison with the Region IV OI Field Office.
I i I i j t
Regional Office Policy Guide _ No. 1051, Revision 0 5
- f. Following the designation of the action' party by the board, the !
Enforcement Officer shall forward the allegation package to the action party for followup and closeout.
- g. Closecut of Allegations If an allegation assigned ~to the Region.IV staff requires investigative support, such as for assistance during an inspection, direct liaison between the Branch /Section Chief and investigative staff is authorized to define the needs and to.
establish mutually agreeable dates. NOTE: If an allegation is to be closed out through regional inspection activities during the course of which, additional facts come to light that'suggest an investigation is warranted,
~ the inspector shall make immediate contact with his Section Chief and the Enforcement Officer for instructions. Contact with RIV, OI Field Office is the usual course of action in such cases.
- 4. Closecut of Allegations {
- a. Following inquiry, inspection or. investigation that satisfies an allegation, it may be closed,
- b. Inspection reports which closecut allegations shall be routed through the Enforce:nent Officer for concurrence. He, in turn, will discuss the findings as may be appropriate with the Director, 01 Field Office to determine if referral to OIA is -
necessary.
- c. The action party shall return the completed allegation package to the Enforcement Officer with all supporting material (originals of documents excepting NRC reports, where applicable).
The completed package must include a copy of the closeout document (investigation or inspection report, memorandum for file, or the like). For investigations, supporting material will be maintained by the Office of Investigations.
- d. Completed packages shall be maintained on file by the Enforcement Officer.
E. Procedures for Handling Investigation Reports
- 1. Investigation reports AIR's and Reporte of= Inquiry will be forwarded to the Regional Administrator from the Office of. Investigations.
They will-be in ready to issue condition at this time. s f U
Regional Office policy Guide No. 1051, Revision 0 6 1
- 2. Generally AIR's will have been written in support of a regional inspection. AIR's may be included with the inspection report as a separate appendix. These reports will generally contain confidential information and will need to be appropriately " sanitized" prior to release. The issues of the report has the responsibility for checking with the OI, Field Office for assistance in preparing a releasable version.
- 3. Each investigation report will be received by the Regional Administrator in two forms, an unexpurgated version (plain lanjuage) and an expurgated (sanitized) version. Only the latter version is to be released outside NRC.
- 4. The following procedures shall be used to handle investigation reports that are to be released.
- a. Both versions of the investigation report will be forwarcad by the Enforcement Officer to the Division Director for review and processing.
- b. The plain language version will be returned to the Enforcement Officer for retention.
l c. A cover letter and appropriate enforcement notice, when necessary, l are prepared under the direccion of the Division Director. l l d. A sequential inspection report numbre is assigned to the repo"t.
- e. Normal report distribution lists will be followed for distribu-tion of the sanitized investigation report, except that a copy shall be sent to the Director, RIV OI Field Office.
NOTE: Since " original" sanitized versions of investigation reports received from 01 are photocopies, it will be necessary l for the Director, RIV 01 Field office to certify the report as l an original. F. Contact Questions on allegations, investigations or interface procedures with the RIV 01 Field effice shall be referred to the Enforcement Officer (Eric Johnson, ext. 141). t
, 1
. i l
1 Regional Office Policy Guide No. 1051, Revision 0 7 I i G. Effective Date This Policy Guide is effective when issued. fuo'Whbssd John T. Collins Regional Administrator Appendix: Description of the Allegation l Tracking Data File Distribution List AB l q I 4 I l i 1 a 1 1 1 N .' t
)
I l l Appendix 2 i
- 14. Due Date Can be used to assign a suspense date
- 15. Allegations Substantiated Listed in the form allegations made/ allegations substantiated
- 16. Sort Code The following codes are'used to sort data: i A - RPS A P - PSS i B - RPS B S - SP )
C - RPS C T - Transferred D - RPS D U - URO ] I - EP V - VPB M - TPB X - Closed l 0 - 01 Z - Other l
- 17. Date Closed When all actions have been completed
- 18. Action Office Always RIV
- 19. Text Up to 1000 characters of text. For completed actions this will include a summary of enforcement actions taken Access to this data base is authorized by the Director, ES.
1
1
. . 1
, APPENDIX l l DESCRIPTION OF THE ALLEGATION TRACKING DATA FILE Each allegation that is the responsibility of RIV will be entered into tha I allegation tracking data file. This file is on the IBM 5520 based file i system. It is used to enter, track, and maintain a historical file of j allegations. ] 1 Allegations received are entered into the file using the worksheet shown in l l A-3. A variety of summary printouts are available from the system. ; 1 l ! The following is a description, of the worksheet fields. l l Field Description (
- 1. Case Number Allegation Number i.e., 4-83-A-xx
- 2. Date Opened Date received by DES f
- 3. Facility Name Can be used for the name of the vendor, material licensee, etc.
t
- 4. Subject Concise statement of allegation j
- 5. Source of Allegation Name and title cf alleger, or " anonymous is anonymity is requested"
- 6. Number of Allegations Self explanatory ,
1
- 7. Assigned to Division / branch designation )
)
- 8. Cross Reference Number OI case number
- 9. Action scheduled Concise statement of what the next expected actions are to be
- 10. First/Last Name Branch contact
- 11. Date Assigned Date forwarded form DES to the branch
- 12. Report Number Allows tracking of report numbers
- 13. FTS Number Telephone number of contact l
.,,, i 1
i 1 Worksheet for Allegations Tracking System:RIV:2/23/83 1
- 1. CASE NUMBER ,,.......
l
- 2. DATE OPENED .......... l 4
l
- 3. FACILITY NAME ............ ............ ............ 1
-1'
- 4. SUBJECT ......................... .........................
.I i
- 5. SOURCE OF ALLEGATION .................... .................... .................... !
- 6. NUMBER OF ALLEG. ..
- 7. ASSIGNED TO ..........
- 8. CROSS REF. N0. ..........
- 9. ACTION SCHEDULED .................... .................... .................... ,
1 1
- 10. FIRST/LAST NAME ... ........... l l
- 11. DATE ASSIGNED ........
i
- 12. REPORT NUMBER 1st:...... I i
2nd:...... Lst:......
- 13. FTS NUMBER 8 ... .... I l
- 14. DUE DATE .......... i
- 15. ALLEGATION SUBSTANT .....
i 16 S0RT CODE . l 1 17, DATE_, CLOSED ........
- 10. ACTION OFFICE .....
TEXT l l TEXT 2 : l I
,l
e i l Form NRC-1 ' (RIV-1/82) U. S. NUCLEAR REGULATORY COMMISSION REGION IV j TRANSMITTAL SHEET FOR
]
i POLICY' GUIDE AND/0R NOTICE l POLICY GUIDE 2236 - STANDARDIZED REPORTS AND CORRESPONDENCE FOR MATERIAL AND FUEL CYCLE LICENSEES- ] I T".ANSMITTED: SUPERSEDED: 1 J Policy Guide No. 2236 Rev. O Policy Guide No. N/A Series 3 1 l Notice No. N/A Rev. Dated: ) l l No. of Pages 8 Distribution: AB l (A-Administrative Staff; B-Professional; AB-All Employees) l l , REMARKS: , J The purpose of this guide is to improve report correspondence quality and to expedite the preparation and processing of this correspondence by the use of standard letters, reports, and paragraphs. 1 i 1 e ., l b- ..
. .m
., , m :ll ~.
A @g}q(h Prepared by: dit _Agx Approved by g// a .n/ .
' (Signature) ./ (Signature)t
...s...
gpg ].]:7. < y3p 39p
"- l
Title:
47 & l
Title:
' Director, DV&TP Regional AdministratorAcs u:,4lg;gg Date Approved: 9!1#//J :51b , ~ a;bnN hh b
> {
5; -
. aus .;
.o= ts Magg@
egh if
. -)
l f # "*%
' UNITED STATES p e' , NUCLEAR REGULATORY COMMISSION ! $1 of REGloN IV k, [ 611 RYAN PLAZA DRIVE, SUITE 1000 )
ARUNGToN, TEXAS 76011 ] g I SEP 2 01983 , Regional Office Policy Guide 2236, Revision 0 ] STANDARDIZED REPORTS AND CORRESPONDENCE FOR MATERIAL AND FUEL CYCLE LICENSEES A. Objective The purpose of this guide is to innprove report correspondence quality and to expedite the preparation and processing of this correspondence by the use of standard letters, reports, and paragraphs. B. Policy or Practice All inspection reports, transmittal letters, Notices of Violation and related correspondence to material and fuel cycle licensees shall use.the standardized information provided in this guide. Standard paragraphs and letters will be placed in the IBM 5520 system for timely preparation of this material. Nonstandard correspondence will be approved by the Chiaf, Materials Section, on a case-by-case basis. C. Effective Date This Policy Guide is in offect whe.a issued. i John T. Collins Regional Administrator l CC:
Enclosure:
Standard Paragraphs Distribution List AB c i L b 'i JI
!;f:
e r
.r E %
3 _4 g q f5
,H y434
1 Regional Office Policy Guide No. 2236, Rev. 0
- 1. Inspection Reports ,
- a. Report of a routine /special onsite inspection.
APPENDIX or APPENDIX A, B, or C U.S. NUCLEAR REGULATORY COMMISSION REGION IV NRC Inspection Report: 30,40,70 -xxxx/xx-xx License: l Docket: Licensee: Facility: Inspection At: Inspection Conducted: Inspector (s): (lead inspector) Date (accompanying inspector) Date Approved: Chief, Materials Date Radiation Protection Section Inspection Summary Inspection Conducted _on (date) (Report: 30, 40, 70 xxxx/xx-xx) Areas Inspected: Routine /special, announced / unannounced inspection of.
. (For special inspections the purpose of the inspection should be stated, i.e., allegation, overexposure, etc..) (Areas covered shall be provided in.all cases.)
The inspection involved inspector-hours onsite by NRC inspector (s). Results: Within the areas inspected, no violations'or deviations were identified or violations were identified in areas as follows - y
'~
(briefdescriptionofviolations). ,s
,:y ;
i
Regional Office Policy Guide No. 2236, Rev. 0 (Report details shall have the format recommended in MC 1005)
- b. Report of an Enforcement / Management Conference.
APPENDIX or APPENDIX A, B, or C U.S. NUCLEAR REGULATORY COMMISSION REGION IV NRC Inspection Report: 30, 40, 70-xxxx/xx-xx License: l l Docket: , Licensee: ] l Conference Conducted:
)
i j l 1 Report Prepared by: j Date ; Approved: l Chief. Materials Date Radiation Protection Section l Conference Summary Conference held on (date) (Report: 30,40,70-xxxx/xx-xx) An (Enforcement / Management) Conference was held (by telephone or at the Region IV office) to discuss on(date). Results: (Summary information on the items discussed, the licensee's response l and the NRC course of action). Persons Participating in the Conference A. Licensee B. NRC C. Other I
i 8 l Regional Office Policy Guide No. 2236, Rev. 0 l 2. Notice of Violation APPENDIX l i NOTICE OF VIOLATION J Docket: ( (Licensee) License: 1 I Based on the results of the inspection conducted on (date) , and in accordance with the NRC Enforcement Policy (10 CFR Part 2 AppendTx C), 47 FR 9987 (March 9, 1982), the following violations were identified: 1. l This is a Severity Level violation (Supplement ).
- 2. j This is a Severity Level violation (Supplement ).
Pursuant to the provisions of 10 CFR 2.201, (licensee) is heNby required to submit to this office, within 30 days of the date of this Notice, a written statment or explanation in reply, including: (1) The corrective steps which have been taken and the results achieved; (2) The corrective steps which will be taken to avoid further violations; and (3) The ds when full compliance will be achieved. Consideration may be given for extending your response time for good cause shown. Dated
.g..-
t 1
;\\ ,
't: [,; .
.g .)-,
,w ,
Regional Office Policy Guide No. 2236, Rev. 0
- 3. Notice of Deviation l
APPENDIX B
. 1
. k. NOTICE OF DEVIATION .s.
(Licensee) Dde t: U-Licenst:- Rased on.the results of the inspection conducted on (date)- , and'in accordance wlth the NRC Enforcement Policy (10 CFR Part 2, Appendix C), 47 FR 9987 (March 9, 1982), the following deviations were identified:
)
Bssed on the results of the NRC inspection conducted (date) , it appears that certain of your activities were not conducted in conformance.with'your l comitments to the Commission as indicated below: 1.
Title:
(Use same words as in Summary) _ 1 _i. . 1 2. (Licensee) is hereby requested to submit to this office,.within. 30 days of the date of the Notice of Deviation, a written statement or explanation in reply, including: (1) the corrective steps which have been taken and the results achieved; (2) the corrective steps which will be taken to avoid further' deviation from commitments made to the Comission; and (3) the date when full compliance will be achieved. Consideration may be given to extending'your response tire for good cause-shown. ,
' 'i Dated <<
l l A 1 4
^ +_
4 h,
N , . a i Regional Office Policy Guide No. 2236 Rev. 0
- 4. Transmittal Letters (License):
(Licensee) i Gentlemen: This refers to the routine /special, announced / unannounced radiation safety inspection conducted by (inspector) of this office on (date) , of the activities authorized by NRC (Byproduct Source, Special Nuclear Material License ), and to the discussion of our findings held by the inspector with members of your staff at the conclusion of the inspection. (If inspection report is to be transmitted add the following: The enclosed NRC Inspection Report (number) documents this inspection). (For Enforcement / Management Conference, add the following to paragragh 1.) This also refers to the Enforcement / Management Conference held (telephone or Region IV office) on (date) , between and of 4 our office to discuss the findings of the NRC inspection. The enclosed Inspection Report (number) documents this conference. l The inspection was an examination of the activities conducted under the license as they relate toiradiation safety and to compliance with the Commission's rules and regulations, and the conditions of the license. The inspection consisted of selective examinations of procedures and represent- ' ative records, interviews of personnel, independent measurements, and observations by the inspector. (Clear Inspection) - No violations or deviations were identified during this inspection. (Violation (s))- During this inspection certain of your activities were found not to be= conducted in full compliance with NRC requirements. Consequently, you.are required to respond to this matter in writing in accordance with provisions of Section 2.201 of the NRC " Rules of Practice," Part 2, Title 10 Code of Federal Regulations. Your response should be based on the specifics contained in the Notice of Violation enclosed with this letter. (Previous Violations) - Mr,(Ms) also reviewed the action you had taken with ' violation (s) observed during our previous' respct to _ hich inspection,. w was conducted . He verified , m
Regional Office Policy Guide N i l No. 2236, Rev. 0 ,* ( l .
' f.(
' that the corrective action with respect to (this item) (these items) was implemented as stated in your reply of toourletter(s) l l dated- . i e 1 f Deviation During this inspection, it was found that certain of your? activities appeared to deviate.from (accepted industry standard (s)/commitnetlWmade to'the NRC.) 1 This/These item (s) end reference (s) to the standard (s)/concitment(s) are ' A identified in the enriesed Notice of Deviation. You are' requested to resabmf - 1 to this/these deviation (s) in writing. Your response shoyld be based on de specifics contained in the Notice of Deviation enclose 6 M th this letter.3' , j (Use 10 CFR 2.790 paragraph when an inspection report is attached to this -7~ letter.) ,, O ), In accordance with 10 CFR 2.790 of the Commission's regulat' ions g copy of this letter and the enclosed inspection report will be placed in tilt NRC's Ej
;t t Public Document Room. If this report contains any information that you J %
believe to be exempt from disclosure under 10 CFR 9.5(a)(4), W is racdssary s that you (a) notify this office by telephone within 10 days from tiie dite of , i thisletterofyourintentiontofilearequestforwithholding;and(b)sub- < i mit within 25 days from the date of this letter a written application to this,',~ .l office to withhold such information. If your receipt of this letter has been delayed such that less then 7 days are available for.your reyfy, please notify this office promptly so that a new due date may be estas11shed. Consistent with Section 2.790(b)(1), any such application must~be accompanied ) ,
~
by an affidavit executed by the owner of the information M ch identifies the 4 documentorpartsoughttobewithheld,andwhichcontejhsafullstatementof {O the reasons on the basis which it is claimed that the ir,formaticz should be TM withheld from public disclosure. This section furthetirequires'tt.e statement I' to address with specificity the considerations lister't ni 10 CFR 2.790(b)(4). The information sought to be withheld shall be incorporated as far as possible into a separate part of the affidavit. If we do not likar fr e you in this regard within the specified periods noted above, the teport vill be placed in the Public Document Room. ,i 4 (Use Paperwork Reduction Act paragraph if NOV is .atta$ed',Nor other response isrequired.) e i h,* The response directed by this letter and the accompanying Notice are not J. i subject to the clearance procedures of the Officeiof Managensnt and Budget as required by the Paperwork Reduction Act of 1980,~ PL 96-511. lt y
, g, o, b (11 s
(, , - 4 . i
\ Ji l
, - Nge ,
' } %l3:.y
.\
Q ,
~
4
a ; ; ts
;94 j iy[ r., 1 .
ej -
,i . I
[ iltgional Office.Polidy Guide ' No.2236.RerC6i,/ ' s \ j
\ '
u . Shguld you haye any questions concerning this letter, we will be pleased to ) l dhhuss them with you) i t X ['\ . Sincerely, J t Branch Chief a
Enclosures:
(If only one enclosure, dd not use letters for the Appendix.) I j? 1. Appenedx A - Notice of Violation "
- 2. Appendix A or B - Notice of Deviation
' 3. Appdndix G NRC Inspection Report a i
; 44. Appendix C - NRC Inspection Report i
I bec: DM1(IE07) f s' bcc: J. Collins ' R. fangart ' T. Mesterman Inspector '
' Info $ystems ,
i
,i i. File I
?,IV Files l'
'l t
- 5. Licensee Correspondence .,,i,;
N J l
- a. Letters of reply to l' r[nsee's response, j i.
Original msppnse - a:kjuste I l l Thank you for your letter of/ , in response to our letter and the attached Notice of Violatien dated - l S We have reviewed your reply and fyhd it responsive to the cor.cerns raised in l
- our Notice of Violation. We will review the implementation of your corrective
~
actionsduringafuturejnspectiontodetermini at full compliance has been achieved end will be maintained. s 1 . s p t i s
. , -----____ ___ a
1 l l l Regional Office Policy Guide No. 2236, Rev. O Adequato response after an Enforcement Conference Thank you for your letter (s) of , in response to our letter (s) dated . As discussed with a member of your staff during an Enforcement Conference held on , we regard the violations i discovered during this inspection wTth great concern and indicated that we would review your response to determine if any additional enforcement actions are necessary. Based on our review of your response (s), we have no further questions regarding your corrective actions. We mil review implementation of these actions during a future inspection to ensure that they have been effective in preventing further noncompliance. Original response - inadequate Thank you for your letter of , in response to our letter . and the attached Notice of Violation dated . A: a result of I our review, we find additional information es discussed with your Mr. (Ms) __ during a telephone call on , is needed. (Add brief text as to what exactly is needed based upon the questions posed in j the NOV.) Please provide the supplemental information within 10 days of your receipt of this letter so that we can continue our review of this matter. Second or Subsequent Response - Inadequate , l Thank you for your letters, dated , , and , i and in response to our letters, dated , , and . l We continue to be in need of additional information as discussed with your i Mr. (during a telephone conversation /at the site) on . l Please provide the supplemental information within days of the date of this letter. l Second or Subsequent Response - Adequate l i Thank you for your letters, dated ,, , and , in j response to our letters, dated , , and . We have no further questions at this time and will review your corrective action j during a future inspection. l 1
\
l i ! l l i j1
l Regional Office Policy Guide No. 2236, Rev. O
- b. Confirmatory Action Letters. ;
This letter refers to the telephone conversation between of this office and on (date) , regarding the actions you" plan to take to improve the safety of your . Regarding this matter, we understand that you will undertake the following actions: j
- 1. (Supply appropriate text.)
- 2. j
,1 If this is not your understanding of your course of action and commitment, j j
please contact us immediately. l Sincerely, , 1 Regional Administrator 1 CERTIFIED MAIL _ RETURN RECEIPT REQUESTED 1
- 6. Expired License Letters and NOV l (Refer to IE Procedure 838958.)
i i. I l i a=
-I
, \.
i M )4
;+ ]
l
m .
,/ %r, ' UNITED STATES 3 .f , 7, NUCl. EAR REGULATORY COMMISSION i ig %,9- 3 REGloN IV I h [ 611 RYAN PLAZA DRIVti. SUITE %00 h,,,,,# ARUNGToN, T S 76011 i
Reaional Office Policy Guide 2235, Revision 0 ! MATERIALS AND FUEL CYCLE I W ECTION REPORTS AND ASSOCIATED CORRESPONDENCE. l A. Objective To describe a system for issuing inspection reports for materials and j fuel cycle facilities that will assure uniformity in report approval, ; numbering, concurrence, and distribution. ; B. Policy or Practice
- 1. Approva.1 of inspection reports, transmittal letters, and associated l correspondence l
- a. Draft inspection reports are reviewed and approved by the i Materials Section Chief or the Senior Radiation Specialist. l These reports are placed in the docket file and are not j distributed outside the NRC region without the approval of the Regional Administrator. These draft inspection reports are not subject to the policy which prevents release of draft documents !
outside of the NRC unless specifically approved by the EDO. [
- b. Materials and Fuel Cycle inspection reports are signed by the responsible inspector and approved by the Materials Section Chief. Letters transmitting these inspection reports and letters transmitting a Notice of Violation identifying violations at the Severity Levels IV or V are signed by the Technical Programs Branch Chief.
- c. The Regional Administrator will sign, after consultation with the Director, Inspection and Enforceme'nt all escalated enforcement actions and associated correspondence involving Severity Level III violations. Enforcement actions for violations at the Severity Level II and I Category are signed by the Director, Inspection and Enforceme'it.
- d. Acknowledgement letters pertaining to a licensee's response to violations will be signed by the same person who signed the original letter and Notice of Violation.
- e. Confirmatory action letters are signed by the Regional Administrator.
- 2. Inspection Report Numbers Inspection report numbers are assigned by the inspector after a review of the docket file.
):g7M-V7-VSO 6/3
. 4L .
Regional Office Policy Guide
~
No. 2235, Rev. 0
- 3. Concurrence Chain
- a. Letters transmitting inspection reports with clear findings or ,
a Notice of Violation identifying violations at Severity, Level IV or V Concurrence Chain: (1) Originator (2) Materials Section Chief (3) Technical Programs Branch Chief (4) Enforcement Officer (if report contains allegation) (5) Director, Division of Vendor & Technical Programs
- b. Letters Transmitting InsDection Reports and Escalated Enforcement Correspondence Concurrence Chain:
(1) Originator l , (2) Materials Section Chief (3) Technical Programs Branch Chief l (4) Director, Division of Vendor & Technical Progi ams (E) Director, Enforcement Staff (' (6) Deputy Regional Administrator (for Severity Levels III, II, and I as well as all Civil Penalty actions) (7) Regional Administrator (for Severity Levels III, II, and I as well as all Civil Penalty actions)
, c. Concurrence Chain Format The concurrence chain will show the typed initials of the Section, Branch, or Division above the surname. This information will be provided to the typist by either the originator or the branch secretary.
- 4. Distribution of, Letters Transmitting Inspection Reports and Notices of Violatiens
- a. Distribution of letters and Notices of Violations is made upon final concurrence. The distribution of materials and fuel cycle inspection reports and letters will be performed by the <
branch secretary. After dating the inspection report, the branch secretary will distribute a copy to the licensee and make internal distribution. No other distribution will be made outside the region until 10 days has elasped from the date of the transmittal letter to the licensee. The distribution of inspection reports and letters is as follows: l l bec: DMB (IE07) ({- bec: J. Collins Inspector R. Bangart S. File T. Westerman MIS - w/766
s A. .
,. Regional Office Policy Guide .(- No. 2235, Rev. 0 b. 10-Day / External Report Distribution After 10 days'have elapsed from the date of the transmittal-letter to the licensee, and the licensee has not notified RIV of any proprietary concerns, the report, along with a file copy ;
of,the transmittal letter, will be. forwarded to:DMB marked with j the appropriate RIDS code. At the same time, the branch secretary.will make external distribution. The URF0 will be u sent cupies of any inspection report or Notice of-Violation ! related to uranium recovery.. In the case of Civil Penalty actions, the State in question will be sent a copy of inspection reports or related enforcement correspondence.
- c. Effective Date 1
1 This Policy Guide is in effect when issued. { f ( C'/.as W ohn T. Collins
, Regional Administrator
, b- i l CC Distribution List AB l l Y l l l l y 6 1 L..
c,# % e 4 UNITED STATES e I%. NUCLEAR REGULATORY COMMISSION
, ,, REGION IV l Os '
l' PARKWAY CENTnAL PLAZA BUILDING 611 nYAN PLAZA DRIVE, SUITE 1000 -
~ % . . . , . ,e ARLINGTON, TEXAS 78011 18 APR E5 Regional Office Policy Guide No. 1000, Revision 0 TIMELINESS OF ESCALATED ENFORCEMENT ACTIONS l
l A.
Purpose:
, To provide policy regarding the need for timeliness in taking escalated I enforcement actions. B. Discussion: In order for escalated enforcement action to be' effective, the action taken by the region must be timely. These actions include confirmation action letters, enforcement conferences, orders, and enforcement packages. C. Action: The following guidelines are provided: Confirmatory Action Letters - Shall be issued as soon as possible, i.e., within several hours, i Enforcement Conferences - Should be held as soon as possible, and normally within one to two weeks following an inspection. The violations to be discussed only need to be in draft. Orders - An immediate order should be prepared as soon as possible; i.e., within 1 day. Other orders will be included with the escalated enforcement package. Escalated Enforcement Packages - The draft letter, notice of violation and proposed civil penalty, draft order (if appropriate), and draft inspection report should be provided to the Enforcement Officer within 10 working days following the end of an inspection. l D.
Contact:
Any questions should be directed to the Enforcement Officer, ext. 145. E. Cancellation Date: This Policy Guide is in effect when issued. s kk hd$ Robert D. Martin Regional Administrator /EI//- ? 7- Mc Distribution List AB C/y
d#*% y 4 4. UNITED STATES i?j? It NUCLEAR REGULATORY COMMISSION N. ,h REGION IV r PARKWAY CENTRAL PLAZA BUILDING
,o 611 RYAN PLAZA DRIVE, SUITE 1000
% ,' bu g,, ARLINGTON, TEXAS 70011 MAY 61985 Reaional Office Policy Guide No. 0211. Revision 0 POLICY ON CONTROL 0F NRC REPORTS AND OTHER DOCUMENTS AND U1 REFERRALS l A.
Purpose:
NRC must act promptly and positively on nuclear safety and safeguards concerns. Such concerns must be identified promptly, documented, and made known to responsible licensee management to obtain prompt evalua-tion and appropriate corrective action. At the same time, NRC documents must be developed and issued without improper licensee or public influ- , ence, or in the appearance thereof, and must be made available to the ) public in a timely manner, consistent with NRC regulations, policies, I and procedures. B. Discussion: The objectives of this ' policy statement with regard to both plant-specific and generic NRC reports ano other documents (referred to hereinafter as ,
" documents") are:
- 1. To provide NRC staff _with general policy guidance on the release l and distribution of draft and final documents.
- 2. To assure that staff documents are developed and issued without improper influences, real or perceived, by the public or by applicants, licensees, permittees or their subcontractors or agents I (referred to hereinafter as " licensee") and are made available j promptly to the public.
- 3. To assure that the Office of Investigations (01) is promptly informed I whenever a material false statement is suspected.
- 4. To assure that matters being referred to 01 should be coordinated with 01 prior to advising a licensee of the potential referral.
- 5. To assure that sufficient flexibility is provided to Office Directors and Regional Administrators so that they and their staffs will not hesitate to disseminate appropriate safety or safeguards information to licensees, before distribution of final documents.
f010~f7-t/fo afs- - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ - - -- - _ _ - - - - - - ---- _ J
,, w % c ,
1 1 Regional Office Policy Guide No. 0211, Rev. 0 J4y; 61985 j i C. Action: I l l 1. For the. purpose of this policy, the term " documents" encompasses all I written. material considered to be NRC records under 10 CFR Part 9. A draft document 11s to be-considered a draft from its initial ; development throughout the period of review until its issuance.as a ) final document. A final document is one that has been signed or i otherwise approved for publication and distribution. Final oocuments , will.be distributed.in a manner that will. ensure that the public, the I licensees. NRC contractors, and Government agencies have access to: j' information they need to fulfill their responsibilities. Final documents provided to licensees will be placed in the Public Document Room (PDR).
- 2. Any decision under this policy to place documents in the PDR must 1 also be consistent with NRC regulations, policies, and procedures 1 regarding confidentiality, security, safeguards, proprietary, and 1 Privacy Act Information and investigative matters. ]l
- 3. Draft documents, or information contained therein, are not to be j discussed with, given to, or shown to any licensee or the public by 1 NRC staff without prior approval by the Regional Administrator; nor j should potential referrals to 01 be' discussed with any licensee or the public by NRC staff prior to coordination with 01. 1
- 4. Predecisional interagsney or intraagency memoranda and letters shall not be provided to licensees or the public or placed in the PDR without prior approval by the Regional Administrator.
- 5. In the event any document is inadvertently or otherwise released by the NRC, its contractors, or other Government agencies contrary to-this policy, the EDO should be advised promptly in writing of the occurrence and the corrective action to be taken.by the responsible l
office to avoid recurrence of such release. Normally, under such circumstances, the released document should be placed in the PDR.
- 6. The Director of the 01, RIV, Field Office shall be promptly informed by the RIV Office Allegation Coordinator (OAC) whenever a material ,
false statement is suspected.
- 7. Any matter being referred to 01 should be coordinated with OI prior to advising a licensee of the potential referral. ,
D. EXCEPTIONS
- 1. In the event there is an emergency, or a significant safety or safeguards issue appears to require immediate action, NRC personnel, at their discretion, may discuss with, show to,.or provide the licensee with any pertinent material they believe the circumstances warrant.
I
*t
f.* 5 :. s O Regional Office Policy Guide MAY '6 1985 No. 0211. Rev. 0 , l
)
- 2. In the normal course of conducting regulatory activities, j communications with licensees,. vendors, industry representatives, I and other Government agencies are at times necessary regarding ,
initial NRC staff positions,. license conditions, confirmation of I action letters,. inspection findings, preparation of bulletins and l-information notices, events at other facilities, etc. Such I communications can be held in advance of the final NRC documents for the purpose of (1) gaining factual information; (2)~ assessing the cost, feasibility, and benefit of, or alternatives to, proposed 1 actions; or (3) alerting licensees to initial staff positions or I safety findings _ in-order that corrective actions can be initiated i promptly. This policy statement is not intended to impede such I exchanges of information. Any written communications provided by l the staff.to licensees or the public shall, however, be placed in the PDR.
- 3. Draft research reports, studies, data, or other documentation based on information obtained from a licensee or vendor, which may' be discussed or ex: hanged with those parties and other participants in a study or research program, are not subject to restraint under .;
this policy statement. i
- 4. Draft proposed and final rules, policy statements, and other documents pertaining to materials regulated by the Agreement States may be sent to the Agreement States for comment and are not subject to restraint under this policy. ;
- 5. Nothing in the policy statement shall automatically preclude the );
release of agency records pursuant to a formal request under the Freedom of Information Act. I c: s [ obert D. Martin Regional Administrator Distribution List C
s- ., k -. <
', t,[ 4 UNITED STATES y* '
, NUCLEAR REGULATORY COMMISSION l S
- f REGION IV 611 RYAN PLAZA DRIVE. SUITE 1000
[ ARLINGTON. TEXAS 76011 . JUN 171985 i Regional Office Policy Guide No. 1101, Rev. O j CONFIDENTIALITY PROCEDURES FOR ALLEGERS A.
Purpose:
I To establish regional policy and procedures for the granting of confidentiality to allegers consistent with proposed NRC Manual f Chapter 0517, " Management of Allegations," (copy attached). The 1 proposed manual chapter is the agency's interim policy pending final ! policy guidance and shall be fully implemented by RIV. i B. Discussion: 1 This regional policy guide is intended to supplement rather than 1. replace the proposed NRCM 0517. The emphasis on this guide is on the important role of confidentiality in the management of allegations.
- 2. Confidentiality refers to the protection of data that directly, or l otherwise, could identify an alleger by name. It is not intended {
to deny staff members access to the identity of the alleger when 1 such identification is required by staff members to evaluate and { resolve allegations. l
- 3. All allegers will either (a) be explicitly granted confidentiality.
by virtue of a confidentiality agreement (copy attached to NRCM 0517) signed by both the alleger and by the Regional Admini-strator or (b) they will not be explicitly granted confidentiality, but their identity will be reasonably protected. C. Action:
- 1. A confidentiality agreement-should only be executed for those'allegers who either (a) specifically request it or (b) to those allegers who by their actions convey the inference that their identity will be protected by the NRC, but who are apparently unaware that such an agreement is available. The. offer of a confidentiality agreement should not be given until an assessment of the usefulness of the information provided can be made, and only if such a determination can be made in a timely manner after consultation with the Regiona? Administrator through.the supervisory chain of command. A confidentiality agreement should never be routinely offered to any person not meeting the above criteria.
Ford-r9- 4To NG
f , y h Regional Office Policy Guide No. 1101, Rev. O ggg )
~
The confidentiality 6greement form sets forth the conditions under ! which confidentiality will be maintained. If at any time for any reason confidentiality is breached or jeopardized, regional manage-ment should be informed. The alleger should be advised, the reason i explained, and remedial measures taken, if possible. to reduce the ) impact of disclosure. As a general rule, the "need to know" principle j will be implemented for all allegers. However, for those allegers l with a confidentiality agreement, this means that the identity of the source must be protected by not referring to the name or other identi-fying information in internal NRC discussions, unless absolutely j necessary, and by expurgating the name and other identifying informa- ] tion from documents before disseminating these to the staff. Dissemi- j nation of expurgated documents will be the exception rather than the j rule. Unless absolutely required for the job by a RIV employee, " i documents containing identifying information about an alleger will be used in accordance with the " check cut" system provided for in ; paragraph C.3., below. The NRC considers the identity of allegers l who sign confidentiality agreenents as being exempt from the ; disclosure requirements of the Freedom of Information Act., i
- 2. For those allegers without a confidentiality agreement, reasonable I protection of their identity shall be maintained by RIV employees; i.e., the "need to Know" principle will also be operative. This means j avoidance of unnecessary use of the identity of the source and other j identifying information in discussions and in documents. However, 1 expurgation of the name and other identifying information is not i i
required for internal dissemination of such documents, when such dissemination is necessitated by the special programmatic needs of the agency. As in paragraph C.1., above, documents cor.taining identifying i information about an alleger will normally be used in accordance with the " check out" system provided for in paragraph C.3., below, unless ,' absolutely required for the job by a RIV employee. Thus, allegers without a confidentiality agreement should be made aware of the fact that the protection of their identity is a matter of discretionary . caution rather than an absolute mandate. For example, records containing ! identifying information on such allegers would normal'y not be exempt ! from the disclosure requirements of the Freedom of Information Act.
- 3. The RIV Allegations Coordinator will maintain the official allegations files for RIV. All records containing the names and other identifying ;
information on persons making allegations after the effective date of j this policy guide shall be sent to the Allegations Coordinator, A 4
" check out" system for records containing the nanes and other identifying information of all ellegers within the jurisdictional responsibility of. ;
RIV will be developed by the Coordinator. Employees of RIV who have a ] need to know information contained in those records may review such j records in accordance with the procedures developed by the Allegations i t
Regional Office Policy Guide No. 1101, Rev. 0 JUL 171985 Coordinator. The allegations files will be maintained by the Allegations Coordinator and those files are, therefore, exempt from the requirements , of Regional Office Policy Guide No. C200(5), " Completeness of Official Files." D.
Contact:
Questions regarding this Policy Guide should be directed to the Regional Counsel, E. Effective Date: This Policy Guide is in effect when issupd. y ' ya
,' - 1 f ,
,j l
^ l 6ti m Robert D. Martin ]
Regional Administrator j Enclosure-Proposed NRCM Chapter 0517 l l Distribution List: C i
4 JE 171985 . U.S. NUCLEAR SIGULATORY CoWISSION NRC' MANUAL i Volume: 000C General Administration l Part : 0500 Health and Safety 'IE 1 CHAPTER C517 MANAGEMENT OF ALLEGATIDMS 0517-01 C0VIRAGE This chapter and its appendices define the policy and procedures-- for the ' proper receipt, processing, control, and disposition of allegations received by NRC offices that concern NRC-regulated activities conducted by _NRC licensees and their contractors and the policy and procedures for dealing - I with individuals who provide information to the NRC. 0517-02 DBJECTIVES j i 021 To establish the policy for the receipt, processing, control, and I disposition ~ of allegations and to define procedures by which the receipt, status, and disposition of allegations are. tracked through the Allegation Management System (AMS), theneby assuring that:
- a. allegations are properly assigned for procescing and assessed for safety significance to permit ranking and resolution in ~ a timely manner;
- b. timely and accurate information on all . allegations. is maintained and made available to NRC Offices and : Regions on a need-to-know basis;
- c. all allegations not resolved by other foros1 means .are I processed in accordance with these procedurer: ' and .' the resolution of all allegations is properly documented; ,
022 To assure that individuals making allegations' to thei NRC ' are properly treated, provided corvfidentiality ' when necessary, appropriate' and possible dad notif kd of'the resolution. 023 To assure that issues raised are promptly and adequately;investi- *
*1 gated. '
, , , },
3 i q 4 Approved:c M
. 4 -
e N1.171985 NRC-0517-03 MANAGEMENT OF ALLEGATI0K5 0517-03 RESPONSIBILITIES AND AUTHORITIES 031 Executive Dinctor for Operations (ED0_) Set policy and procedures for ' the receipt, processing, control.. and disposition of- allegations and. establish policy. for the i treatment and confidentiality of those who provide.~information to ' { the NRC. For those matters within the purview of 01 and DIA, ~ cnly set policy and procedures governing their interfaces with' ) other Office' sand Regions. l 032 All Office Directors / Regional Administrators
- n. Establish internal procedures so that all employees are ' aware of l requirements for receipt, processing, control, and disposition of I allegations and for the accurate and timely updating . of the l status of those allegations for which their office is the Action )
Office. i l
- b. Appoint an Office Allegation Coordinator (OAC) who serves as administrative point of contact for employees 'and other Offices and the Regions. The OAC will: )
- 1. Ensure that the approp'riate parts of the Allegation Dcta Form (NRC Form 307. Exhibit 1) are completed for all allega-tior,is received within the Office or Region and that 'the I requested data are accurate and timely. ]
l
- 2. Determine the appropriate Action Office and, if applicable. l coordinate with the OAC of the affected Office or Region on '
each allegation received.
- 3. Ensure the appropriate parts of the Allegation Data Form are completed for all allegations for which the Office or Region is the Action Office. .
i
- 4. Forward the Allegation. Data Fors to - the respective Action !
Office OAC when the Office or Region. is not the Action Office. i
- 5. Forward the completed Allegation Data Form to the NRR OAC [and :
a copy to the Office of Nuclear Naterials Safety .and.' Safe-
- guards (N.SS) DAC, if appropriate) within 10 working days of receipt of an allegation when the Office-is the Action Office.
(For power reactors, during the period:from 30 days prior to the construction completion date . until .the Commission meeting. on full porar authorization, the Receiving Office' or-' Action. Office for any allegation'will,, within 2 working days, tele-phonically- notify the NRR Project Manager of.its receipt"and the identification of the Action Office in addition' to com-: pleting the Allegation Data Fom.) i
; Approved: 2 ,
m
1 l Mt 171985 MANAGEMENT OF ALLEGATIONS Kri'0517-032b5-
- 6. Acquire input data on. new allegations. (including ~ those -
referred to 0I) from. the staff within the Office or Region and ensure this information is 'fomarded to the NRR DAC in a timely manner for placement into the AMS' .
- 7. Provide updates (using' an AMS printout)1on previous'allega-tions (including those referred: to.01) from the staff within !
the Office; or Region and ensure this information is forwarded ' to' the NRR DAC on a monthly basis for placement into the AMS.
- 8. Provide reports as described in- Appendix 1, Part IX, 4 and -
5.
- c. Determine the safety significance and generic implications of those allegations that . fall within the programmatic responsibi-lity of that Office or Region and . establish schedules for the.
processing of allegations with ; the objective of resolving them- ; prio' r to a licensing decision date, if applicabis. , j
- d. Review those allegations for which . it is the Action: Office .for -
potential board notification and recommend such : notification: to NRR or NMSS.
- e. Refer all allegations involving wrongdoing, except those involving-NRC employees or NRC contractors, to the Office of ' Investigations and provide technical assistance to 01 - for investigating. allega-tions as requested.-
i
- f. Prior to taking a major action suchLas a licensing Ldecision or escalated enforcement, review the status and . resolution: Jof allegations for that' project in the AMS especially those related-to the action. .
- g. For technical concerns' with generic implications, consider the-need to infors other affected Offices for further. action (e.g...
AEOD for ' operational data, RES for concerns affecting; research. , activities,etc.)
- h. For discrimination complaints received- concerning possible violation of Section -210(a) of .the Energy Reorganization : Act, refer the complainant to DOL and promptly notify . DOL- to ensure their awareness of the complaint .and to determine ~ DOL's investigative intent. Determination of the need. for an NRC.
investigation would rest with 01; 033 Director. Office of Investigations ', ' Investigate allegations of wrongdoing by other than NRCH em- . ployees and NRC contractors. Conduct interface responsibilities" ' with the Offices and Regions.as' described herein.'
~ ' '
3 -Approved: 3 'W ,
F . 4 . JUkl71995s NRC-0517-034 , ' MANAGE q G C4 /.LLEGATIONS 034 - Di rector, Office of Inspector and Auditor Investigate: allegations of wrongdoing by NRC employees : and NRC: contrsetors. Such allegations do - not fall-- under. the _ purview-of this manual chapter and are not entered in the AMS. 035 Director. Office' of Inspection and Enforcement a.- Resolve allegations affecting matters for which it'is the respon-sible office including those that involve vendors or that are generic in nature in coordination with NRR or NMSS.-
- b. Monitor the allocation of resources for this activity by the regions.
036 Director, Office of Nuclear Reactor Regulation
- a. Propose to the EDO. for approval agency-wide policy and proce-dures regarding the processing of allegations. For -those allegations that fall under ' the purview = of: 01, propose policy and procedures _ governing their interface - with L other Offices' and Regions.
- b. Review allegations concerning NRR licensees in coordination with the Action Office for potential board notification'. and make such f notification, if required.
- c. Evaluate implications of allegations relative to licensing deci -
sions and plant ' safety concerning NRR licensees in coordination { with IE and the Region (s).
- d. Resolve those allegations pertaining to reactor licensing issues assigned to NRR. ,
- e. Maintain the AMS and any necessary improvements _ to modify its capabilities, in coordination with RM.
037 Director, Office of Nuclear Material Safety and Safecuards: I
- a. Review allegations concerning NMSS licensees in: coordination w'th-the Action Office for potential board notification and' make'such i notification if required.
- b. Evaluate implications of allegations relative to. licensNg deci-sions concerning NMSS licensees in coordination .with 'IE< and f the Region (s).
- 038 Office of Resource Management (RM) y p
- a. Establish the ADP program and maintain the data base' of Information' in the AMS. '
+ '
3
- b. - Provide monthly (Exhibits-2 and 3) and special reports to-Offices? L and Regions as requested.
37 , Approved:, ._ 4 -
L -[ n l'21985 .1 L < wmD3Ki 0F /,LLEGL,TIDHS NRC 0517-04 l l 0517-04 DEFINITIONS 1 1 l l 041 Action Office. The NRC Office : or Region that is responsible for l reviewing and taking. action, as appropriate, to resolve an allega-tion 042 Action Office Contact. The staff memberfin the Action Office who' is assigned tne responsibility for resolving an allegation. 043 A11ecation.- A . declaration, statement, or assertion of . impro- 1 1 J priety or inadequacy associated with NRC regulated activities .the validity ' of which has not been established. - This11ncludes 'all safety concerns . identified by . sources such as. the media, indi-viduals or organizations outside the NRC, and technical ~ ~ audit efforts froe . Federal, State or 11ocal government - offices - regarding . activities at a Llicensee's - site. Excluded from this definition are matters- being ' handled by more formal. processes: such as 10 CFR 2.206 petitions, . hearing boards, ' appeal boards,- etc. Allegations ~ that may result from these' formal processes: and: ;
- are not resolved ;within, these processes .shall. be1 subject to I treatment under this manual chapter. ,
044 A11ecation Manacement System (AMS). A computerized information , 1 system that contains a summary of 1significant data . pertinent to. each allegation. 045 A11eoer. An individual or organization who.' makes allegations. The individual or organization may be, a - concerned private. citi- . zen; a public interest. group; a licensee, -vendor or' contracter employee; a representative of a local, State,; or Federal agency . (NRC employees should be aware of procedures for. presenting differing professional opinions, NRC Manual Chapter 4125).. , 046 Confidentiality. The ters that' refers to the- protection of data that directly, or otherwise, could identify an allager by name. It is not intended to dr.ny staff members access to the ' identity of the alleger when such identification. is required by . staff members to evaluate and resolve alleg&tions.. ~ 047 Inouiry. f.n activity involving minimal effort to LdetemineL the' appropriate response to infomation reported to the NRC. cally, an . inquiry entaiis the ' use of - the ' telephone x or Ywr:Typi- itten' , correspondence rather than formal' interviews Lor" otherMinvesti - gative measures; however, formal interviews wil1 < be conducted 1f . required. 048 Inspection. A routine or special ~ activity that may"be 'used; to: examine and subsequently resolve an~ allegation. 9 J $' a-5- Approved: 4 . +
JUL li 1985 NRC-0517-04 o MANAGEMENT OF ALLEGATIOK5' 049 Invertication. Formal activities normally conducted _ by ' the Office of Investigations . on its own' volition, or at the request of .the Coenission, EDO, or Regional Achinistrators, with or without technical assistance. The Office of Investigations . is N, - .the ' lead Action Office for all investigations involving wrong-
. doing, excluding' wrongdoing by NRC employees and NRC ; contractors which is handled by OIA.
050 Office A11ecation Coordinator (OAC). A- designated staff member in each Office or Region who. serves as the administrative point of contact for that. Office or Region regarding the processing of allegations. 051 Receivino office. The ' Office or Region ' that initially. receives an allegation. In some cases, the Action Office ~and Receiving Office will be the same if the allegation falls within the functional responsibility of the Receiving Office.- 052 Safety Significance. A . measure of the importance of: an allega- i tion relative to its potential impact on the public health and safety. 053 Wronadoine For the purposes . of this manual chapter, it' includes the alleged deliberate, purposeful,- or willful ' violation of NRC regulations, license technical specifications, licensee commitments to the NRC, or other laws or statutes of interest to NRC. 0517-05 BASIC REQUIREMENTS 051 Applicability. The provisions of this chapter and appendices are applicable to, and shall be followed by, all NRC employees. 052 Wronodoina. Allegations of wrongdoing at NRC-regulated facili-ties, as opposed to those involving . technical issues, fall within the purview of the' Office of Investigations (allegations :of wrongdoing by NRC employees or - NRC~ contractors ' fall within the purview of OIA and are not ' entered into the. AMS). The Office or Region will enter allegations of 'wrongdoingL into the ; AMS using information provided by 01: (see Appendix .1.- Part IX.2 .of this-manual chapter). 01 will investigate allegations involving wrongdoing and provide either a report or a' suamary of its findings to the requesting Office c'r ' . Region. . : Allegations involving wrongdoing. received by a Region will be coordinated byL the Region DAC with the 01 Field Office Director .in:that Region. and those received : by Offices . at NRC Headquarters will- be ' coor-1
'dinated with the 01 0AC.
053 Action Office Assignments A11e'gations submitted by Lany? source; concerning NRC-regulated. activities should be' transmitted; by the-Receiving Office OAC to the OAC .in the appropriate Office or; ' Region for ' processing. Approved: 6
4 E JUL 171985 ; t m GEMENT OF ALLEGATIONS 'NRC'0517-054 1 054 Confidentiality. The identity of individuals makingjallegations. -; should not be revealed : by ' the NRC unless it is' clear = that the d individual concerned has no. objection. A confidentiality agreement (Exhibit 4) should be executed for those allegers who specifically - 1 request it, and should be offered for' execution to those allegers i who by their actions convey the ' inference that their. identity will- ' be protected by the NRC but who are apparently unaware that such'an agreement .is available. The offor of a confidentiality agreement-should be contingent upon. an assessment of the :usefulness:of the , j infomation provided, if such -a . determination !can be made in a .i timely manner. For other individuals, confidentiality need not be ; provided. ' As a general rule, however, the "need to-know" principle should be implemented for all. allegers. For. those. allegers with' a confidentiality agreement, this means that the identity of: the j source must be protected by . not referring to - the name: or other identifying information in discussions unless- absolutely i l necessary and by expurgating .the name and other' identifying i information free' documents before' disseminating these to the staff. For those allegers without a confidentiality agreement, this means
- avoidance of unnecessary use of the'. identity - of the source and other identifying;information in discussions and in' documents. It:
must be made clear ' to all' concerned if and on what' .tems the . anonymity of a person making an allegation is to be protected.'. . A l
- clear record should be maintained for the files to preclude .later misunderstandings.
The confidentiality agreement may be signed by Office Directors and-Regional Administrators Jon1 and may be transmitted to the: alleger for signature by mail or Tn person as convenience dictates. If'at. any time for any reason confidentiality is breached or jeopardized, l Office or Regional management should be Linformed, and ' the ' person should be advised, the reason explained . and, remedial measures taken, if possible, to reduce the impact of disclosure. Since 01 has established policies and practices for the protection ; of confidentiality for its activities, the above are not necessarily applicable to 01. ! 055 Responding to A11eoers. Those who provide allegations to:NRC. staff must be treated with respect, consideration, . and . tact. -: Under no circumstances should they be dealt with brusquely ~ or abusively. When allegations are received :in ? writing, aL prompt attempt to make personal contact must ordinarily be:made in.each l case either by a letter, telephone call or even a personal l meeting. ; Cuntact should be earnest and professional. , The "allegergshould be promptly advised . of . the results .of followup'. action 1and,(in instances of unusual delay in providing' the results, ?should be I advised of the status ' periodically so' that there is an awaren;essi that the allegation is not being ignored. - i 7' Approved: . ,
;y
, JUL 171995 l NRC-0517-049 KANAG NEh'i 0F ALLEGl. TION 5 056 Screening of A11ecations. Allegations should be screened for significance to safety and the more serious ones should be addres- 1 sed first. All allegations should be addressed as promptly as 1 resources will allow and as the need is identified. Screening i of allegations should be considered diligently to the point where some may be dismissed early in the process for logical reasons l (i.e., lack of specificity after reasonable followup, lack of l safety significance, etc.) to conserve staff resources. Followup l on allegations, whetter they are general or specific, should focus l not only on the specific allegation but on the overall area of I concern, including the potential for generic implications as well l as criminal activities. In this regard, note that an allegation l directed toward a non-safety item or activity may, through generic considerations, affect a safety item or activity.
When a number uf allegations point to or reinforce indications of a broader problem, prompt action to broaden the scope of the inquiry should then be taken to determine whether or not such is l the case. While the safety significance of an allegation is an l important factor in determining the extent and promptness of staff i resources commitment, it should not affect the staff tr.eatment of the alleger as discussed in section 055, above. ! 057 Timeliness of Resolvino Allegations. The Action Office should resolve all allegations in a manner which is timely under the circumstances and professional in scope and depth. Allegations having relatively high safety significance should be addressed - l expeditiously. Less significant allegations should be addressed as priorities and resources permit, but usually within 6 months of receipt. If it is appropriate, an inspection should be made. A plant visit with the person makinD the allegation should be made if necessary and if the individual is willing to make such a visit to find the exact location of a problem. Access issues I should be addressed on a . case-by-case basis. Travel costs for the individual only can be offered, if necessary, 'and are borne , by the Of fice or Region extending the offer. Care should be taken to avoid embarrassment or abuse of the individual, e.g. , schedule visit on off-shift / weekend, etc. 05B Involvement of Licensees or Other Affected Organization. For allegations involving a potentially significant and immediate impact on the public health and safety, the affected organization should be promptly informed to assure proper and timely action.' For other allegations, once information from -allegers is received and understood by the Office / Region and if it is deemed appropriate by the Office Director / Regional Administrator, the licensee / vendor should be advised specifically by letter of the area of concern l . and should be requested to address it, subject to further audit by 1 NRC, in order to minimize the expenditure of HRC resources. In all instances, however, confidentiality must not be breached and the effectiveness of investigations / inspections should not be com-promised, such as by prematurely releasing or appearing to release Approved: 8 -
M.171983 l 1 NRC- 0517- 055 FMGEMENT OF ALLEGWDG f an NRC inspection report (note exceptions discussed below). The alleger must be informed that this is not handing a matter over to the affected organization, but that NRC will review and evaluate ! the actions of the affected organization and perfors independent ! activities as necessary. The affected organization should be ' informed regarding the resolution of the allegation if appropriate (See Appendix I Part VIII). There are two exceptions to the above. The first exception is where the information cannot be released in sufficient detail to be of use to the licensee or vendor without compromising the identity of the confidential source. In such cases release should normally not be made unless the release is necessary to prevent an imminent threat to the public health and safety. The EDO shall be consulted in all cases where it appears there is a need to release the identity of a confidential source. The second exception is where a licensee / vendor could compromise an investigation / inspection because of knowledge gained from the release of information, especially if wrongdoing is involved. The Regional Administrator for inspections and the Director of the Office of Investigations for investigations shall decide whether or not to release the information to avoid compromising NRC action. Release of information to a licensee / vendor' is expected to be the exception for 01 investigations. Note that 10 CFR 19.16(a), involving radiological working condi-tions, requires that a worker's allegation in writing be made available to the licensee no later than at the time of inspec-tion, and that confidentiality be provided at the worker's request. In addition to expurgating names and other identifying information, protection of confidentiality could also involve retyping an alleger's handwritten notice. In the event the potential for wrongdoing is involved, 01 should be requested to perform an investigation in which case the licensee would not be informed. 059 "Last Minute" A11ecations. When a large number of issues are raised at the same time, as has occurred with several plants as they approach issuance of an OL, the difficulties . in executing l the above policy guidelines are compounded. Consideration should l ' be given to organizing a task force, comprised of both headquarters and regional personnel with a senior NRC manager as the task force leader, to resolve these issues within the usual short time frame between the date the issues were identified and the proposed date for issuance of an OL. A high degree of organization- in the initial stages will be required in order - to deal with these particular situations. To consene NRC resources 'in . resolving these large numbers of issues, the involvement by the licensee except as noted above will be appropriate. It may also be. quite appropriate to categorize the large number of issues into two 9 Approved: i
i JUL 171985 l MANAGEMENT OT t.LLEGt,T10N5 NRC 0517-058 genert.1 groups, one group in which the issues are judged to be ! significant and therefore require resolution prior to OL issuance, and a second group in which the issues are of lesser importance persitting resolution over a longer time frame, even subsequent to l OL issuance. Within the former group,. subdivisions may be j appropriate consistent with the planned stages of licensing for l the facility (i.e. , criticality, 5% power, full power), j 1 060 Appendix 1. This appendix provides . procedures for . receipt, control, processing, and - disposition of allegations assigned to NRC Offices or Regions and the proceducts and guidelines = used to j record the . receipt, status, and disposition* of allegations in the ! AMS. END l s i i i l i i l
.l l
l 1 5 Approved:. 10 , , m
4 WL 171985-MANAGENEC 0F ALLEGATIONS APPEKDIX 1 NRC 0517 PROCEDURES FOR SCREENING, ASSESSING, AND C0h7 ROLLING ALLEGATI0HS AND FOR ALLEGATION MANAGEMENT SYSTEM-(AMS) Part I: General-This part establishes procedural guidance for screening, assessing, and - controlling allegations that come to the attention of the NRC staff. . These fun'ctions are to ' be established within each Region and Office under the-control of an individual Office Allegation Coordinator (OAC), or a panel cf staff personnel or other appropriate staff technical persons. The Regions and Offices will establish procedures consistent with this ~ guidance and - where appropriate provide the required training. to ensure that' their staffs I are fully informed regarding the proper manageaient of allegations.' Allegations pertaining to NRC-licensed facilities and activities may come to the attention of the NRC staff by telephone, letter, news media reports, or by direct verbal contact at sites,- in offices, at meetings, and even at social functions. All allegations, no matter how originated, are subject to processing in accordance with this manuel chapter. It is imperative that allegations be recognized as such by staff members and processed pro-fessionally, promptly, and with consistent treatment. It is very important to note that where safety is involved, . the NRC' does not recognize the ters "of f-the- record. " A11egers who wish to provide > off-the-record information must be clearly advised that information impor-tant to safety cannot be treated off the record, but that the information l will be accepted officially and acted upon as necessary. The riame of. the alleger and other identifying information will be protected, however, under the confidentiality guidelines presented herein.- Any employee who receives an allegation must be aware that it is essential ! to protect the identity of the alleger if such anonymity :is requested or implied by his/her actions (i.e. , an alleger who employs circuitous means , I tr, contact the NRC or makes several phone calls anonymously and then subse-
- quently identifies himself as the one who has been making the" anonymous calls). To this end, coordination with the appropriate Office or : Region Allegation Coordinator must comply with the confidentiality guidelines discussed separately (Basic Requirement 054). If necessary, ythe identity. '
of an alleger may be revealed, but only if a confidentiality -agreement has not been executed. As a general rule, the "need to know" principle; should be used when dealing with the protection of a person's identity.- NRC employees, particularly resident and regional inspectors,. regional supervisors, and DACs who are expected to receive the majority of allega-tions, should become fully familiar with the prescribed policios and proce- { dures to ensure that the required actions are perfomed. It is the responsibility of all employees who receive allegations to ltake whatever steps are necessary to ensure that an appropriate OAC is promptly' informed. Whenever possible, the person making the L allegation should be referred to either the OAC, cther individus1s as designated by the. Region or Office, or arrangements should be made for the OAC or designated staff memberL 1 to recontact the individual.- I Al-1 Approved: 1
d II 1985. ! HR: tr. ; /MUDIX 1 MANAGEMENT OF ALLEGATIONS' Part II:- The Office Allegation ~ Coordinator (OAC)
- 1. The initial responsibility of the OAC is to identify the proper Action Office to which the allegation:should be assigned for evaluation and resolution or Regions). in coordination with other DAC's (either ' in. the Offices -
- 2. The OAC serves as a focal point for administrative processing and con .- )
' trol of all allegations assigned to the Regions and offices. . The DAC -l is responsible for tracking allegations -from initial receiptE to final J resolution. The OAC assures establishment and maintenance of files that clearly identify allegations assigned .to' the ' Region- or Office . and documents actions initiated to resolve such matters. The OAC - ensures that management "and cognizant staff are informed of allega-tions under their purview, kept current on the status :of such alle-gations by providing accurate and timely information- to the AMS, and' briefed on the proposed final resolution of allegations. . The OAC also ensures that the final resolution is properly. documented.-
- 3. The OAC assists technical staff members who are reviewing allegation infomation, primarily. in the form of coordinating ~ activities neces--
sary to resolve issues. In addition, the OAC. may assist in: the' formulation of a course of action to resolve issues.
- 4. A panel, wMeh includes the OAC as au member, may' be designated, with the primary responsibility. to ensure that all . allegations .are promptly assigned and properly evaluated, and that the actions taken to resolve-the allegation, as well as the' resolution,- are properly documented 'and transmitted priate.
to the alleger and the affected organization; as . appro- i l
- 5. The OAC will serve as the point of contact with DDL on_ matters involving discrimination. under Section Reorganization Act and will coordinate as210(a)' the: Energy-of l necessary with '0I' and the Enforcement St'affs.
Part III: Receipt of an A11ecation ,
- 1. A11eoetions Received by Telechone or Personal Visit' .
Any NRC employee who receives a telephone call from someone;who ' wishes > to make an allegation should have the caller transferred .to thel OAC? or appropriate technical staff member in ' the -Officei or? Region. Likewise, if an individual appears in person at an' NRC: Office,' thei , individual should be referred to the DAC.: or ' other :technicial" staff: member. s Technical employees, 'when unable toJrefer the telephone / call? , or the visitor 'as described.. shall obtain' as1 auch-~informationfas possible from the individual- (see ~ item 3, f below). ; Whenjunable.h to). ! locate the OAC or other technical staff acaber, administrative ee ; ; ployees should refer an individual to a ' technica1 r staffTsupervisor.; i Approved: . Al-2 '. y
1 s dM.171985 l KANAGEMENT OF ALLEGATIONS APPENDIX 1, NTI 0517 l
- 2. A11ecations Received by Mail 3 Personnel responsible for distribution of mail will forard cor- 'l despondence that appears to 'contain an allegation te .' tha ikC. Both letters and envelopes will be forwarded and no copies, will be made.
An employee who receives direct correspondence, including internal NRC i j memoranda, that contains allegations shall forward the correspondence to the OAC. All personnel who may come into possession of this type ! of correspondence also should be made aware that correspondence corr taining confidential source information should be transmitted in a sealed envelope marked "To Be Opened by Addressee Only;" for ' expedited transmittals (e.g., electronically), confidential source information should be deleted from correspondence.
- 3. Discussions with A11eper s i
Any employee receiving a telephone cell or visit, as discussed in item 1, shall attempt to obtain as such information as possiblo from the individual. It is crucial to identify:
- a. full name
- b. complete mailing address
- c. telephone number where the individual may be contacted
- d. position or relationship to facility or activity involu d
- e. nature of allegation If the alleger declines to provide the abova information, atterapt to establish the reason (s) using the following guidance:
Inform the individual that if so requested, his/her identity will be kept confidential. Explain further, if necessary, that Public Law 95-601 affords protection to the a11eger by prohibiting an employer from discriminating against an employee for contacting the NRC. Basic Requirement 054 provides further information regarding protection of confidentiality. The alleger may be informed that the NRC employee with whom he/she is in contact does not have the capability to evaluate the information, to determine follow-up action, or to establish NRC jurisdiction; therefore, it may be necessary that someone else contact the alleger for additional information. The alleger should be informed also, that--unless an objection is' registered--he/she the allegation. This will be recontracted as soon as possible regarding a letter to the alleger, may be done by telephone, personal visit, or by at an address design 7ted, which will also { acknowledge the receipt of the allegation. This process will permit i the alleger to review the information with the NRC to provide maximum ! assurance understood. that the information has been correctly interpreted and 4 a Al-3 Ap;: roved:
=
J-
/
JUL 171985 j DRC 0517. APPECIX l' KANAGEMEKi. OF ALLEGATIONS-
' If the alleger persists in not' offering' identification after the above explanations,' document the allegation in as much detail as possible-and advise the alleger that' he/she may contact the OAC or designated staff member in 30 days or any other agreed upon period, for information.on' !
-the status of any actions being . taken on the- information supplied.
For allegations of discrimination that fall under Section' 210(a) of the Energy Reorganization; Act, inform the allegers .that - NRC will look
'into the complaint and any safety concerns identified by the alleger,-
and that appropriate enforcement actions will be taken against : the employer if the allegation is substantiated.' To- assure. personal employee rights are protected, advise the ' alleger that" the complaint : must be filed with DOL within 30 days of. the occurrence. of the discrimination event.- Part IV: Action by the Receivino Employee and-the Office Allegation Coordinator (OAC):
- 1. When an allegation concerning a NRC-regulated activity is~ received, .the
, employee receiving the allegation will provide the'information obtained-to the Receiving Office OAC who will complete an NRC Form 307.- A11e-:
gation Data Form. The Action Office is . then identified and- the-completed fem is forwarded to the ~ Action ' Office OAC. Until' direct input / update capability is provided. to the Regions ~and '0ffices, a copy -
.of the completed fem will be forwarded to the. NRR DAC, and one copy. to the HMSS DAC, if appropriate - for the issue. NRC Form 307 serves as-notification to NMSS and NRR that an allegation' has been received that-may affect their licensing activity; NRR will enter the1 pertinent -
information in the AMS -in accordance with these procedures. , All- l allegations must be entered into the AMS. In this way an " audit trail" will be established so that NRC actions can be properly monitored and completed.
- 2. The Action Office OAC or other designated staff member will.. ensure ~
that the alleger is properly contacted to acknowledge receipt of; the allegation and to confirm the specifics of the allegation. Depending i on the nature of an allegation,' the OAC will provide . copies of the'- allegation documentation and the letter sent to' the alleger (with the alleger's identity and identifying information concealed)~-to' the cognizant technical staff supervisor for - evaluation andi.. initiation 'of action. Such copies also will be . forwarded to: 0!* Headquarters or to' the cognizant 01 Field .0ffice for infomation. - When responsibility for the handling of an allegation is transferred from one organizational unit to another, the alleger should be notified 3ofdthelnow:pointTof contact (name and telephone' number) by the individual who is relieved-as contact in order to assure continuity.- AL single Epoint 'of; contact , should be the rule. The OAC' will follow up on the' allegation with the, cognizant \ technicali staff supervisor at periodic intervals until- the matter / has been ,
- satisfacterfly resolvad. When the case is closed,E an; update' should' be made to that effect in the AMS.
1
.h i
.i . Approved: :Al-4
, ;q
( ~
):
" 31 } . &g v i tyMS '
I
- MNAGEKENT OF ALLEGATIONS ,
APP 5HDb J iS17
% Q ,3
- 3. The. 0AC will coordinate allegation /inforestion witt; thN tehnical 1 staff and may assist in. determining whether the. information is ruffi s cient to- identify the issue 5. If the3nfornation ' is ' uetes.indt. to 13$ .'-
insufficient, the OAC or designated staff member;wjl1~b5sist%fn : further contact with the alleger. A sitigle . point ofMs6ct with an < alleger provides s' means of better controlling communication Wids 'in neveloping rapport, - establishes ' continuity 'in the : flow? ofi$rformation between the Regions and L other: NRC . Offfcer,, and aid. in piMetion of
. the' alleger's identity.. s a.
- 4. The OAC assists the cognizant ' technical'istaff. _in identifying and ,.
separating the issuas involved in an allegction into'ons of the follow-ing categories: $M a.
; ,e Allegations that involve ~ purely technical matters ,- [uch' .'as:~
4 inadequacies in procedures, qualifications, : orL trainink hade . 3 quate implementation of ' procedures; . or. inadequate corrective. actions;' or overexposure (s) to radiation.- p
- b. Allegations that involve wronDdoing 90ch 'as: rebrd ' falsifi -
cation; willful or deliberate violatiov; . material false state- [/ ments; discrimination under Svetior. P 210(a) ' of - the Energy Reorganization Act; or other improper conduct. y
- c. Allegations that involve matters outsid thej juridiction of NRC.
- 5. Technical issues in category 4a involving.fafluM km met requiren\ts - "
have the potential for being willful or del b rate Yfoistions. Howsvar I in the absence of specific allegations of willfulneh 'or deliberateness', . such issues will normally be tracked separately ei technical issues and; c resolved using program resources. . If an allegation coversLissues~ that? i N N';i affect other Regions or Offices, follow-upe activities will' be.coordin- ' ated with the affected Offices and a Lead Office will be. designated. The OAC will contact the affected Offices which shou'd result.in a mutual 1 - agreement as to which Office or Region shouldfheve' the lead. If. agree- ! ment cannot be reached at the OAC level,; then they Regional Administ j trators or Office Directors will resolve which'0ffice or' Region ~ should. O take the lead. 4
- 6. Allegation:; in category 4b, should be referred' to Uk)1Tield or Head- ,
quarters personnel except for those involving' NRC amployees or,'NRC l contractors. . p
- 7. When applicable and after coordination, the Actio;n f 0ffiui ishohld i J notify other agencies such at the Occupational MdfetyJ andqHealthi ' " 'l Administration, DOE, etc. in dealing with. alleptionsgin ' category '
4c. Notification to other Federal law enforcementiagenciasca~nd ' - State and local jurisdictions. of possible ' criminality invoNeMin/ ' ' allegations should be handled by the -appropriate 101 Officeio;*Tthe
- Office of Inspector and Auditor (formattres.fallingwithin its-purview only.) , 4 Wp. W ,
,1 . )
g- 'k Al-5 A# roved:L 7,1 l
__ m n wC
~
x , J;;
.c '
- l ., x 4
. , (N O s,
44
'M-x,s K1135 XM tb7, Act ENDh I
~
MANAGEMENT OF ALLEGATIONS.
'i' ./
,. D^t .) ;
)
- 8. N OAC ensures that ie discrimination emcplainant under Section 210(a)
N ' c1 the Energy Lteorganization Act fis properly s referred to DOL (the j 2 , complaint must ' ;be filed witi DOL within .30 ' days of ~ its occurrence), ! and P t DOL inprosotly notified Jof thef comp 1 tint. Complaints should be f ed with the Office of theJAdministratorl Wage and- Hour. Division, ;
), 1 Er; cymera Standards Mairdstration, U. t S. . , Department of J Labor, Room i
!
- SLO 2, 200 Constitution Aver,uel N. . W. ,4tchington; D. ; C.< 20210. - The ;
Tipional Administrator or Office = DirectorJshculd .be promptly infomed. '
! Ge
- OAC' also ' maintains awareness of DOL's investigative -. intent . and ensures NRC consideration of the need for its own ; investigation by i
'].
\
i timely referral to 01. The-0AC rill take reasonable steps to facilitate-DOL's investigation by assisting' 00L in obtaining l access L to licensed; I
' facilities and .any necessary security l clearances. This type. of -
allegation a should miso be e%ored into the #ts. A 1
- 9. IfLan allegation isi , .
Offices and/or Regionn,with determined to = havetmt responsibilities gener,le may be implications, affected will other bl appropriately notified by the Action Officef(e.g., AECD for opera-1 tional data, RES fur concerns affecting - resterch activities, etc.) (" ' ( . 3 10. information regarding suspected improper conifut:t by NRC ea' ployees:and ; MC contractors will be brought to the attention ,of appropriate ; management for possible referral' to the Office of. Inspector and ; Auditor (01A). x L
. n ,
i Part.5VO Documenting Alleistions . ; 1. When an a'11egation is received . and the action office identified, a ! workin.g file should be established to cuntain all related dommentation concerning the allegation, including al1~ cor*espondence, memorandus' to 3' files, interviews, and summaries of telephone conversa;tions, discus-siens, and meetings. This file shall be maintained- in ethe official- ' files of the Action Office in en officia11y' designatted location. To ensure, proper evaluation, full and complete information Ahould be documente;D about each allegation. In addition - to E obtaining abasic i information, attempts
- t should be made , to expand and.'clarifyL the inforn tion so' that the h sue is well defined.- All , allegations,
" repedless of s turce or how . received, must bel documented. Records or 3'
. f% . centniningi'the name of .a confidential source' or other identifying.
information (i.e. a confidentiality agreement has!been executes) .6hould ! t.t ;straped This material contains confidentialLsource irefensation."- i ' m , .
- 2. '
There will be occasions dn the illegatibns obviouslyNave. no. sub-4 l stance and appear to represet a distortion; of facts. . HoweVer, evers l in these cases, documentation is necessary that : identifies' the cone tact, the general content of any communications,' and the basis for a. conclusica that the; entter need not be 4 pursued." Instances" such :as: these will be coordinated with the appropriate' technical - fataff? by! the CAC to ensure proper disposition. J
. n- , ,
i / .2 3. i The import $nce of obtainic.g cni documenting: all . partinant ;information about an allegation crnnot__ bu overemphasized. Evaluation ? amscreen-:, 1 , ing of the ?allegatier, as wen as the proposed course'of;sM. ion that i will be adopted to resolve the: issue will - 4 K based prinfarily3 on this information. In some cases, e perso,na;l interv)w with the y ^ ; Approved: - Al-6 *
; 1 JUL 171985' ! , i KANAGEMENT OF ALLEGO )Nu APPENDIX -1, NRC DE17 '
I elleger may be vttranted. In ' these' cases, the' OAC will consult with ' NRC management to - determinei the best way to obtain- the. details ; re- ' quired. Depending on the . nature of the allegation and the. time sensi- 1 tivity, assistance from. the Office of Investigations . (01)< or other resources may be requested.
- 4. As soon as possible after receiving an allegation or becoming aware of' informat % that indicates inadequate 'or improper l activities . , the .
person receiving the. allegation shall notify the DAC. - Normally, . noL action will be taken .to verify the validity ' of the allegations, not. shall such satters be discussed with licensees, if necessary, until after the OAC or designated staff' member has briefed . appropriate NRC manage ent.
- 5. The OAC or other designated staff member is responsible for reviewing all information received in conjunction with an allegation and for l ensuring that management and cognizant technical staff , members are fu11y informed.
l
- 6. Allegations normally should not be addressed in Preliminary Notifica-tions (PNs) or Daily Reports (DRs); however, if it_ is determined that -
PN or DR entries are appropriate, the approval of' an Office Director or a Regional Administrator should be obtained. .
- 7. If allegation documents must be sent to other NRC personnel, they should .
be appropriately handled to protect the identity. of the confidential- I alleger. The confidential alleger's identity or other identifying. information should not be released unless there is a "need to know" (See Basic Requirement 054). Part VI: Evaluation by Coonizant Technicel'$taff'
- 1. When an allegation package is received, the technical staff within the Office or Region will review the documentation to determine if there is a safety concern that requires immediate action. The. technical staff is responsible for development, initiation. . and follow-through on corrective actions. Allegations or documents containing a sub-stantial number of allegations once entered in .the AM5' can be screened -
using the following criteria:
- a. Is there an imediate safety concern which ' must. be quickly addressed? ,
f'i
- b. Is the allegation a' specific safety or quality issue or a gener- 1 alized concern? < .
- c. Has the staff previously addressed this issue?
- d. Determine whether the allegations- package ~. contains' sufficient 4 information for a thorough evaluation. If - it doesi not, identify-the additional information that is needed. '
Al-7 Approved: 4 j
f
- JUL 171985 KL m 7. APPENDIX 1 MANAGEMENT OF ALLEGATIONS
- e. Determine whether all aspects of the allegation are adequately defined and described to pereit or require a meaningful and exten- i sive evaluation. This is a screening process that may result in a !
i decision not to consider the allegation further. If the latter is ! the decided course of action, the a11eger should be so informed in l a courteous and diplomatic manner along with the rationale for not ! considering it further. The potential for adverse publicity must ' be recognized when taking this action. ! f. Determine whether the identity of the alleger is necessary fon a I thorough evaluation.
- g. Detemine what specific issues are involved in the allegation and whether the issues can be adequately addressed by a technical inspection. l
- h. Determine if the allegation can be examined and resolved during a routine, scheduled inspection. If this is not possible, deter- i mine the best way to address the issues.
i. Determine whether licensee / vendor resources can reasonably be used in resolving the allegation to conserve staff resources. Consider potential problems associcted with 6 turning the issue ! over to the licensee." , {
- j. .
Detemine whether the allegation has the potential to require l { escalated enforcement action.
- k. Detemine the time sensitivity of the allegation, and what immed-iate actions are necessary.
- 1. Determine whether investigative assistance will be needed.
- m. Identify peripheral issues that could develop. 1 l
n. Consider if any licensing actions or bored proceedings are pending which could be influenced or affected by the allegation. When an allegation involves a case pending before a licensing or appeal board or the Comission, information concerning it should be provided to NRR or Nd.SS as soon es possible to assist in the determination of whether or not a board notification should be made. This decision must be made promptly by NRR or NKSS in I accordance with office procedures.
- c. Determine if other NRC Offices that may have an interest should be notified.
- p. As soon as possible af ter the receipt of an allegation and the relevant information has been reviewed and evaluated, the Action Office will make a preliminary determination of the safety signi-ficance of the item and the need for it:=diate rsgulatory action.
- This determination will be reported in the next AMS upda.te.
Approved: Al-3 .
l JUL 171985 { MANAGEP.ENTOFALLEGATIONS ,, ADPECIr l, NRC OE17 3
- q. Establish a schedule for the resolution of each allegation which l is consistent with the licensing schedule, if applicable. l
- r. Notify the OAC or designated staff member when the status changes or action (s) is complete. '
- 2. It is the responsibility of the technical staff within the Office or Region to resolve each allegation that falls under its jurisdiction, and subsequently, to notify the OAC or designated staff membe of the i
action taken so that the status of each allegation can be tracked to closecut. Final resolution of an allegation shall be docunented and placed in the working file along with all supporting documentation. The final report should state the facts clearly, in a style that does not { belittle or disparage the a11eger. ) l
- 3. For those allegations resulting in the need for corrective action, the affected organization (s) shall be properly informed.
i Part VII: A11ecation Resolution Documentation ! 1. Allegation resolution documentation officially closes the file for ! that case and shall be placed in the working file which new becoines a closed case file. Closed case files shall be retired to inactive I storage through the Document Management Branch, TIDC, and destroyed according to the Comprehensive Records Disposition Schedule (NUREG-0910). Appropriate document;, including those necessary for an individual to understand the incoming allegation and its resolution, shall be placed in the NRC records system (PDR, LPDR, Docket File, : Subject File, DCS) and must be treated to protect the identity of the ' alleger.
- 2. A final report should be prepared that sets forth the facts about the allegation and its resolution clearly and conclusively. The final re-port can be a memorandum for a relatively minor matter, an investiga-tica/ inspection report, or a technical paper for a complex or major generic matter. It can be an SER supplement for multiple allegations proximate to OL issuance. It should not contain the name of, or r,aterial that could be used to identify, the ' alleger (See Basic Requirement 054).
- 3. The final report should include a summary of the concern., a descrip-tion of the evaluation performed and the conclusions drawn. It should be written in a style that does not belittle or disparage the alleger.
- 4. Appropriate entries should be made in the AMS' to close out the allepa'-
tion.
- 5. When the final report has been approved (i.e., the case is closed). all l allegation documentation is subject to release under the FOIA with appropriate precautions to protect confidentiality. Until that time,
'sil allegation documentation is exempt from release under the FOIA in accordance with 10 CFR 9.5 Exemption (7) due to actual, or the potential for, law enforcement action. File documents, however, are frozen by the F01A request for release when the case' is closed should a
! subsequent FOIA request be received. I. Al-9 Approved:
___7 6 K 1'! 1985. NRC 0517. APPENDIX 1 MANAGEMENT OF' ALLEGATIONS Part VIII:s Dissemination of Final Report
- 1. A copy of the final report shallibec sent to' the alleger and, if. appro-priate, to the affected outside. organization (s). A transmittal letter may be ne_eded to summarize the matter. N'.,, ,
- 2. As in Part VII.1 above, copies of the final- report shallj be ' placedL inL the NRC recceds system, ar.J should be treated so as : not to reveal Lthe identity of the alleger..-
- 3. The foregoing does . ggt apply to OI investigative reports. ><--- - -
PART IX: ALLEGATION MANAGEMENT SYSTEM
- 1. General
- a. For purposes of the Allegation Management System (AMS) the defini-tion provided for an allegation is very general and broad. . The significance or nonsignificance ' of ~ an allegation will be judged during the Action Office review and fellow-up activities. There is to be no screening of allegations for possible deletion prior to entering them into . the system (except of course for duplication of entries). The AMS should provide a vehicle ,for, collecting, storing and retrieving all key information regarding; all allega-tions. The Action Office determines. the necessary action .to be 4 taken based upon the specifics cf the case. . Some allegations may "
be received and closed out the same day. l
- b. The AMS provides basic descriptive and status -information and- ~
serves as a referral system. It identifies the office and staff l to contact for more specifics on an allegation.- Additionally, it -j keeps the staff informed as to how the allegation was' resolved l and provides reference to the close out' documentation.
- c. When an allegation is received, it lis not necessary to' identify by separate entry into the AMS every component...or - subset of the.
I allegation. For example, if an allegation . is received that con- - sists of 15 separate- concerns of wrongdoing. and - technica1 ' defi-ciencies, the allegation may be entered as one _ allegation. However, , the description of the allegation should include c the number ~off separate concerns and their subject area. In some cases, there may i be a distinct grouping of concerns, for exa r/le, in two areas such; as training and. quality assurance.' In such a ;. case 'it .may ' be appropriate to enter two allegations.. A main objective is to' ; ensure that the receipt of an allegation is entered and tracked'in - the system. An allegation is not completed -and closed until an ) Action Office supervisor determines that appropriate' action has . I been taken.
$ 2 O
Annroved:- ' A1-16
n n 1985- i MANAGEMENT OF ALLEGATIONS APPE CIX 1,'NRC 0517 { l
- d. Sensitivt infomation such as the names. of persons making allega- !
tions shall not be entered in the system. All. infomation entared. on the form shall'be unclassified and shal1~ not contain any safe-: , guards information or any proprietary or commercial (2.790) infor- -l pation. I
- e. Some allegations may require action by two or more offices. . For purposas 'of entering the allegation' into the AMS, either separate-entries- should be made~ for each Action Office for their assigned action or one entry may be. made with tae involved DACs. agreeing -
on the' lead Action Office for followup of the allegation. If i another Office is involved in responding' to an allegation, it I should be so indicated in the " remarks" section. I
- 2. Interfaces with the Office of Investigations
- a. The Office of Investigations has . jurisdiction'over all allegations of wrongdoing except those involving. NRC employees. or NRC ;
contractors and will forward all allegations of a technical nature- i to the appropriate Office _ or Region. The Office er. Region will be responsible for entering all allegations- even 'those under the , i purview of OI--into the AMS using a Region or Office AMS number. 1 i
- b. For those allegations of wrongdoing, except those involving NRC j employees or NRC contractors, assigned to- the Region; or. 0ffice:
(1) The Region or Office OAC will coordinate with the 01 Field' Director or 01 Headquarters . representative . to detersif(if
~
i sensitive information is included which should not be-placed 1 into the AM3. All sensitive information is tt be deleted-and the word " sensitive" put in its place. However an attempt i should be made to provide . descriptive material to assist.the AMS user to the maximum extent possible. (2) The ReDion or Office OAC will _ assign a' Region.or Office AMS number. The 01 assigned number should be entered in the AMS as a cross-reference. (3) The name and phone number of the 0I ; field' Director. or 01' Headquarters representative will be placed in the appropriate section of the form as the Action Office contact.
~
(4) The 01 Field Director will keep the:' Region or Office -0AC apprised of the status of. .the allegation investigation and-provide timely infomation necessary to detemine~ the: safety l significance of the allegation to- appropriate . Regional 1 ori Office management and for use in updating the AMS. 1 i Al-11 . 'Aporoved:.
4 7 JUL 171995' HR: 05D. tJPDDIX 1 MANAGEMENT OF ALLEGATIONS (5) The allegation' will be- considered. closed when the investiga-
-tion report has been issued and as'long as no technical issues j remain. If technical issues or an investigation remain. the allegation remains open, reference is made.,to the technical report or 01 investigation report if either is complete, and a i i
schedule for resolution of the ' allegation is' placed in the
-Allegation Data Form or in the AMS update. ] t
- c. For ~ allegations, of wrongdoing received by DI, the DI . Headquarters - i or Field Director will coordinate with the respective -_0ffice or Region DAC to complete the_ items 2.b(1) through (5), above.
d.
]
For allegations of a technical nature received by 01, tha OI Head- :i quarters or Field Director will contact the respective . Office or Region and follow the procedures as indicated in item 3 below for the Receiving Office.
- 3. Receivino Office i
Upon receipt of an allegation' involving an NRC-regulated activity, the person receiving the allegation will. provide the information rela- i tive to the. allegation (see Exhibit 1) to the OAC who will initiate 4 steps required to identify the Action Office 'and to enter the alle-gation into the AMS. The Receiving Office OAC should, in addition to detemining the ~ appro-priate Action Office, coordinate 'with the Action Office, and receive ) concurrence from the Action Office before transfer of responsibility.
- 4. Action Office. The Action Office shall :
- a. Complete that portion of the Allegation Data Form marked " Action l Office," assign an allegation number to it,~ and forward a copy of <
the form to the NRR OAC for entry into the AMS, and to the NMSS OAC, of the ifallegation appropriate, within 10 working days of the date of receipt for information. l
- b. .
I Provide AMS updates to the NRR OAC on a monthly basis by indicating updates on the previous month's status - report. Updates .. are due to NRR by the 25th of each month. All input- to NRR; for the AMS should be sent in " addressee only"' envelopes to, " Allegation ., Management System, Mail Stop 528. Completion of the follow-up - action for status report. an allegation vill be recorded by updating the monthly Name and telephone . of Office or Regional A11ega-tion Coordinators will be indicated at : the' top of L the L update ; sheets; any changes in the designation of 0ACs will be made~ here.
- c. As soon as possible after the receipt of an allegation and relevant infomation has been reviewed and evaluated...make a preliminary, determination of safety significance and: the. need for any regu ,
latory action. This determination will be reported in the next AMS- " update. Approved: Al-12' -
- l JUL 171985 1 -
MANAGEMENT OF AMEGATIONS APPENDIX 1,'NRC 0517-i
- d. Schedule the resolution of each allegation to 'be _ consistent with the licensing schedule and the . safety significance ofL the alle-gation.
, e. Make ~ a determination regarding. the need for a board notification ~
l ' to NRR .or NM55. If the. initial board notification is preliminary' -l in nature, a follow-up. notification '.is. sent toJ boardsEwhen 1 evaluation is completed,- or whenever significant relevant informa-tion is identified during the course of- evaluating the- allegation. This determination should be made_ as Jsoon as possible in accordance with the Action Office board notification procedures. i f. Develop and maintafn' a. working file for each allegation, which will ; i contain all related documentation.- .For those allegations comprised ! of multiple concerns, separate working files may need to be estab- l l lished for each concern. :
- g. Provide status information to the NRR OAC for the AMS -regarding items c-f, above.
- h. Thirty days prior to the construction completion date (appli- l cant's estimate) for .each pending OL, each Action Office will forward to the Division of Licensing /NRR, an evaluation ~ of the safety significance of all allegations not scheduled to be-resolved before the construction completion date, with a recom-sendation as to whether any or all of them constituta grounds for ' i delaying issuance of (or otherwise restricting) an: oparsting lic.ense. '
i i Thirty days prior to a Cournission decision' on ' authorizing full-power operation, a report similar to item h above,.will be prepared.
- j. Ensure protection of the identity of all allegers when confiden-tiality is requested or' implied by their actions.
5, NRR OAC
- a. Upon receipt of. an Allegation Data Form and' updates, the' NRR DAC will perform a quality cheek and will transmit the information:to-the Office of Resource Management (RM) for input' into the APS. l l
This . procedure will be . modified when direct inputf or ' update I capability to the AMS can be obtained for Officesfand; Regionsi
. b. NRR will coordinate' with RM to' provide Offices ~and RegionsLeonhly status. reports during the first week of each month.'. iThel monthly. ,
report will include a: 11st' of all. open allegations and f ailistcof: those allegations closed during~ the last 30' days; The; formatyfor; a the status report is provided (Exhibit 3). l4 W i
- 1
- ( 3, e
t
'4 ..,,.t l
*N,,
y y ,Q, . DEW >b
UUL 171985 yA42,GEMENi 0: ALLEGATIONS EXHIBfT 3, NRC 0517 l ALLEGATION DATA FORM NRC Fors 307 l
}. ALLEGATION NUMBER: - -A-J 2. FACILITY:
Name Unit No. Docket No. l
- a. f b.
- c. , j
- 3. TYPE OF REGULATED ACTIVITY: l O a. Reactor Ob. Vender O c. Meterials Od. safeguards )
D e. Other 1 4 MATERIALS LICENSE NUMBER: l
- 5. FUNCT10tiAL AREA (s): i 8 Oa. Operations O b. Construction O c. Safeguards l ::- Od. Transportation O e. Emergency preparedness Of. Onsite health and safety O g. Offsite health &nd safety g
. O h. Other .
5 6. DESCRIPTION: ,
.?
0 g 7. NU5th DF C0hCERN5:
- 8. SOURCE: l l Oa. Contractor employee O b. Licensee employee '
Oc. NRC employee O d. Fomer employee O e. News medie O f. Privatt citizen O 1. Anonymous Bg.h.Organization Other
- 9. CONFIDENT 1ALI H REQUt.51t.u: O Yes O he
- 10. DATE ALLEGATION RECEIVED: / /
1' 11. EMPLOYEE /0FFICE RECEIVING AICETKlTDN: ~ i 12. ACTION OFFICE CONTACT / PHONE:
- 13. SAFETY SIGNIFICANCE: O Ni h CJ Mecium O Low O kene
- 14. BOARD NOTIFICATION RECCH4ENDJ: C Yes C No .
- 15. 01 NOTIFIED: O Yes O No i
- 16. STATUS: !
l D open O Closed Scheduled Cecipletion Date: _/_/_ j Date Closed: / / - g 17. WAS ALLEGATIOC5 LEI 5TARTIATED: C Yes O No O Partially I C 18. WA5 ENFORCEMENT ACTION TAKEh: O Yes O ho O In Process ! g SEVERITY LEVEL: 01 0 11 0 111 O !V DV e 19. WAS O! INVESTIGATION PERFORMED: C Yes O he O In Process 5 20. DID DISPOSITION RESULT IN LETTER TO MOBIFY OR REVOKE LICENSE: . l t O Yes C ho 0 50.54(r) 0 30.32(d) 070.22(d) 0 40.31(b).
< Disposition: '
l l
- 21. ALLEGER HOTIFIED OF LLD5 LOU 1: 0 tes O ho j
, E2. REFARKS: l I 23._CR055 REFERLhCE
, 24. PROJECT MNAGER/PHohE: l c 25. APPLICANT'S CONSTRUCTION c0MFi.ulok DME: / l 3 26. BOARD NOTIFICATION ISSUED: O Yes O Fo _/- , l 0 l 3 -
l l i i 1 l l
, El-1 Approved:
JUL17 iS85 m 0517, EXHIBIT 1 M E N OT N M ONS INSTRUCTIONS- , , .
- 1. Allegation Muut>er Action Office fill in the boxes to uniquely iden ,
tify this allegation OFFICE official NRC office abbreviation for the-Office msponsible for followup activities. YEAR 1ast two digits of the calender year in which the allegation tas reported to NRC. A identifies this number as an allegation nunteer. . i NUISER sequential nuut>er assigned by the Office or Region responsible for the followup activities.
- EXAMPLE The 24th allegation received by IE in 4 1982 would be shown as IE-824-0324
- 2. Facility (ies) Give the name of the facility (ies) or campany(ies) )l Involved about whom the allegation is made. Write the .
cocket number, if appropriate. in the spaces .to ) the right. If the. allegation is made about a specific individual or if the information in this item is otherwise sensitive, write SEMSITIVE. If more than three facilities or companies are in-volved write EEMERIC.
- 6. Description Briefly describe the allegation (1 or 2 sentences).
Be concise. If an allegation includes several in-stances of technical deficiencies or wrongdoing, l list the assertions separately or group them by ) type. NOTE: If the description of the allegation is-sensitive. write only SENSIT!YE.
- 7. Number of Write the total nuutper of concerns given in the Concerns allegation. Note that each Office or Region any need to establish a working file for each concern, i
i
- 8. k rce Check the box that most clearly describes the !
I affiliation. DO NOT include the name of the indi - ' ' vidual making the allegation..
- g. Confidentiality Requested Indicate whether confidentiality has specifically been requested.
- 13. Safety provide an estimate of the safety significance of j Significance . allegation i
Example (a) Chett "high" for an alleged def t- I ciency in an operating plant that ' could have en 1smediate and great effect on public hetith and safety (b) Check " Low" for an alleged deficiency-l in a plant under construction that l would have a miner effect on public l health and safety- j
- 20. Did Disposition Cneck appropriate box (es) and briefly describe '
Result in Letter method of disposition (e.g., letter, tecbntcal ! to Modify or report, inspection report. SEE, etc.) and identify Revoke License document.
- 22. Remarks Include additional infomation as appropriate.
EIAMPLES: list other allegations related to this allegation; list other NRC offices responsible for followup activities on this allegation. '
- 23. Cross Reference Identify other related allegations end.investiga-
, tions by alpha-numeric designation..
- 25. Applicant's For plants under construction, enter the app 11 '
Construction cant's estimated construction completion date;- Completion Date there is no need to provide this inforention until 3 or 4 months prior to the ertlasted dete. ' '
- 26. b rd Notification Indicate whether a board notification was issued.
Issued t l Approved: U-2
i OUl.171985
. Kt.wt&'.ENT OF ALLEGATIO!G EXHIBI'i <' , hr 0517 l
- 1 E
I I 'E ". % - T ; " 4- E s_ - E *3*
.. .2.,l E . '
E REid 3 _ - l t ? - - . - - .-- aI.El s- e : e = x e e .:-i:, ow s"8E g. l a $
-.=.1
~ - -
E9, e -
- : a g
>M
=!!s!
Eins cp - - .. . . . - _ _ _ I 5g n W: 5 get-g ,, . af i$2bi
=
IzI-
. .Ty
; o o e o n e_ e e .
serl-I e 55"!! ndE .
,, , E- !
- c. -
E z W OS E o - e o e n . n 8 stan- ~
~ w tu~$)-!
WW
$- 1 R 1 '
5 6
" 5 2 4 E E =
" > 2~4' B'. t E E E R- .
E2-1 , Approved: ; _____-- - - . - _ - - _ _ - - _ - - . _ _ _ _ _ _ - - . _ _ . _ _ -- _ - . . - _ ---_--_--__o
. -JUL 171985 -
- EXHlBIT 3, NRC 0517-f? Ka,NtGEMEK1 0F #d.dGATIONS
. nego .amese W
WWWW W
... .emmem WWWWW' WWWW WWWWW e
W eg E EcEEEEmpec mEE mmeme E E E E m m e e E E E E R **eemeEst eE
.w W WeWWWWeges eWWe DO O Oww w w p p O O W WW WWS 9 999WWWSW og b e bwbbbbwwww evapoDWupp WDwbbmwwwwbbbbwwssbbbbbwwwwwbbbwh D w W p u p D O O O W u p w D D D D DwwwwwD96pg go eb 1 e
. I W'- '
H g * ,me.e-.: j
- Ei -e.eee-e.m.
e emmee e
-em m.e-m-~~~~~~.em.mmmmmm e
-.~~~~~~~ce ...m...>. ,,m eee---m ;
E E b e - - , - - n -e- n - - - - e , w u n w n n u m - - - , ,- ~ ~ - - - e e e m - - . e e ! g e. m. e. . e. e. . e. . e. e. e. m. e. . . . . . . . . e. e. e. . . e e. e. v. e. n. c. e. m. e. m. e. m. e e 1 m eewesomenw . wowneeeeeeeeewwwwwwwwwwwemsense e nNenneemer en eemenemme Nee eeeeeeeeeeewwwee m m-NkhemeNN NmeNe eee e e e e hWNwNNNNNNNmme>~>mm m . es m E EE W Eb 3 W, E'. W o a meEe ab e 88- - E EEi! W www=E EE Wu bbbbbbbbW E 555I.eI bbEmW W - mm IW spumw3EEde UweebbbbbbbbmemOWUUOwwwE0 mmEEm a m e >eeEwwSO . kes OmmmmmmmmeOS O > >> O E EwWW essWm-W wwwWw=msee WWwSENKEssEEWOOOWEW@esmas WWWWm a EEEE3We@>> D2Em*>>>>>>>3>>>DD3psw=mp SEEew' wb bbe% Wee b34WWWWWWWWhede Wee 9&S&WW9e 3 meSpp%BMG9 SpWOWWWwwwwwpOOOmme@%%CSwkmW583 e E . O 9 i
< n m 5
5
. m n r
- : t.
. E ~ em.-- - we .~
m m Nu seemeemmme.wwee w . m e w - - e e w - m- ~e ~ . m o ~ iae r. w e museeeeee-e s.woosesepe eemomew e emeemeeeeeeeepom--e e mewee-wesee eeeeeeeeeee-t W ; e meeeeeeeeeeeeeeeeeeeemossowessa w a o a es a a sedese esesoweeeesee see e a e e e oedeessesc > m e $ 44448 8 844 44848 8 8 8 8 I s8444444444W49 4 4444 8 9 e b > e me eaaseese aedessgassess eeae e eeeasemessmee C e a o e emecesesem a seemensemeensmse e ee e s s emmmmmeececos emeemmmeeeeeeeeeeeeemme s s wee e nnese s ea a e m es e a emmes e
= w>m>>emswm aesseeeeeeemseee ee aeeaemmeesemm m>tml 4 4 0 e a ea>mmmmmmmmmmmmg>>gmm e
m a mummmmmmmm mmWm mm mm m m m mm m m =M m m m m m m mm>mmmmm W w cuwwwwwunu a GE=E E E E E E u w w w w u K u m u u m u n unumw OEm a 0 m m'
- 2 -
- I 3
e b 's E' em 3 EE
== *
>g .
C m : W Em a > I e= De wp et e a a WWW g>W .e me u . es .= p e'
> 4 m.
e Ea e g i
>UEe mm a E w c WW WE '
sp E' .e .- w OEWWM se 49 ms = > U e l EU ; gE o W ee ODw> WD- gh me mmeu em> sm o s
<< SEUW aume End nu Uvu m ws mmc w est RE .
g 3 m$EE e mE4 , mm. mm s SO SEWWs.
- M
.E ' a p e a EE a gam- We -*-**NNN
- w W mm a* WE EEp
*swe>>>>>>>> .W e .W 'km>
e >>b b>w mE m*==mee== gem mb3
=
t megwNew> w.pWW WWWWWWWW o a W WWSeeW9m w EME wwwwwwww - em e g U *m E N WMW-*UUU W MEm wwwwwwww WWWWWWWWW gb W w w E = mpm44Wedste >>======= w gw , N' , > b EEEmembWUn
- E >>>>>>>> EEEEEggEE E>W weeSeeBeBS 6 ped og> bWP
- p essesbemm m>=E es -f e a w
o.uutee u mmentastEg edo WwwwwwWW>WWWWWWWWW wwwwwwssWbbbbbbbbbmeen3 mms gg Esm e N m c.ggge4WO44e E We * > > > > > > > > EWWww ww wwwp - m4'm,
- p m-WWWWWEEwwe Ske>E44444dSWswwwwwwwwe gg SS.
g g e EEEgNEkkm3 SS44WWWWWWWWWWWWWWWWWWWWmg bg y b w eesteRed44 meP9esemenesomemenomengmen SS O e e u-1 ; ' 4 j ; Approved: , ,
c - JUL 1719851 ,
,'. . yayGEMEld 0: ALLEGATIONS EXHIEIT 4, NRC 0517. <
CONFIDENTIALITY AGREDENT 1 have information that I wish to provide in confidence 'to the U.S. huclear Regulatory Coonission. (1stC). ' I request an express pledge of confiden.
' tiality as a condition of providing. this information to the NRC. ' I wi)1 {
not provide this information voluntarily to the NRC without such confiden. l
. tiality being extended to me.
j i lt is, my understanding, consistent with its legal obligations the KRC. by i agreeing to this confidentiality. will. adhere to the- following conditions:-
.I (1). The NRt d1i not identify .me by name er. pcrsonal . identifier in any MRC initiated document, conversation, or connunication released to the public which relates directly to the information provided by me. I ufoder.- ,
stand the ters "public release" to encompass any distribution- Outside cf' { j the NRC with the exception of other public agencies which may rtRuire this i information in furtherance of their responsibilities under law or. public trust. l l (2) The NRC will disclose my identity within the NRC only to the. extent required for the conduct of NRC.rtlated activities.- (3) During the course of the inquiry or investigation the NRC will also. t make every effort consistent with the investigative needs of the Counission i to avoid actions which would clearly be expected to result in the disclo. sure of my identity to persons subsequently contacted by the. NRC. At a later stage 1 understand that even though the NRC will make every reason. able effort to protect my identity, my identification could be compelled by - orders or subpoenas issued by courts of law. hearing boards, or similar legr.1 entities. In such cases, the basis for granting this promise of con. fidentiality and any other relevant facts will be, couramicated ' to the j authority tiality. ordering the disclosure . in an effert to maintain. my confiden. ! If this effort proves unsuccessful, a representative of the NRC < j will attempt to inforr. me of any such action before disclosing my identity. 4 1 also understand that the NRC will consider me to have waived sy right to confidentiality disclose if 1 take any action that may be reasonably expected to my identity. j I further understand that the NRC will consider se t to have waive ( sy rights to confidentiality if I provide - (or have pre. viously provided) information to any other party that contradicts the information that I provided to the NRC or if chtuestances indicate that 1 am intentionally previding false information to the NRC. Other Conditions: (if any) 1 have read and fully understand the contents of this agreement. 1. agree with its provisions. hu
- k=:
Address:- Agreed to on behalf of the U.S. .Muclear Regulatory Connission. a Date stenature lisme:
Title:
E4-1 Approved:- l\
~- -
[_ l
# 4 UNITED STATES
- 34. .M. NUCLEAR REGULATORY COMMISSION
/ REGloN IV g ,,
611 RYAN PLAZA DRIVE, SUITE 1000 ARLINGTON, TEXAS 76011 NOV 8 71l185 l l l Regional Office Policy Guide No.1003, Revision 0 I TYP1NG 0F ESCALATED ENFORCEMENT PACKAGES A.
Purpose:
1 To establish regional policy for centralizing the responsibility for the. l typing of all escalated enforcement actions emanating from Region IV with' I the exception of those originating from the Uranium Recovery' Field.0ffice. B. Discussion: The Office of Inspection and Enforcement (IE) has requested that a draft escalated enforcement package be submitted for IE review within (1) six weeks was foundfollowing)the or (b eightdate of an weeks inspection following wherein the date anapplicant of the apparentor violation l licensee response letter to a previous escalated enforcement action. In order to provide for priority typing and ensure consistency in format, the Enforcement Staff Secretary will perform the typing of all escalated enforcement actions proposed by the Division of Reactor Safety and Projects and the Division of Radiation Safety and Safeguards. These ar.tions include cover letters, notices of violations with concomitant' notices of < deviation, and orders but does not include the associated inspection i reports, which will continue to be prepared by the applicable divisions. All escalated enforcement packages will t,e typed in accordance with the IE Manual Chapter 0400 formats. C. Action: l
- 1. The section chief or inspector charged with initiating the escalated enforcement s tion will provide the Enforcement Staff Secretary with the necessary information that enables the typing of a complete draft package. At minimum, this information includes:
- a. The facility docket number, license number, an'd other pertinent details.
- b. The dates of any relevant inspections.
- c. A handwritten draft of the violations with concomitant deviations or order. Escalated enforcement actions involving potential wrongdoing should be discussed with the Enforcement Officer or Allegations Coordinator prior to including that information in the draft material.
Fern- ? 9- Wo c/7
O Regional Office Policy Guide No. 1003, Revision 0 l 1
- d. The tentative divisional decision as to whether a civil penalty I will or will not be proposed.
- e. A list of those in the division who should concur on the package.
- 2. The proposed package will be draft typed and stored on the IBM 5520 and returned by the Enforcement Staff Secretary to the requester.
- 3. Needed revisions to the package that are identified during the ensuing management review will also be perforned by the Enforcement Staff Secretary upon request.
D. Contact. i i Any comments regarding the information in this policy guide should be i referred to the Enforcement Officer. ' E. Effective Date: This policy guide is in effect when issued..
,' .J j
. (Ec$b'la Robert D. Martin Regional Administrator j Distribution List C l
l l l l
);
UNITED STATES yx. -/, NUCLEAR REGULATORY COMMISSION hb' + REGION IV
# 611 RYAN PLAZA DRIVE, SUITE 1000
\ ,, ,
ARLINGTON, TEXAS 76011 DEC 0 41995 l, l l Regional Office Policy Guide No. 1001, Revision 1 HANDLING 0F CONFIRMATION OF ACTION LETTERS l A.
Purpose:
To provide centralized control of Confirmation of Action Letters (CALs) and to establish a uniform format for CALs. l B. Discussion: f In ordtr to assure that there is proper accounting and followup of CALs, a i method of centralized control is being established. A format and standard boiler plate is being provided for uniformity. I C. Action: The Division of Reactor Safety and Projects (DRSP) and the Division of I Radiation Safety and Safeguards (DRSS) will initiate CALs within each of their areas of technical responsibility; e.g., a health physics related l issue at a reactor facility will be the responsibility of DRSS. The boiler plate and format indicated in the Enclosure should normally be i followed in the preparation, of the CAL. The Regional Administrator's 1 Secretary will maintain a master log of CALs. The Enforcement Officer , will concur on all CALs and closure documents prepared by the Region. l
- 1. Upon the determination to issue a CAL, the following actions will be taken:
- a. A CAL number will be obtained from the Regional Adrrinistrator's !
Secretary. This number will be entered for referr.nce purposes next to the docket number (e.g., 50-XXX/ CAL 85-01.) on the top lef t side of the CAL.
- b. Tne appropriate Division Director's Secretary will assure assignment of an RIV Action Item Tracking Number.
- c. A copy of the CAL will be provided to the Regional Administrator's Secretary along with the RIV Action Item Tracking Number assigned by the appropriate division. Subse-quent revisions characters to a number to the CAL CAL will be 50-XXX/
(e.g., identified by 85-01A CAL adding). alphabetic Note, however, that IE Manual Chapter 0400 specifies that if extensive corrective action requiring l Foza- e1- % j C/8'
y i DEC 0 41985 Regional Of fice Policy q Guide No. 1001, Rev. 1 ' commitments longer than 30 days is necessary, then a confirmatory order must be used.
- 2. In the event of a so-called reverse CAL, i.e. a letter of commitment to NRC from a licensee , the following actions will be followed:
- a. A CAL number will be obtained from the Regional Administrator's-Secretary. This number will be assigned to the reverse CAL.
.I Subsequent correspondence to the applicant or licensee will have this CAL number (as modified by the appropriate alphabetic character) next to the docket number.
- b. The appropriate division secretary will assure that the verification of confirmation of actions is entered into the Region IV Action Item Tracking System.
- c. A copy of the reverse CAL will be provided to the Regional l Administrator's Secretary along with the RIV Action Item Tracking Number assigned by the appropriate division.
- 3. When a CAL is to be closed, the following actions will be taken:
- a. Completion of the confirmatory actions will be verified.
- b. The basis for closure of the CAL will normally be documented in an inspection report and/or letter.
- c. A copy of the document that closes the issue will be provided to ;
the Regional Administrator's Secretary .
]
D.
Contact:
Questions re0arding this policy guide should be directed to the Enforcement Officer. < l E. Effective Date: 1 This policy guide is in effect when issued
/
ff(( Robert D. Martin Regional Administrator i I
Enclosure:
l As stated j Distribution List C
l [q, UNITED STATES j [pj) /'g NUCLEAR REGULATORY COMMISSION l 5b /j j REGION IV Standard Format ani h, + ygg 8 611 RYAN PLA2.A DRIVE, SUITE 1000 Boiler Plate for CiLs'- ARLINGTON, TEXAS 76011 l In Reply Refer To: i Docket: 50-XXX/ CAL XX-XX Name of Licensee Address of Licensee City, State, Zip
Dear Mr. (LICENSEE CORPORATE MANAGER):
SUBJECT:
CONFIRMATION OF ACTION LETTER THE FIRST PARAGRAPH: This is to confirm the conversation between Mr. , (LICENSEE / COMPANY) and Mr. _ , USNRC, Region IV, on (DATE) . Based on our conversation, it is my un'derstanding that (LICENSEE / COMPANY) is taking the following action (s). (IN THE CASE OF SAFEGUARDS, THE LIST OF UNDERSTANDINGS SHOULD BE AN ATTACHMENT TO TliE CAL.) 1. 2. l 3.
- 4. etc.
THE FINAL PARAGRAPH: If your understanding of the above is different, please notify me immediately. Sincerely, Robert D. Martin i Regional Administrator 1 bec: DMBIE35(EmergencyPreparedness) DMB IE36 (50-Docket other than Emergency Preparedness) DMB IE07 (Materials) Director, DRSP, RIV Director, DRSS, RIV Director, Enforcement Staff. IE Enforcement Officer, RIV Secretary, Enforcement Staff, IE Secretary, Regional Administrator, RIV CERTIFIED MAIL-RETURN RECEIPT REQUESTED _ _ _ _ . _ _ _ _ . . _ _ _ _ m
j #d "'%g UNITED STATES y's /$ NUCLEAR REGULATORY COMMISSION
$i :- REGloN IV {
611 RYAN PLAZA DRIVE, SUITE 1000
*[ ARLINGTON, TEXAS 76011 I
DEC 2 31985 I Regional Policy Guide No. 1102, Rev. 0 l l CONCURRENCE ON ALLEGATION MATERIAL 1 A. Purpose; j To ensure that all outgoing allegation material is coordinated with the I appropriate Regional staff members. B. Discussion: l All documents transmitting allegation material generated by the Region 1 l and being sent to other NRC offices, licensees, applicants, members of l the public, etc., thould be concurred on by the Allegations Coordinator. The Allegations Coordinator will ensure that the subject material (1) has been properly coordinated with all Regional entities involved, (2) is l being transmitted under the signature of the appropriate Regional official, and (3) is being distributed to others with appropriate regard to the sensitivity of the subject material involved. ) C. Action: Regional secretaries who are preparing outgoing documents containing allegation related material should add a concurrence block for RIV:AC/MEmerson. D.
Contact:
Mark Emerson (Ext. 245). f E. Effective Date: This policy guide is in effect when issued.
, a'3 ru Robert D. Martin Regional Administrator I
Distribution List C Form- V7-Wo V9
1 d
/" " % UNITED STATES
.yT ,
, NUCLEAR REGULATORY COMMISSION
$- zJ REGION IV O 8 611 RYAN PLAZA oRIVE, SUITF 1000
%, ,8 ARLINGTON, TEXAS 76011 JAN 151966 l
l Regional Office Policy Guide No. 1004, Rev. O PENDING CODIFICATION OF ENFORCEMENT POLICY
,A.
Purpose:
To inform the staff of a codification of the Enforcement Policy that i pertains to operating reactor inspection and enforcement. ! B. Discussion-A revision of 10 CFR Part 2, Appendix C, which defines the NRC Enforcement I Policy, wes published in the Federal Register on November 20, 1985. That l revision added references to the vendor inspection program; however, one r vision was included which affects enforcement at operating power reactor facilities.
\
l I ! Supplement I, Section C, has been modified to add example No. 7, which states I Licensee failure to conduct adequate oversight of vendors J resulting in the use of products or services which are of defective or indeterminate quality and which have safety significance. . 1 This policy change is called to the attention of the regional staff for use in enforcement activities after the effective date of the revision, i February 18, 1986. C. Action: For the purpose of implementing this enforcement policy revision until further guidance from the Office of Inspection and Enforcement becomes available, the following actions are appropriate for inspections conducted after February'18,1986:
- 1. Inspection findings will be evaluated in light of this example to determine if a Severity Level III violation has occurred.
Fezst - 2?- %S~o 1//o
1 o .. a ; 1 ! l Regional Office Policy JAN 151986 Guide No. 1004, Rev. 0 1 1
- 2. Violations evaluated against this example must be based on findings which demonstrate the violation occurred due to inadequate vendor )
oversight. The use by a licensee of defective or indeterminate
- i quality components, by itself, is not adequate demonstration of a 1 breakdown in vendor oversight, j l
[* Regional management prefers that the use of the term " indeterminate" in l inspection findings be limited to those unusual circumstances wherein a l quality determination is not achievable within the licensee's capabilities ! or resolve. Regional management believes there are few cases where such l conditions actually exist.] . I D.
Contact:
For information concerning this Policy Guide, contact the Enforcement ) Officer. l E. Effective Date: This Policy Guide is effective when issued and will be cancelled when any appropriate additions are made to IE MC 0400.
// i f /
Gd $ tb 4( 5
,obert D. Martin j Regional Administrator Distribution List AB i l
# 44
- UNITED STATES g NUCLEAR RESULATORY COMMISSION N : ,Y REGION IV D [ F11 RYAN PLAZA DRIVE, SUITE 1000 ARUNGTON, TEXAS 79011 l
O 22 % I Regional Office Policy Guide 2230, Rev. 5 I l REACTOR INSPECTION REPORTS AND ASSOCIATED CORRESPONDENCE ISSUED TO REACTOR LICENSEES A. Purpose This Policy Guide will define the necessary steps to follow for issuirg reports and correspondence to reactor licensees. B. Discussion To describe the system for issuing inspection reports for reactor l facilities in operation or under constntetion that will assure proper report numbering, concurrence chains, and the appropriate distribution. C. Action i
- 1. Signing Inspection Reports and Associated Correspondence <
l,
- n. Letters transutitting inspection reports generated by the Division of Reactor Safety and Projects which involve clear reports, reports identifying deviations, and reports identify-ing Levels IV and V violations, will be signed by the Reactor Projeats Branch Chief, if no esenlated enforcement action is involved.
- b. Letters transmitting reports generated by the Division of Radiation Safety and Safeguards, which involve inspections of facilities assigned to the Reactor Projects Branch and which meet the conditions identified in paragraph C.1.a, will be signed by the Reactor Projects Branch Chief.
- c. Letters transmitting reactor facility summary investigation reports generated by the NRC Office of Investigation staff, and any associated correspondence, will be signed by the Reactor Projects Branch Chief.
Fo2 n - e7- W o C[// _ _ _ _ _ . _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ . _ _ _ _ . _ . _ _ _ . _ _ _ J
l Regional Office Policy Guide 2230, Rev. 5 d. Correspondence, other than the report transmittal letters, directed to the licensee, which is associated with the reports covered in paragraphs C.1.a, C.1.b. and C.I.c will be signed by the Reactor Projects Branch Chief. This correspondence includes interim acknowledgement letters requesting supplemental information from the licensee on an inadequate response to a
- violation or deviation; and transmittal letters (without reports l attached) that promptly transmit enforcement correspondence covering violations detected by RRI's early in a report period.
Transmittal letters containing licensee management action paragraphs (e.g., a request for licensee commitments to strengthen their QA/QC program) will be signed by the Director j of DRSP or DRSS.
- e. The Directors of URF0, IE, and other Program Offices will sign all orders issued to licensees. All other escalated enforcement i actions and associated correspondence directed to the licensee l will usually be signed by the RA or his management designee (i.e., typfcally a branch chief). A designee is normally permissible if the violation (s) being cited are categorized as either Severity Level IV or V and NRC is not aggregating such violations into a Severity Level III.
- 2. Distribution of Reactor Inspection Reports
- a. Report Distribution The distribution of an inspection report will be the responsibility j of the DRMA staff in accordance with Policy Guide 0200(2), l Revision 0.
Regional distribution of the report will include sending the original concurrence copy to the Document Management Branch (DMB) marked with the appropriate RIDS code; all inspectors involved in the inspection; resident inspector; branch and sectior chiefs to whom the facility is assigned; D/DRSP; Ret,ional Administrator; HIS section (along with original SF-766). IE Manual Chapter 0611, dated September 14, 1984, terminates the practice of routinely sending inspection reports to licensees for their proprietary review in accordance with 10 CFR Part 2.790(a) prior to piscing the ir.spection reports in the PDR, except in those cases as outlined in that MC. L-______.-
i Re ional Office Policy APR 22 886 ! l Cuide 2230, Rev. 5 l I I b. Draft Inspection Reports Draft inspection reports will not be delivered to anyone outside the NRC without prior specific approval by the Executive Director for Operations.
- 3. Inspection Report Numbers l The inspectors will obtain inspection report numbers from their l
branch secretaries. The branch secretaries obtain these sequential report numbers from the RSTS operator, DRMA. The inspector must enter the report number in the blank after " SEQUENTIAL REPORT NO." on the Inspector's Travel Request form prior to going on travel. If inspections are planned and begin during nonregular hours (e.g., during a weekend), then it is the responsibility of the inspector or his section chief to notify the branch secretary of this situation as soon as possible during regular working hours. l The responsible branch secretary must be notified promptly by the j inspector if an inspection is cancelled so that she can initiate a letter to the licensee cancelling the report number.
- 4. Concurrence Chain for Inspection Reports
- a. Inspection Reports without Escalated Enforcement and
"~~"~
Clear Reports (DRO." reports) Concurrence Chain: (1) Originator (prepares final report); (2) Originator's Section Chief; (3) Counterpart Section Chief (if inspection performed by another branch) (4); Counterpart Branch Chief (if 4.a(3) is applicable); (5) Originator's Branch Chief; (6) A11egatious Coordinator (if inspection report discusses allegations).
- b. Inspection Reports without Escalated Enforcement and Clear Reports (reactor reports prepared by DRSS)
Concurrence Chain: (1) Originator (prepares final report); (2) Originator's Section Chief; (3) Originator's Branch Chief; (4) DRSP Section Chief responsible for facility; (5) DRSP Reactor Projects Branch Chief responsible for facility; (6) Allegations Coordinator (if inspection report discusses allegations). 1 l
9 I Regional Office Policy APR 221986 Guide 2230, Rev. 5 i , 1
- c. Inspection Reports with Escalated Enforcement Action, l OI Synopses or requests for Enforcement Conferences j Concurrence Chain:
1 The concurrence chain will be the same as specified in i paragraphs C.4.a and C.4.b, in addition to adding Director, l DRSP; Director, DRSS (if C.4.b is applicable); and Enforcement j Officer.
- d. Concurrence Chain Format The concurrence chain will show the typed initials of the office, section, branch or division above the surname. This !
information will be provided to the typist by either the j 1 originator or the branch secretary. This will provide the I reader with the identity of the group originating the letter and various groups who have concurred in these documents. l EXAMPLE: RIV:PS-A PS-A RPB DRSP j Inspector JPJaudon JEGagliardo EHJohnson l D. Contact ; Any suggested changes should be marked on the current copy of this PG by l adding or deleting material as necessary and routing it through your i supervisor to Director, DRSP, for concurrence. 1 E. Effective Date This Policy Guide is a general revision and supersedes Regional Office Policy Guide No. 2230, Rev. 1 (3/25/83); Rev. 2 (9/15/83); Rev. 3 (2/31/84); and Rev. 4 (8/27/84). This PG is in effect when issued.
' 1--
l Robert D. Martin Regional Administrator Distribution List C l l l l l . - - - - - _ - - - _ _a
)
( )
*~
o 4 UNITED STATES a'- NUCLEAR REGULATORY COMMISSION r ( q'rl(4> 2E
% REGION IV N
k, ,f e 611 RYAN PLAZA DRIVE, SUITE 1000 ARLINGTON, TEXAS 76011 MAY 0 71986 Regional' Office Policy Guide No. 2231. Rev. 3 i STANDARDIZED REPORT LETTERS FOR RIV REACTOR LICENSEES A.
Purpose:
The purpose of using the standardized letters for inspect' ion reports and related correspondence is to bring about improvement in the quality.of this type of correspondence by using our automated typing equipment, and to expedite its preparation and processing as much as possible. B. Discussion: All inspection reports issued to the licensees of power and research reactors shall use the standard letters which are attached to this l Policy Guide (PG). .These standard report paragraphs and response. letters l are in the IBM 5520 system and will facilitate more timely preparation of our inspection reports. Deviations from this PG must be approved by the Director, Division of Reactor Safety and Projects (D/DRSP) prior to the preparation of the report, , i C. Action: I l Normally, the 10 CFR 2.790 paragraphs will not be used in an inspection report. However, if significant doubt arises regarding the proprietary nature of material in a report, use one of the paragraphs, as" applicable, < listed in Attachment 1. (See MC 0611 (10/24/84) for further guidance.) The standard report letters and responses to licensee replies are listed in Attachments 2 and 3, respectively. 3 i The document names for these letters, current lists of addresses, and
'bce' distribution for eachs11:ensee are in the 5520 as listed in 1 Attachment 4. The RIDS codes for various types of reports are also listed in this attachment.
l D.
Contact:
Any suggested chant,es.shculd be marked on the current copy of this PG by adding or deleting mater!.al'as necessary end routing it through your 1 supervisor to Director,J'fRSP, for concurrence. 2 Additional standardized'phragraphs or letters covering special report needs may be added to this PG by following the above procedures. ; j FoI + - P 7- Wo dg j i
4 s a Regional Office Policy MAY 0 71986 l Guide No. 2231, Rev. 3 E. Effective Date: 1 This Policy Guide is a general revision and persedes Regional Office Policy Guide No. 2231, Rev. 0 (4/11/83); ,2231, Rev. 1 (4/29/83); and PG 2231, Rev. 2 (9/13/83). This PC is effect when_is_ sped.
/
h{ s{
/
Robert D. Martin Regional Administrator Attachments:
- 1. Proprietary Paragraphs
- 2. Standard IR Letters, l Report Cover Page, NOV and Deviation
- 3. Standard IR Response Letters
- 4. IBM 5520 Document Names
.and RIDS Codes Distribution List C l
!a r MAY 0 71986 M
( ATTlCHMENT 1
.j; PROPRIETARY PARAGRAPHS ,
.tc-PROPRIETARY l - Power Reactors
*[
y . 3 In accordance with 10 CFR 2.790(a), a copy of this letter and the enclosure (s) '- t will be placed in the NRC Public Docutaent Room unless you notify this office, by telephone, within 10 days of the date of this letter, and submit written
', g) application.to withhold information contained therein within 30 days of the- ci date of this letter. Such application must be consistent with the- s' y .
requirements of 2.790(b)(1). _} 'N r . , I.
]
l PROPRIETARY 2 - Research Reactors , .f
, 1 I
In accordance with 10 CFR 2.790 of the Commission's regulations, a copy of j l this letter with the enclosed inspection report will be placed in the NRC's s l Public Document Room. If this report contains any information that you ' believe to be exempt from disclosure under 10 CFR 9.5(a)(4), it is necessary , that you (a) notify this office by telephone within 10 days from the date'of this letter of your intention to file a request for withholding; and c, ! (b) submit within 25 days from the date of this letter a written application l 1 to this office to withhold such information. If your receipt of this letter has been delayed such that less than 7 days are available for your review, , please notify this office promptly so that a new due date may be established. ] Consistent with Section 2.790(b)(1), any such application must be accompanied i by an affidavit executed by the owner of the information which identifies the document or part sought to be withheld, and which contains a full statement of the reasons on the basis which it is claimed that the information should be , withheld from public disclosure. This section further requires'the statement ' to address with specificity the considerations listed in 10 CFR 2.790(b)(4). The information sought to be withheld shall be incorporated as far as possible-into a separate part of the affidavit. If we do not hear from you in this 1 regard within the specified periods noted above, the report will be placed in I the Public Document Room. , l PROPRIETARY 3 - Research Reactor Safeguards Inspection (use for material control and accountability) In accordance with 10 CFR 2.790(d), the documentation of findings of your control and accounting procedures for safeguarding special nuclear materials and your facility's security procedures are exempt from disclosure. '
~
Therefore, the inspection report will not be placed in the Public Document ) Room and distribution will be limited. PROPRIETARY 4 - Power Reactor Physical Security Inspection The material enclosed herewith contains Safeguards Information as' identified by 10 CFR 73.21 and its disclosure to unauthorized individuals is prohibited ' by Section 147 of the Atomic Energy Act of 1954, as amended. Therefore, the 'i material with the exception of the report cover page whith is an inspection , summary, will not be placed in the Public Document Room. ,
\
.n .,d
.j
1 NAY 0 71986 n ATTACHMENT 2 I 1
- 1 RPB TORM LETTER 1 )
. . _ ,.= CLEAR INSPECTION LETTE.R ,
) In Reply Refer To: j Dce r.e t (a) : 50- (Refer to RON 2230 for i 50- correspondence issued to TUGCO)
~
ATTN: _ ) Gen tlemern This reieto to the inspection conducted by ,__ , _ _ , . . of this offia during the periorf of ectivities authorized by NRC (9perating Licensc / Construction Pernit) for , and tu che discussion of our findings with
, and other members of your etaff at the conclusion 1 of the inspection, i i
Areas examined during the in,3pection included _ Within these areas, the* inspection consisted of selective examination of procedures and representative records, interviews with personnel, and 1 observations by the inspector (s). The inspection findings are documented in the enclosed inspection report, q l Within the scope of the inspection, no violat.icos or deviations were j identified. ; unresolved item (s) is/are identified in patagraph(s) of the enclosed inspection report. l l We have also examined actions you have token with regard te previously I identified inspection findings. The status of these ite.eine is identified in paragraph of the enclosed report.
.~. w.
l 1 MAY 0 71925 j 4 6 1 1
)
1 I i Should you have any questions concerning this inspection, we will be pleased j to discuss them with you. { { Sincerely, j i
. Chief Reactor Projects Branch 3 I
Enclosure:
Appendix - NRC Inspection Report 50-50- , 1 cc w/ enclosure: I I l l l 1 l
PAY 0 7 TjP6 RPB FORM LETTER 2 j NV INSPECTION LETTER 1 In Reply Refer To: ) Docket (s): 50- (Refer to RON 2230 for 1 50- correspondence issued to TUGCO) l 4 ATTN: Gentlemen: This refers to the inspection conducted by _ of this office during the period of activities authorized by , NRC (Operating License / Construction Permit) { for , and to the discussion of our findings with
, and other members of your staff at the conclusion ]
4 of the inspection. f 1 Areas examined during the inspection included I Within these areas, the inspection consisted of selective examination of j procedures and representative records, interviews with personnel, and j observations by the inspector (s). The inspection findings are documented in j the enclosed inspection report. j l During this inspection, it was found thar certain of your activities were in I violation of NRC requirements. Consequently, you are required to respond to l this/these violation (s), in writing, in accordance with the provisions of Section 2.201 of the NRC's " Rules of Practice," Part 2 Title 10, Code of ) Federal Regulations. Your response should be based on the specifics contained in the Notice of Violation enclosed with this letter, unresolved item (s) is/are identified in paragraph (s) of the enclosed inspection report. We have also examined actions you have taken with regard to previously identified inspection findings. The status of these items is identified in paragraph of the enclosed report.
I i
, P.MY >* 7 $26 )
l d l The response directed by this letter and the accompanying Notice is not j subject to the clearance procedures of the Office of Management and Budget as i required by the Paperwork Reduction Act of 1980, PL 96-511. j i Should you have any questions concerning this inspection, we will be pleased j to discuss them with you. l Sincerely,
, Chief Reactor Projects Branch
Enclosures:
- 1. Appendix A - Notice of Violation
- 2. Appendix B - NRC Inspection Report 50-50-cc w/ enclosures:
l l l l
MAY 0 71986 RPB FORM LETTER 3 . DEVIATION INSPECTION LETTER I In Reply Refer To: Docket (s): 50- _ (Refer to RON 2230 for ! 50- correspondence issued to TUGCO) ATTN: Gentlemen: This refers to the inspection conducted by of this office during the period of activities authorized by NRC (Operating License / Construction Permit) ' for , and to the discussion of our findings with
, and other members of your staff at the conclusion of the inspection.
Areas examined during the inspection included Within these areas, the inspection consisted of selective examination of procedures and representative records, interviews with personnel, and observations by the inspector (s). The inspection findings are documented in the enclosed insnection report. During this inspection, it was found that certain of your activities appeared to deviate from accepted industry standard (s)/ commitment (s) made to the NRC. This/These item (s) and reference (s) to the standard (s)/ commitment (s) is/are identified in the enclosed Notice of Deviation. You are requested to respond to this/these deviations (s) in writing. Your response chould be based on the specifics contained in the Notice of Deviation enclosed with this letter, unresolved item (s) is/are identified in paragraph (s) of the er 'losed inspection report. I We have also examined actions you have taken with regard to previously i identified inspection findings. The status of these items is identified in j paragraph of the enclosed report. 4
)
l l i
. MAY 0 71986
_2_ i l 1 1 b 1
?
I l The response directed by this letter and the accompa. ring Notice is not subject to the clearance procedures of the Office of Management and Budget as ) required by the Paperwork Reduction Act of 1980, PL 96-511. i Should you have any questions concerning this inspection, we will be pleased to discuss them with you. Sincerely,
, Chief Reactor Projects Branch
Enclosures:
- 1. Appendix A - Notice of Deviation
- 2. Appendix B - NRC Inspection Report 50-50-cc w/ enclosures:
i
)
l
)
l l l _ _ _ . --_-___________________A
1 MM 07 &% RPB FORM LETTER 4 NV ONLY LETTER (no report) j In Reply Refer To: Docket (s): 50- (Refer to RON 2230 for 50- correspondence issued to TUGCO) l l ATTN: 1 Gentlemen:
- This refers to the inspection conducted by of this l office during the period of activities authorized by l NRC (Operating License / Construction Permit) l for , and to the discussion of our findings with
, and other members of your staff at the conclusion of the inspection.
Areas he:amined during the inspection included Within these areas, the inspection consisted of selective examination of procedures and representative records, interviews with personnel, and observations by the inspector (s). During this inspection, it was found that certain of your activities were in violation of NRC requirements. Consequently, you are requird to respond to this/these violation (s), in writing, in accordance with the provisions of Section 2.201 of the NRC's " Rules of Practice," Part 2, Title 10, Code of Federal Regulations. Your response should be based on the specifice contained in the Notice of Violation enclosed with this letter. l Details of this inspection will be included in a report to be issued in the i near future and identified as NRC Inspection Report . The response directed by this letter and the accompanying Notice is not . subject to the clearance procedures of the Office of Management and Budget as j required by the Paperwork Reduction Act of 1980, PL 96-511. 1 I l i m_______.... _ _ _ . . . . _ _ _ _
.i 1
l Yi 0 7 '?)Ct, l 1 Should you have any questions concerning this inspection, we will be pleased - to discuss them with you. Sincerely, i i
, Chief j Reactor Projects Branch ,
Enclosure:
Appendix A - Notice of Violation l cc w/ enclosure: i, l
'I 1
I l
, "[. ; ~ y,g, l I RPB FORM LETTER 5 j . INSPECTION LETTER (NV forwarded earlier) ') In Reply Refer To: q Docket (s): 50- (Refer to RON 2230 for a 50- correspondence issued to TUGCO) ATTN: , l 1 e Gentlemen: 1 This refers to the inspection conducted by of this office during the period of activities authorized by ] q NRC (Operating License / Construction Permit) i for , and to the discussion of our findings with .j
, and other members of your staff at the conclusion ]
of the inspection. l I Areas examined during the inspection included l Within these areas, the inspection consisted of selective examination of ) procedures and representative records, interviews with personnel, and ' observations by the inspector (s). The inspection findings are documented in the enclosed inspection report. i During this inspection, it was found that certain activities under your license appeared to be in violation of NRC requirements. The violation (s) reported in paragraph (s) of the enclosed inspection report was/were forwarded to you by our letter and Notice of Violation, dated ~_; 3 therefore, this letter does not require further written response. l unresolved item (s) is/are identified in paragraph (s) of the enclosed inspection report. We have also examined actions you have taken with regard to previously identified inspection findings. The status of these items is identified in paragraph of the enclosed report.
NAY 0 7 366 Should you have any questions concerning this inspection, we will be pleased .i to discuss them with you, Sincerely, ;
, Chief Reactor Projects Branch j
Enclosure:
Appendix - NRC Inspection Report l 50- 1 50- I cc w/ enclosure: i l i 1 1
i i FJ0' 0 71986 , 1 l RPB FORM I.ETTER 6 NV & DEVIATION LETTER 1 In Reply Refer To: l Docket (s): 50- (Refer to RON 2230 for j 5 0 __ correspondence issued to ".UGCO) i ATTN: i Gentlemen: This refers to the inspection conducted by of this office during the period of activities authorized by NRC (Operating License / Construction Permit) for , and to the discussion of our findings with
, and other members of your staff at the conclusion of the inspection.
i Areas examined during the inspection included Within these areas, the inspection consisted of selective examination of procedures and representative records, interviews with personnel, and observations by the inspector (s). The inspection findings are documented in the enclosed inspection report. During this inspection, it was found that certain of your activities were in violation of NRC requirements. Consequently, you are required to respond to this/these violation (s), in writing, in accordance with the provisions of Section 2.201 of the NRC's " Rules of Practice," Part 2. Title 10, Code of Federal Regulations. Your response should be based on the specifics contained in the Notice of Violation enclosed with this letter. Also during this inspection, it was found that certain of your activities appeared to deviate from accepted industry standard (s)/ commitment (s) made l to the NRC. This/These item (s) and reference (s) to the standard (s)/ commitment (s) is/are identified in the enclosed Notice of Deviation. You are requested to respond to this/these deviations (s) in writing. Your response should be based on the specifics contained in the Notice of Deviation enclosed with this letter. unresolved item (s) is/are identified in paragraph (s) of the enclosed inspection report. We have also examined actions you have taken with regard to previously identified inspection findings. The status of these items is identified in paragraph of the enclosed report.
W 0 ? ?;;'s The responses directed by this letter and the accompanying Notices are not subject to the clearance procedures of the Office of Management and Budget as required by the Paperwork Reduction Act of 1980, PL 96-511. Should you have any questions concerning this inspection, we v1.11 be pleased , to discuss them with you. 1 Sincerely, I l
, Chief l Reactor Projects Branch l
Enclosures:
- 1. Appendix A - Notice of Violation
- 2. Appendix B - Notice of Deviation t
- 3. Appendix C - NRC Inspection Report 50-50-ccw[ enclosures:
i l 1
.j
l
-l
. V2 0 7. 56 }J RPB FORM LETTER 7-ESCALATED ENFORCEMENT / ENFORCEMENT CONF. LETTER In Reply Refer To:
Docket (s): 50 , (Refer to RON 2230-for i 50- correspondence issued to TUGCO) 1 I ATTN: l Gentlemen: This refers to the inspection conducted by' of this office during the period of activities authorized by-NRC (Operating License / Construction Permit) for , and to'the discussion of our findings with-
, and other members of your staff at the. conclusion.
of the inspection. Areas examined during.the inspection included f Within these areas, the inspection consisted of selective examination of 1 procedures and representative records, interviews with personnel, and observations by the' inspector (s). The inspection findings are documented in. the enclosed inspection report. During this inspection it wcs found that certain of your activities appeared to be in violation of NRC requirements. As discussed in our telephone conversation of with (you/your). staff, we have scheduled an ! enforcement conference in our office at on to I discuss your understanding of (this/these) apparent violation (s), the reasons for occurrence, and your corrective actions. -We will also discuss any potential enforcement options available to the NRC, if appropriate. An agenda for this meeting is enclosed. ! unresolved item (s) is/are identified in paragraph (s) of the enclosed inspection report. l We have also examined actions you have taken with regard to previously identified inspection findings. The status of these items is identified in paragraph of the enclosed report. '
+
MI,Y ;" sas 1 > l Should you have any questions concerning this inspection, we will be pleased to discuss them with you. ; l Sincerely. l l
, Chief Reactor Projects Branch l
Enclosures:
I
- 1. Appendix - NRC Inspection Report )
50- J so-
- 2. Meeting Agenda i
cc w/ enclosures: { 1 1
1 NAY 0 7 G85 RPB FORM LETTER 8 INVESTIGATION REPORT LETTER (NO NV/ND) i In Reply Refer To: , Docket (s): 50- (Refer to RON 2230 for 50- correspondence issued to TUGCO) ATTN: Gentlemen: This refers to the investigation conducted by of the NRC Office of Investigations, Region IV Field Office, during the period
, of activities authorized by for .
This investigation was conducted to determine
. The findings of this investigation are summarized in the enclosed Syndpsis to the Inves-tigation Report.
Withir. the scope of the investigation, no violations or deviations of NRC requirements were identified. Should you have any questions concerning this investigation, we will be j pleased to d23 cuss them with you. Sincerely,
, Chief Reactor Projects Branch
Enclosures:
Appendix - Cover Page and Synopsis for NRC Investigation Report Case Number cc w/ enclosures:
MAY 0 71986 RFB FORM LETTER 9 INVESTIGATION REPORT LETTER (w/NV) In Reply Refer To: Docket (s): 50- (Refer to RON 2230 for 50- correspondence issued to TUGCO) l l l l I i ATTN: ; l l l l Gentlemen: l ' This refers to the investigation conducted by of the NRC Office of Investigations, Region IV Field Office, during the pariod ;
, of activities authorized by for the This investigation was conducted to determine The findings of this inspection are summarized in the enclosed Synopsis to 1 the Investigation Report.
During this investigation, it was found that certain of your activities were in violation of NRC requirements. Consequently, you are required to respond to this violation, in writing, in accordance with the provisions of Section 2.201 of the NRC's " Rules of Practice," Part 2, Title 10, Code of Federal Regulations. Your response should be based on the specifics contained in the Notice of Violation enclosed with this letter. The response directed by this letter and the accompanying Notice is not subject to the clearance procedures of the Office of Management and Budget as required by the Paperwork Reduction Act of 1980, PL 96-511. f Should you have any questions concerning this investigation, we will be pleased to discuss them with you. l Sincerely, l f l
, Chief Reactor Projects Branch
Enclosures:
J
- 1. Appendix A - Notice of Violation
- 2. Appendix B - Cover Page and Synopsis for NRC Investigation Report Case Number cc w/ enclosures:
M Y 0 7 53g l REPORT FORM REPORT l I APPEhTIX A/B/C U.S. NUCLEAR REGULATORY ' COMMISSION l REGION IV NRC Inspection Report: 50- License /CP: 1 Docket (s) : 50- Category: l Licensee: Construction Permit ! Expiration Date: ) Facility Name: ]
)
Inspection At. Inspection Conducted: I Inspector (s): ~
*NAME/ JOB TITLE /SECTION/BRANCil Date i (pars. ) {
i I l
- EME/ JOB TITLE /SECTION/ BRANCH Date (pars. )
l Approved:
*NAME/ JOB TITLE /SECTION/ BRANCH Date j i
l
- REFER TO REGIONAL OFFICE NOTICE 2230 FOR REPORTS BEING ISSUED TO TUGCO.
I i i 4 l
MAY 07 G66 . Inspection Summary Inspection Conducted (Report 50- ) Areas Inspected: Routine Nonroutine, anr.ounced unannounced inspection of I I _Re su lt s : Within the area (s) inspr.cted, no violations or deviations j were identified. j 1
***** OR ***** ;
I J Results: Within the area (s) inspected, violation (s) deviation (s) was/were identified ( , I paragraph (s) ), i
\
l I 1 l 1 1
MAY 0 7 506
. . 4 RPB FORM NV l 1
APPENDIX A ! i l NOTICE OF VIOLATION : 1 Docket No.: License No.: j l Permit: During an NRC inspection conducted on , (a) violation (s) of NRC requirements was/were identified. The violation (s) involved In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," 10 CFR Part 2, Appendix C (1985), the violation (s) is/are listed below: Contrary to the above, _ i This is a Severity Level violation. (Supplement ) ( /86__- ) e l l l 1
. MAY 0 ? 1526 Pursuant to the provisions of 10 CFR 2.201, is hereby =
required to submit to this office within 30 days of the date of the letter transmitting this Notice, a written statement or explanation in reply, including for each violation: (1) the reason for the violations if admitted, (2) the corrective steps which have been taken and the results achieved, (3) the corrective steps which will be taken to avoid further violations, and ; (4) the date when full compliance will be achieved. Where good cause is shown, consideration will be given to extending the response time. Dated at ; this day of 1986 ] 1 l
****** OR ******
Pursuant to the provisions of 10 CFR 2.201, is hereby l required to submit to this office within 30 days of the date of the letter , transmitting this Notice, a written statement or explanation in reply, ; including for each violation: (1) the reason for the violations if admitted, i (2) the corrective steps which have been taken and the results achieved, (3) the correct 1ve steps which will be taken to avoid further violations, and (4) the date when full compliance will be achieved. Under the authority of Section 182 of the Atomic Energy Act of 1954, as amended, this response shall be submitted under rath or affirmation. Where good cause is shown, consideration will be given to extending the response time. Dated at this day of 1986 i i l l l 1 l l l 1 l _ - ___ _ __ ____a
HEY C ? Yd$ i i RPB FORM ND APPENDIX B NOTICE OF D.EVIATION Docket (s): 50 ,_ License:
~~ Permit:
Based on the results of an NRC inspection conducted on (a) deviation (s) of your was/were identified.
. In The deviation (s) consisted of accordance with the " General Statement of Policy and Procedure for NEC j Enforcement Actions," 10 CFR Part 2, Appendix C (1985), the deviation is I listed below:
In deviation from the above, ( /86__- ) l I
' MAY 0 7 1985 - .~ ,
is hereby requested to submit to this office within 30 days of the date of the letter transmitting this Notice, a written statement or explanation in reply, including for each deviation: (1) the reason for the deviation if admitted, (2) the corrective steps which have been taken and the results achieved, (3) the corrective steps which will be taken to avoid further deviations, and (4) the date when full compliance will be achieved. Where good cause is shown, consideration will Se given to extending the response time. l 1 l Dated at i this day of 1986 l
. _________ - _____ _ A
MAY 0 71965 i ATTACEMENT 3 l RPB FORM LETTER 11 s RESPONSE - ADEQUATE In Reply Refer To: Docket (s): 50- ' (Refer to RON 2230 for 50- correspondence issued to TUGCO) ATTN: Gentlemen: i' Thank you for your letter (s) of , , in response to our letter (s) and Notice of Violation dated , 19__. I We have reviewed your reply and find it responsive to the concerns raised in ' our Notice of Violation. We will review the implementation of your corrective actions during a future inspection to determine that full compliance has been achieved and will be maintained. l Sincerely, l l 1 l
, Chief l Reactor Projects Branch I cc:
IGY 0 7196
]
1
. j RPB FORM LETTER 12 i RESPONSE - ACCEPTABLE (Original NV Involved Enf. Conf.
In Reply Refer To: j Docket (s): 50- (Refer to RON 2230 for 50- correspondence issued to TUGCO) { ATTN: Gentlemen: As discussed with you during the (telephone) enforcement conference, of , we regard the violation (s) discovered during this inspection with great concern and indicated that we would review your response (s), including the actions you propose to irprove management controls, to determine if additional enforcement actions are necessary. Thank you for your letter (s) of , , in response to our letter (s) and Notice of Violation (and Proposed Civil Penalty (ies)) dated . Based on our review of your response (s), we have no further questions at this time on your proposed corrective actions. We will review the implementation of these actions during a future inspection to ensure they have been effective in precluding future noncompliance. Sincerely, l
, Chief Reactor Projects Branch I
cc' l C _
i M2/ C ?idh RPE FORM LETTER 13 RESPONSE - INADEQUATE l 1 In Reply Refer To: Docket (s): 50- (Refer to RON 2230 for 50- correspondence issued to TUCCO) I ATTN: l l Gentlemen: Thank you for your letter of , in response to our letter and the attached Notice of Violation dated . As a result of our review, se find that additional information, as discussed with your Mr. . (during a telephone call on ) is needed. Specifically, i i Please provide the supplemental information within days of the date of this letter. Sincerely,
, Chief Reactor Projects Branch cc:
i l 1 u d
MAY 0 7 G06
. ~
RPB FORM LETTER 14 RESPONSE - 2ND OR SUBSEQUENT - INADEQUATE l In Reply Refer To: Docket (s): 50- (Refer to RON 2230 for 50- .,. correspondence issued to TUGCO) ATTN: Gentlemen: , l
\
, and Thank you for your letters, dated ,
, in response to our letters, dated , !
, and . We continue to be in need of additional information as discussed with your Mr. (during a telephone l
conversation /at the site) on . Please provide the supplemental information within days of the date of this letter. Sincerely,
, Chief Reactor Projects Branch cc:
- --_______m..____._____
l MAY 0 *t 1986 RPB FORM LETTER 15 RESPONSE - 2ND OR SUBSEQUENT - ADEQUATE In Reply Refer To: 1 Docket (s): 50- ~ (Refer to RON 2230 for l 50- _ , . _ correspondence issued to TUCCO) l I l l l l ATTN: Gantlemen: Thank you for your letters, dated j l , , l and , in response to our letters, dated l . and _. We have no further questions at_ _ _, ) this time and will review your corrective act. ion during a future inspection. i Sincerely, l l
, Chief i Reactor Projects Branch I cc:
I l
\
F w , N;Y O 'T 1906
, O, s" o ATTACLMENT 4-DOCUMENT NAMES
?)
A. Licensee Addresses (Code "GET" RPB ADD /CCd(page #)' I'
- j. c
._c bec'
/
GSU 1 2 HL&P .3 .4 LP6L- 5 6 .. hPPD' 7 8 l PSC 9 10 TUGC0 11 12 d
' ANO . 13 14' KG&E 15 16 , .3 z OPPD 17 18 '
TAMU;(50-059) 22 23 l U of Utah (50-072) 28 -- ! U of OK (50-112 19 20 l TAMU (50-128) 24 25 VA Hospital (50-131) 29 -- U of KS (50-148) 21 -- KS State U (50-188) '27 -- U of TX (50-192) 30 -- > U of NM (50-252) 31 -- 1, Brigham Young U (50-262) 32 -- USGS (50-274) 26 -- Idaho State U (50-284) 33 -- U of Utah (50-407) 34 -- U of TX (50-602) 35 -- B. Standard IR Letters RPB Form Letter 1 (Clear IR Letter) RPB Form Letter 2 (NV IR Letter) + RPB Form Letter 3 (Deviation IR Letter) y RPB Form Letter 4 (NV to Licensee Early; No Report) ^ RPB Form Letter 5 (IR Letter - NV.Sent Earlier) '! RPB Form Letter 6 (NV & Deviation Letter) RPB Form Letter 7 (Escalated Enforcement / Enforcement; Conf.) RPB Form Letter 8 (Investigation Rpt - Clear)- ,e ,; RPB Form Letter 9 (Investigation Rpt - w/NV j' Proprietary 1 (Power Reactor - 2.790 paragraph)- . ! Proprietary 2 (Research Reactor - 2.790 paragraph) . , Proprietary 3 (Use for Material Control and Accountability) p' ' ! Proprietary 4 (Power Reactor Physical Security)- . 1 RPB Form NV (Outline of Notice of Violation) l RPB Form ND -(Outline of Notice of Deviation)- '
'I RPB Form Report (Outline of Report Cover Page) . .r
-1 3
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ . - _ _ _ _ __ _ _L
I :1 P M/ 0 7 506 ) .,
- s. *. i, -
I
-:- i I
RPB Forr. Letter 11 (Response - Adequate) RPB Form letter 12 (Fespense - Acceptable [ Orig. NV Involved Enf. Conf]) R"E Forn Letter 13 (Responr,e - Inadequate) l RPB Forn letter 14 (Responste - Subsequent Inadequate) RPB Form Letter 15 (Response - Subsequent Adequate) RIDS CODES IE01 - Report /NV Response (50 Dkt) , IE02 - Safeguards 2.790(d) Report /NV Response (50 Dkt) . IE04 - Safeguard non-2.790 Report /NV Response (50 Dkt) IE06 - Environmental & Radiological - Report /NV Response (50 Dkt) IE35 - Emergency Preparedness J k l 1 i i l l l l
' l l
I
. _ - _ _ ..]
## *%c , N UNITED STATES g y" ~
n NUCLEAR REGULATORY COMMISSION h ;$ REGtON IV D 8 811 RYAN PLAZA DHIVE, SUITE 1000 { %, ,8 ARLINCTON, TEXAS 76011 4 i AUG 2 51986 j i 4 l l Regional Office Policy Guide No. 1005, Revision 0 DOCUMENTATION OF SIMILAR OR RECORDS-RETRIEVAL VIOLATIONS , A. Purpose : 4 ( To promulgate guidance on the documentation of (a) violations that are similar to previously identified violations and (b) violations related to ! unsuccessful records retrieval for NRC inspection, j B. Discussion: i Similar Violations: l It is a desirable regulatory goal to encourage and support licensee initiative for self-identification and correction of violations. One means to implement this goal is to not cite a licensee for a violation that meets all of the following tests.
- 1. It was identified by the licensee. I
- 2. It fits the category of Severity Level IV or V.
- 3. It was reported, if required. l t
- 4. It was or will be corrected, including measures to prevent !
recurrence, within a reasonable time.
- 5. It is not repetitive or similar to a previous violation. A similar violation should be interpreted as a violation which could have been reasonably expected to have been prevented by the licensee's corrective action for a previous violation. In general, we will evaluate the similarity of a perticular violation with other violations that have occurred over the prior two years or prior two E inspections whichever represents the longer time period.
Regardless of whether a licensee is or is not cited for a particular " violation, the inspection report shall provide a general description of each type of first time occurrence. However, it is not necessary to transcribe all examples, nor all of the specific details, since this records information is already available in the licensee's records and would be an inefficient use of inspectors' time. If the decision on citability has not been made at the time that the inspection report is a Forn - Tr 7-s'so C//3
w' , . f-Regional Office Policy Guide -2_ AUG 2 5126 ,., No. 1005, Rev. 0 l I ! being issued (e.g., the Notice of Violation is being held back pending I an enforcement conference), then the violation should be addressed and characterized in'the inspection report consistent with all other . j violations. (Note: Inspection. findings of non-compliance are always to 1 be characterized in inspection reports as apparent, possible, or potential violations. This is especially true for those inspection findings of escalated nature that necessitate enforcement conferences thus resulting in the issuance of the. Notice of Violation at a later date. .] Upon management's decision to cite a particular violation, then the adjective (apparent, possible, or potential) is not used in the citation. 1 Records-Retrieval Violations
- 1 d
When a licensee is required to perform a given task and to keep a record of having done so but cannot produce that record for NRC inspection, a violation has occurred. Consequently, the licenseelis subject to citation pursuant to the provisions discussed in the proceeding and following sections. The ability of a license's record system to retrieve suitable records for inspection should be commensurate with the safety significance of the , issue involved. A generalized or prescribed time frame for records retrieval is not desirable. In general, records that are of the type-that would typically not be involved in responding to an emergency should be retrievable on demand or within a matter of days. For such records that are not related to emergency needs and for which the licensee is unable to produce, the inspector should tell the licensee at the exit interview that the licensee may preclude a finding of noncompliance by submitting the requested records for review prior to the issuance of the inspection report. (The same opportunity holds true for other inspection findings related to open or unresolved items.) However, the issuance of the inspection report will not be delayed in order to afford the licensee additional search time. Albeit rare, for such records that are related co emergency needs and for which the licensee is unable to produce for inspection at the time of request, the finding of non-compliance will not be withdrawn even if the licensee subsequently provides such records prior to the issuance of the inspection report. C. Action: Inspectors and their management should be familiar with these licensee incentives discussed above and ensure that they are brought to licensee's attention and implemented into routine inspection activities. D.
Contact:
Suggestions of comments should be directed to the Enforcement Officer.
It l AUG 2 51986 l Regional Office Policy Guide . No. 1005, Rev. 0 E. Effective Date: l This Policy Guide is in effect when issu . l Y _- dh (a b Robert D. Martin Regional Administrator , I l l Distribution List AB , l I l l l l l 1 I i 1 1 i l I
[i 8 UNITED STATES 3 x NUCLEAR REGULATORY COMMISSION To * , 4E RLGtON lV
$, 811 RYAN PLAZA DRIVE, SUITE 1000
.Q ' ARLINGTON. TEXAS 70011 OCT 2 0 SB6 Regional Office Policy Guide No. 1006 DEVIATIONS A.
Purpose:
To inform the staff of a pending change in IE Manual Chapter 0400 concerning deviations. B. Discussion: The Director of Inspection and Enforcement has informed the Regional Administrators of his intent to revise IE Manual Chapter 0400. The
,:hange will specify a more restrictive definition of.a deviation. A deviation will be defined as follows. A licensee's failure to satisfy a stritten comitment; for example, an FSAR commitment to conform to the provisions of applicable codes, standards, guides, or accepted industry practices, when the code, standard, guide, or practice involved has not teen made a legally binding requirement by the Commission.
Accordingly, it will no longer be acceptable to cite licensees or applicants for deviations against applicable codes,' standards, guides, or accepted industry practices for which a written commitment has not been submitted. For some situations involving utilities, provisions do exist for citing deviations agair.st non-committed practices and the like via the backfit policy's procedures. C. Action: Effective immediately the notices of deviation prepared by the technical staff shall conform to this guidance. D.
Contact:
Any comments or questions should be directed to Dale Powers, Enforcement Officer (ext.195). E. Effective Date: - This Policy Guide is in effect when issued. l Robert D. Martin M D YO Regional Administrator Distribution List AB b L__ _ _ __- - - _ _ - - _ _
l . ,e..., c# c UNITED STATES 3i- . NUCLEAR REGULATORY COMMISSION i i; REGION IV h, y, e 611 RYAN PLAZA DRIVE. SUITE 1000 ARLINGTON, TEXAS 76011 DEC 2 21986 Regional Office Policy Guide No. 1002, Rev. 2 ENFORCEMENT CONFERENCES i 1 A.
Purpose:
To describe the purpose for holding enforcement conferences, the associated' l necessary coordination among staff, and the manner in which enforcement conferences will be documented. This Policy Guide supplements that guid-ance given in Policy Guide No. 1901. j B. Discussion: When NRC becomes aware of a potential violation or particular situation for which a civil penalty or other escalated enforcement action may be warranted, the NRC will normally hold an enforcement conference. The enforcement conference will be held prior to the issuance of an order or , a Notice of Violation that cites a Severity Level I, II, or III violation or numerous Severity Level IV or V violations that collectively warrant an enforcement. conference. However, when needed to protect the public health and safety or common defense and security, enforcement action such as the issuance of a confirmatory action letter or an immediately effective order modifying, suspending, or revoking a license may be taken prior to the enforcement conference. The purpose of an enforcement conference is to: (a) discuss the violations, their significance and root causes, and the applicant's or licensee'scorrectiveactions;(b)determinewhetherthereareany aggravating or mitigating circumstances; and (c) obtain information that will help NRC determine the appropriate type and level of enforcement action. During the course of NRC's interaction with the licensee, certain predecisional information developed by the NRC should not be released to the licensee. Information, but not predecisional documents, identifying potential items of noncompliance is appropriate for release to the licensee to assure corrective actions are initiated to obtain compliance. The severity level of a violation or the nature of an escalated enforcement action may change, however, during the review of the matter in the Region and/or at Headquarters. This is especially true regarding those matters on which the Commission must be consulted before taking enforcement action. Therefore, predecisional information regarding such things as potential severity level, civil fe llf -P 7 -WO d/c
..m .
( l DEC 2 21986 : Regional Office Policy Guide
- l No. 1002, Rev. ? .
4 penalty amount, or nature / context of an order are not appropriate for discussion with the licensee without the concurrence of the Director, Office of Inspection and Enforcement. C. Action:
- 1. Inspector: The rield inspector should promptly notify the immediate supervisor or the first available member of line management when an apparent violation is discovered of sufficient significance that escalated enforcement action may be warranted. This is especially important when the noncomplying activity or condition is likely to persist.
- 2. Division /URF0 Director: Division /URF0 management will brief the Regional Administrator and the Enforcement Officer on all inspection findings of escalated nature at the time of notification or at most one or two days following the return of a. region-based inspector to the Regional /URF0 office. Potential escalated enforcement cases against utilities or reactor licensees that are identified by_DRSS personnel should also be brought to the attention of the Reactor Projects Branch Chief. Potential escalated enforcement cases iden-tified by URF0 personnel will also be brought to the attention of the-Director, DRSS by the Director, URF0.
- 3. Regional Administrator: The Regional Administrator will decide whether to hold an enforcement conference and, if so, which level of Regional management will conduct the conference. (Note: Upon receipt and review of reports from the Office of Investigations, the Regional Administrator may decide that an enforcement conference is warranted without having the Region first conduct an inspection.)
- 4. Division /URF0 Director: Division /URF0 management coordinates with the applicant or licensee and the Regional staff including the Enforcement Officer to schedule the enforcement conference, which will normally be held approximately four weeks following the inspection finding and 3-5 days after licensee receipt of the issued inspection report.
The inspection report transmittal letter will normally confirm the date and time of the enforcement conference. Division /URF0 management will route a Notice of Significant Meeting through the Division (s) and the Enforcement Officer for concurrence. The letter transmitting the Notice will also contain a proposed agenda for the enforcement conference. A Daily Report and Daily Staff Note will be prepared and submitted to the Regional Administrator for approval the day before the enforcement conference. If, subsequently, an enforcement conference is cancelled or rescheduled, the Daily Report and the Daily Staff Note should be changed. Those changes een be made providing that the changes are given to the Regional j Administrator's secretary prior to 8:00 a.m. on the day of the enforcement conference. i o_ - - _ -
, . ~ . .
l'
. DEC 2 2 W Regional Office Policy Guide No, 1002, Rev. 2
- 5. Enforcement Officer: The Enforcement Officer will place the enforcement conference on the IE Enforcement Staff status calendar.
- 6. Assigned Regional Manager: The assigned Regional manager will conduct the enforcement conference. Attendees at the eriforcement conference will be specified by the assigned Regional menager.
Enforcement conferences are normally close( to the public. (It is. customary that the senior corporate member of a. utility. attending an enforcement conference in the Regional Office to have a short exit meeting with the Regional Administrator following the conference.) Following the enforcement conference, an enforcement panel will be convened. The panel should meet as soon as possible after the enforcement conference, preferably the same day or the next working day. The panel will normally be chaired by the assigned regional manager and constituted by other involved regional supervisors, any attendees from Headquarters, and the Enforcement Officer. The purpose for the panel will be to. discuss the licensee's responses to the inspection or investigation findings and to discuss the enforcement options that are deemed appropriate. The panel's recommendations will be simultaneously (1) offered to the Regional Administrator for approval and (2) provided to the regional staff l member who is charged with drafting the Notice of Violation, Notice j of Violation and Proposed Imposition of Civil Penalties, or Order. l 7. Division /URF0 Director: Division /URF0 management will prepare a meeting summary of the enforcement conference. The summary will include the following.
- a. A list of attendees and their affiliations and/or titles.
- b. Issues discussed. !
- c. Significant conclusions or positions. ]
- d. An attachment of handouts or transparencies shown at the meeting.
If 10 CFR 2.790 information was presented, this should be sanitized on e separate enclosure and proper markings applied to the proprietary material. If the entire meeting was 10 CFR 2.790 information, the transmittal letter should make this clear. In this case both documents are needed since the letter will go to the PDR but the 2.790 enclosure will not. Similarly, if the material presented contains safeguards information as defined by 10 CFR 73.21, then the ; material will not be placed in the Public Document Room. 1 L__ _ _ _ _ _ _ _ _ _ . _ _
. ~ .
EEC 2 2 M I Regional Office Policy Guide No. 1002, Rev. 2 The meeting summary will be transmitted to the licensee in accordance , with-the provisions of Policy Guide No. 1901. For some situations, it may be more appropriate to issue the meeting summary separately as an inspection report. l 8. Enforcement Staff Secretary: If, following an. enforcement' conference, the staff decides to pursue escalated enforcement -then the inspection l report and the meeting summary will become background material to an i l escalated enforcement package. Therefore, the IBM 5520 addresses of. i I these documents will be retained by the Enforcement Staff Secretary ! for subsequent transmission to 0IE. j D.
Contact:
I Suggestions of comments should be directed to the Enforcement Officer. 1 E. Effective Date: { This Policy Guide is in effect when issued and supersedes Policy' Guide No. 1002, Rev. 1.
' '.cc Robert D. Martin hh .
Regional Administrator Distribution List AB 1
)
i _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ i
E l'
'i) ?. c}O UNITED STATES -
J l f N, n NUCLEAR REGULATORY COMMISSION
$ ;f REGloN IV l
811 RYAN PLAZA DRIVE, SUITE 1000 ARUNGTON, TEXAS 78011 i APR 15 BB7 i i Regional Office Policy Guide No. 4004, Revision 0 i l TRAINING ISSUE: FACTS VS OPINIONS / ASSERTIONS AND CONCLUSIONS IN INSPECTION l 1 REPORTS A.
Purpose:
To inform the staff of the uniform practice to be followed in the handling l l , of.the above issue. j l B. Discussion: l An NRC inspection report could be defined as a formal report transmitted l outside the regional office which contains.the pertinent facts gathered by inspectors to substantiate significant findings identified during an ; inspection. You will note in this definition that the words " pertinent
~
ifacts" are-u6derscored. ~ The most critical irigredients in an inspection , report are the pertinent factual findings made by an inspector! For it is l these factual findings that enable the staff and management to_ ultimately make a determination that the licensee is or is not in compliance with NRC requirements and commitments and what safety significance, if any, to associate with negative findings. Management is keenly aware of the " grayness" that may shroud some of the inspectors' findings. It is, therefore, imperative that the inspecters call upon their technical expertise, experience and professional judgment to ferret out th factual information to be documented in an inspection report in suppon ci unfa wrable findings. It_is recognized during the course of an inspection that inspectors may develop opinions that are held with confidence but can not be substantiated by positive knowledge or proof. These opinions and the assertions, concerns and recommendations. that may develop from these opinions do not belong in an inspection report. Rather, these are matters that the inspectors must discuss with regional management for further analysis end possible followup action. Concerning inspection findings, it should be recognized that there is a continuum that begins with fact and ends with the agency's regulatory conclusion. The middle ground between these two are assertions of fact. For example: an inspector finds a completed document with a signature space left blank. This is a fact. Arising from this might be the l assertion of fact that the licensee failed to follow the procedure I governing the activity covered in the document. The regulatory conclusion arising from this could be that there has been a breakdown in the licensee's controls for the activity in question. The inspector, supervisor and manager play a different role in this continuum. The , 1 Fozo -!7- W o V/4 j L---_-_------__-_-_-_-___ _-__ __ ___ _ _____O
\
\
- .h Regional Office Policy Guide APR 1 5 1987 No. 4004, Rev 0 ..... l; I
inspector develops facts. He suggests assertic is of facts and recomends I the regulatory conclusions that the agency should arrive at, i.e., j enforcement. The supervisor reviews the facts to determine if the assertion of fact is warranted and concurs in the recommendation for regulatory conclusion. Regional management review the facts and the ; assertions of fact and determine agency action, i.e., regulatory l conclusion. ! One of the most.important professional obligations inspectors have in support of the inspection process is to discuss their opinions, concerns,
. assertions and recommendations with regional management upon completion of an inspection. It is through this interface that reasonable conclusions may be developed regarding 1) the safety significance of findings (e.g., l the margin of safety was not reduced, slightly reduced, significantly reduced or plant is, or may be, unsafe to operate) 2) the appropriate enforcement action that should be taken or recomended (e.g., enforcement
- conference, escalated enforcement, appropriate severity level for violations, c.ombining the same_ kind. of violations into one with multiple _
examples 73) other actions as deemed appropriate. The agreed to conclusions drawn from these discussions ultimately become those endorsed by regional management. It is, therefore, appropriate for regional management to convey these conclusions to the licensee by means of the management letter that transmits the inspection report. In sumary, the pertinent factual inspection findings belong in the inspection report. The regional opinions, concerns, assertions and recommendations belong in the transmittal letter issued over the signature of the appropriate level of management. Whenever an inspector believes his or her findings are not being adequately considered by management and additional review of the matter is necessary, regional management considers the individual to be under a positive professional obligation to utilize the process addressed in Regional Office Policy Guide No. 2201. C. Action: All affected personnel are to adhere to the above practice starting on the effective date of this Policy Guide. D.
Contact:
l Any questions regarding this Policy Guide should be directed to Director, Divison of Reactor Safety and Projects (Ext. 106). l l l - _ _ -
s e o i a Regional Office Policy Guide ~ MR 151987 - No. 4004, Rev 0 E. Effective Date: This Policy Guide is effective upon issua. . ( b / > ., i Robert D.. Martin i Regional Administrator Distribution List C
. I I
ne
- ~ . _
l _ j
j #
- Ne ~'
UNITED STATES y' , , NUCLEAR REGULATORY COMMISSION
$ .b REGION IV
., 011 RYAN PLAZA DRIVE, SUITE 1000 ARUNGTON, TEXAS 79011 APR 2 l 1997 Regional Office Policy Guide No. 4011. Revision 0 l
TRAI.NING ISSilE: Enforcement of Applicant / Licensee Policies ) l A.
Purpose:
1 To provide the staff with guidance relative to enforcing licensee i policies. I B. Discussion: Licensees frequently issue policies which outline or mandate a definite course of action adopted for the sake of expediency, facility, etc. with regard to the conduct of their activities. Periodically, the issue arises as to whether NRC identified violations of such policies constitute
,~ violations of regulatory requirements, specifically Criterion V of Appendix B to 10 CFR 50.
~~
The critical issue that must be evaluated is whether that policy was
- . promulgated by the licensee to satisfy a specific regulatory requirement such as a regulation, their required Quality Assurance Program, or a i i
license condition. There are several policies in existence which, while l within the general juris-diction of NRC, are known to not be subject to j specific enforcement. Presently, the most well known of these are the fitness for duty programs and enhanced training programs that have been t l instituted at all power reactors. l Even when the policies or practices are not related to regulatory activities, it is an important indicator of the licensee's capability to l manage plant activities when such policies or practices are not followed. When this is found to be the case, it should be brought to the licensee's attention and he should be informed that it is our expectation that licensee's should assure that policies and desired practices are either followed or changed to reflect actual practices. When an inspector identifies licensee policies which are not beirs followed, he must determine if the policy violations represent a;tions which are in conflict with regulatory requirements or commitments. If so, enforcement or administrative actions directly again:;t those requirements l or commitments are appropriate. foI4- 77 -W o i I
#-//7
APR 21 19o.7 Regional Office Policy Guide Guide No. 4011, Rev. 0 , Should an inspector believe that a policy has been issued irhich, if' followed, could lead the. licensee to violations, the matter should be discussed with their supervisor who, after review, should discuss the matter with licensee management and urge appropriate revisions. If
" actions by our first level supervisor are unsuccessful in achieving a revised licensee policy,.then the matter should be brought to the.
attention of the next level of regional management and possible formal correspondence considered. C. Action: HRC inspectors should follow the practice discussed above when dealing with licensee policies that may lead to noncompliance or appear to have been violated and have safety significance. D. C_ontact: Suggestions or comments should be directed to the Training Officer. l E. Effective Date: This policy guide is in effect when i ued. ' ( y
/ -
Robert D. Martin Regional Administration Distribution Lis C i l l l
V j#*% UNITED STATES y '
, NUCLEAR REGULATORY COMMISSION-
$ ?
f REGloN IV 011 RYAN PLAZA DRIVE, SUITE 1000 j ARLINGTON, TEXAS 70011 APR 2 \ w 1 l
. j Regional Office' Policy Guide No. 4015 Revision 0 )
TRAINING ISSUE: 10CFR50.55(a) RULE I A.
Purpose:
l To inform the staff of the uniform practice to be followed in the handling c of the above issue. r B. Discussion:
,, During the course of construction inspections, and occasionally during operating plant modification inspections, it is necessary for the inspector to determine which code is applicable to the work being done. The- _
inspector should become familiar with 10 CFR 50.55(a) " Codes and. Standards,'" (theCodesandStandardsRule). While the requirements of the'" Codes and Standards Rule" take precedence over codes and standards identified in the license application, the licensee must also conform to other additional commitments, if any, identified in the license application that exceed the applicable code requirements. The " Codes and Standards Rule" requires that structures, systems, and components shall be designed, fabricated, erected, constructed, tested, and inspected to quality standards connensurate with the importance of_ the safety function to be performed. It requires that systems and components of boiling and pressurized water cooled nuclear power reactors must meet
' the requirements of the ASME Boiler and Pressure Yessel Code as specified ~
in the rule. The protection systems of a nuclear power reactor of all types must meet the requirements of the Institute of Electrical and Electronic Engineers Standard " Criteria for Protection Systems for Nuclear Power Generating Stations" (IEEE 279) as specified in the rule. The determination of the effective code version is based on the date the construction permit is docketed or issued, the component order date, or the date of operating license issuance as specified in the rule. More recent codes and addenda may be utilized as specified in the rule. When the more recent versions are used, then all related requirements of the respective editions or addenda are to be met. This applies to both the ASME codes and the IEEE 279 standard.: It is. intended that earlier codes and addenda not be used except when formally requested under hardship by the licensee from NRR. The IE Manual-Chapter guidance section states that-Fox 4 - ?q- %co W N__ - --- _
w ?< . Regional Office Policy Guide No. 4015, Rev. 0 if ordered components meet the " Codes and Standards Rule" but do not meet no citation is in order unless'the licensing . the licensing include commitments comitments, additio iial, more stringent requirements. That is, the licenseeisincompliancewhenheusesalatercodeaddenda.(whichis-
.acceptedby10CFR50.55(a))thanthatspecifiedintheFSARaslongas any additional requirements are also adhered to.
The rule is. periodically updated with regard to applicable codes and addenda. As of January 1, 1986, the rule recognizes.Section III'of the ASME Boiler and Pressure Vessel Code (BPVC) Division 1 through the 1983 Edition and addenda through to sumer 1983 addenda. .There' have been no revisionstoIEEE279sinceJune3,1971(IEEE279-1971); however, later subsequent editions or revisions are acceptable when they become effective as specified in the rule. The use of code cases is acceptable if they have been identified by the Comission staff in NRC Regulatory Guide 1.84 " Code Case Acceptability - ASME Section III Design and Fabrication" and NRC Regulatory Guide 1.85,.
" Code Case Acceptability - ASME Section III Materials" The use of other l
Code cases may be authorized by the Director of the Office of Nuclear ~ Reactor Regulations upon request by the licensee pursuant to the Rule. - If in the course of an inspection, an inspector is uncertain as to the applicability of the " Codes and Standards Rule," then clarification should be requested through his section chief from the Reactor Safety Branch. l l C. Action: All affected personnel are to adhere to the above practice starting on the effective date of this Policy Guide. D.
Contact:
Any-questionsregarding(Ext.145).this Reactor Safety Branch Policy Guide should be directed to the Chief,. E. Effective Date: This policy guide is in effect when iss d. Robert D. Martin Regional Administrator I Distribution List C
["%g UNITED STATES y" /h, NUCLEAR REGULATORY COMMISSION
$ :b REGloN IV
$ s 611 RYAN PLAZA DRIVE, SulTE 1000
,,8 ARLINGTON, TEXAS 79011 APR 2 I E Regional Office Policy Guide No. 4021, Revision 0 TRAINING ISSUE - CITING 0F " NITS" I
l A.
Purpose:
To inform the staff of some general principles to be applied when
- assessing whether or not to issue a citation for an inspection finding of a minor nature (nits).
B. Discussion: Occasions periodically arise where an inspector will identify inspection findings which are of such a nature that he or she questions whether the ! intent of the regulatory requirement has been violated and questions
- whether any purpose is served by issuing a formal citation. These instances come under the general heading of citing of nits or de minimus violations. This is an area in which it is easier for management to discuss general principles and philosophical approaches than it is to provide a well-defined recipe by which specific cases can be evaluated. -
When determining whether a particular inspection finding is of such minor consequence that it is of questionable value to cite, there are three essential ingredients that must to be satisfied. They are that the safety significance of the findings must be essentially nonexistent, it must not be a recurring problem, and the finding is not symptomatic of a more fundamental flaw in the licensee's program that is in need of improvement. { The more safety significant issues cannot be considered as items for which no citation will be offered. For example, many Severity Level I, II and III violations are not repetitive in nature or frequently occurring, yet they are clearly of regulatory and safety significance and must be cited. Therefore, whether the issue is of de minimus character would certainly I force us into a Severity Level IV or V type of violation. I For example, consider a case where specific procedural adherence is a regulatory obligation of a licensee and a condition is identified where a licensee has failed to follow, or perhaps document, a step in a procedure. If this is not seen as a repetitive problem since no other evidence is found in a review of other activities, and no substantive safety consequences arose from the particular case of the missed step, then such a set of circumstances may be worthy of comment by the inspector to the licensee but not deserving of a citation as a violation of regulatory requirements. However, the perspective changes if there should be a pattern or an increasing rate of frequency of missed steps in procedures, or the missed step had consequences which forced the licensee's employees to take unique actions to recover a safe set of circumstances. Under those circumstances, corrective action to preclude it from recurring is of greater importance than in the prior case. In such instances the licensee foZ8- f7 - WQ VM
APR 2 I "'^^ l l Regional Office Policy Guide No. 4021, Rev. 0 8 should be cited to assure those corrective actions are taken and for NRC J to be able to evaluate whether or not those corrective actions are I adequate to achieve the desired goal. C. .. Action: Inspection personnel who believe chey have inspection findings which they do not believe should be cited a., violations tnust identify those issues to their immediate supervisors and receive concurrence on their handling. Inspectors are cautioned against making these kinds.of decisions totally on their own without discussion with line management. ) D.
Contact:
All questions regarding this Policy Guide should be referred to the , EnforcementOfficer(Ext.195). J E. Effective Date: This Policy Guide is effective on issuance. ,_
.. .. l
&/
obert D. Martin Regional Administrator i Distribution List C l l
l
, w i eb. '
UNITED STATES y" .i, NUCLEAR REGULATORY COMMISSION i $ O 0f 8 REGloN IV 611 RYAN PLAZA DRIVE SUITE 1000
]
\ ,, ,8 ARLINGTON. TEXAS 76011 APR 2 81987 Regional Office Policy Guide No. 4007, Revision 0 -
TRAINING ISSUE: INSPECTION OF APPLICANT / LICENSEE RECORDS - POWER REACTORS 1 A.
Purpose:
~ To provide the staff.with an understanding of the role of the licensee's i record system and its use in the regulatory process, the extent to which ! NRC inspectors should become familiar with the mechanics of that records s system, and the retrieval and assembly of records for inspectors during i inspections. I
' i B. Discussion:
l l This Policy Guide is written with a heavy emphasis on power reactor i requirements, but the general practices are applicable to all. records review activities. The function of the NRC inspector is to verify applicant / license ! (licensee) compliance with NRC regulations and their license including Technical Specifications and commitments in the Preliminary Safety or Final Safety Analysis Reports (PSAR/FSAR), or other commitments in writing to the NRC. To perform this function, the NRC inspection program includes J reviews of records systems as well as reviews of records generated by I various licensee organizations that perform safety-related work activities l (e.g.; procurement, construction, operation, and quality assurance i organizations). ! A review of the Preliminary / Final Safety Analysis Report (PSAR/FSAR), top tier QA manual, technical specifications and implementing procedures, is l necessary to understand the individual licensee's records system and the importance of specific records. It is imperative that inspectors ' recognize that the licensee has no additional obligation to collect, store, or maintain records in a form or at a location to satisfy the preferences of NRC inspectors. Different approaches to implenienting the requirements should be expected. However, the following subjects are common to establishing and maintaining any record system: defined organizational responsibility with regard to licensee responsibility and, where appropriate, those functions delegated to contractors; retention requirement categories (lifetime vs ' nonpermanent); receipt control in a timely / controlled manner and record status; storage, preservation, and safekeeping facilities (including
.l.
RZ8 ' 8 ? ' %S~o 6/.a o o s
?-
a v .
^
Regional Office Policy Guide APR 2 5 g No. 4007, Rev. 0 permanent and temporary facilities); procedures describing such control, storage, and protection as well as periodic surveys and audits of the ; system; retrieval mechanisms and controls; and controls over the release of records from or between storage facilities or organizations. The inspection program provides the means'.to evaluate the adequacy-of the administrative controls and storage facilities by periodically observing the implementation of those controls relative to records of work activities. For sites under construction, the basic system is evaluated through Module 35100.or its-equivalent. Similarly, Modules 39701 and 39702 perform the same function for sites in operation. The several inspection modules which call for records reviews as part of the
. inspection activity, coupled with the onsite familiarity with the systems.
available through the resident inspectors provides NRC with a suitable basis for evaluating licensee record systems. Should problems arise, independent inspection effort or directions from the regional supervision can cause more detailed evaluations to take place. The inspector charged with an inspection of records should review the site specific PSAR/FSAR, top tier QA mant'1, technical specification and implementing procedures used by the .censee or site contractor (if such responsibilities are delegated). If the licensee delegates record keeping l functions, the NRC inspector should assure that the licensee at least ) l describes in the QA manual / procedures the functions delegated to l l contractor organizations, locations of permanent and temporary storage ! areas, and how those records are received, stored and protected. ! The inspector should become familiar with the permanent and. temporary QA record facilities where he may request, obtain and. review QA records to satisfy his inspection requirements. The licensee.is only obligated to meet their requirements and commitments. The inspector should expect no l special collection of records or consideration for routinely retrieving
. records for his convenience.
R.G. 1.88 and ANSI N45.2.9 are not specific with regard to document i retrieval; however, a QA records system should be in place which can provide information in a time frame commensurate with the need. At this point, an inspector must rely on judgement to determine what constitutes reasonable retrieval capability and performance. I The importance of records depends on several things. Prior to an i applicant's receipt of an operating licensee, records of safety-related
)
activities are important for supporting the applicant's statement that ' ccnditions for the ~ license have been satisfied. If records of inaccessible work are destroyed, lost or deteriorate substantially, establishing the quality of the work activity af ter the fact becomes difficult in the event a question is raised. l L___.--___ _ _ _ . _ _ _ . _ _ _ _ _ _ _ _ _ _ _ . _ . _ _ . _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ , . _ _
, , D Regional Office Policy Guide No. 4007, Rev. 0 APR 2 s 1937 The records at operating plants include those generated during.the construction phase, some of which must be maintained during the life of the plant and those generated during subsequent operation and modification of these plants. ANSI N45.2.9 provides a list of those records which must be maintained for.various periods starting from the day the plant becomes commercially operational - not from the construction date. In cases where the technical specification specifies a different retention time from ANSI N45.2.9, the former shall prevail. The construction records are important-to the operating plants to enable them refer to the records when design changes and modifications occur, and during emergency conditions. The operating records are important.froni the stand point of showing compliance during operations. -
l NRC Regulatory Guide (R.G.) 1.88, " Collection, Storage, and Maintenance of Nuclear Power Plant Records," endorses American National Standards Institute (ANSI) N45.2.9, " Collection, Storage, and Maintenance of Nuclear Power Plant Records", as an acceptable method for complying with NRC requirements relative to records preservation and protection. If the license commits to R.G. 1.88, ANSI N45.2.9 provides the inspector and the applicant / licensee with a general description of the areas that must be addressed by their system to meet the regulatory requirements of Criterion XVII of Appendix B to 10 CFR Part 50 " Quality Assurance Records.". If
- there is no commitment to R.G. 1.88, the inspector must review the
- licensee's implementation of their alternate method of record keeping to determine whether it meets their approved commitments. If the inspector determines that the alternate practice meets their commitments but is not equivalent to the minimum requirements of R.G. 1.88 and ANSI N45.2.9, the differences should be identified to NRR for an evalt stion of adequacy.
For the purposes of this standard, a document is considered a quality assurance record when the document has been completed. The NRC inspector
- should also seek guidance (if needed) when he encounters unusual situations or deviations from R.G. 1.88/ ANSI N45.2.9 or interpretations of these commitments.
Inspectors, generally, should request needed records in the same manner as f licensee employees. It is typical for controlled areas to be established within permanent. facilities which allow the applicant / licensee contractor, j or external auditors to request,-obtain, and review records. Typically records shall not be removed from such controlled areas without special permission. Occasionally, instances arise where these methods are not adequate for the inspector's needs. In these cases, the inspector should inform licensee management contacts of the particular records needed and ask that they be provided within a reasonable time, l
~
.9.
l 1
[
.s l
- l Regional Office Policy Guide kh 2 S ;337 No. 4007, Rev. 0 ...
There are cases where records needed to complete an inspection. activity are not available by the end of the inspection activity. Those record needs should be clearly identified to licensee management at the conclusion of the inspection. The important point here is to obtain the records so they can be reviewed to assure safety related work was conducted properly. If the information is not provided by the company by , the time the inspection report is written, the classification of the unavailable records (open, unresolved, violation, or deviation) will be discussed with the division managment. The decision reached should reflect the importance of the record and whether the delays are indicative of a pervasive or unique retrieval difficulty at that site. C. Action: Inspection personnel conducting records-related inspection activities should follow the practices outlined in this RPG. D.
Contact:
i Suggestions or comments should be directed to the Training Officer (Ext.195). E. Effective Date 1 This policy guide is in effect when issued, k
/ i d' ld 4m Robert D. Martin
. Regional Administrator Distribution List C i 1
i 9.
}
}.
l 1 l
1 (A D g UNITED STATES y" , NUCLEAR REGULATORY COMMISSION S
;f REGloN IV
% 8 611 RYAN PLAZA DRIVE. SulTE 1000
,, ,8 ARLINGTON. TEXAS 76011 May - 6 m Regional Office Policy Guide No. 2202, Revision 1 POLICY GUIDE FOR DRSS REACTOR INSPECTION REPORTS A.
Purpose:
The purpose of this Policy Guide is to encourage concise, effective reactor inspection reporting within 30 calendar days after the inspection, as required by Section 05.07 of IE Manual Chapter 0610. This Policy Guide applies to all DRSS reactor inspection reports except major team inspection reports, for which MC 0610 allows 45 calendar days. B. Discussion: An important objective of a regulatory organization is to maximize inspection time. One step in that direction is to simplify and minimize inspection reports, thus speeding up the writing, typing, and reviewing processes. Given a heavy workload, DRSS needs a plan to issue quality ; inspection reports promptly. The following discussion outlines the policy ' to be followed by DRSS until further notice. Regional Office Policy Guide No. 2231 describes the format to be used for l the report cover letter, the report cover sheet, the Notice of Violation, and the Notice of Deviation. The Details section for all DRSS reactor l inspection reports will follow the format shown in Attachment 1 of this Policy Guide. When violations, deviations, deficiencies, unresolved items, open items, or inspector observations have not been identified in a particular program area, the discussion of that part of the inspection should be limited to the general paragraph and the listing given in paragraph 4 " Program Areas , j Inspected." No other information is required. Violations, deviations, deficiencies, unresolved items, open items, and inspector observations will be discussed concisely in additional paragraphs, as necessary. Inspection reports for licensed facilities, must not describe licensee programs, equipment, or facilities, unless description is necessary to document required accomplishments (e.g., in response to an Order or to an IE Bulletin). For preoperational facilities, more detail generally is required in order to document the basis for recommending a license, pgg-8 7- M wI
. e l
Regional Office Policy W~0~ # 1 Guide No. 2202, Revision 1 ! s i Violations must be described thoroughly, unambiguously, and concisely in terms of requirements and the essential findings that indicate noncompliance. Such descriptions will provide the basis for current l enforcement action and for future determinations of repeat noncompliance. I (See Attachment 1 for examples.) Deviations should be described only as I necessary to clarify the problem. l The Details section of a clear inspection report or of one describing a few minor violations seldom should exceed five pages for one week of inspection. Besides supporting enforcement action, Details should be relatable to inspection program completion for the benefit of future inspectors, who may need to know only what was or was not inspected.
. Completed inspection activities should be statea simply in terms of ,
Inspection Procedure (or Inspection Requirement) numbers. Incomplete l inspection, which will be of interest to a future inspector, also should be stated in terms of Procedure or Requirement number. l 1 More efficient writing can help us issue quality inspection reports ) quickly. To the extent possible, RSPB personnel should develop and use l standard paragraphs, which can be placed in the 5520 system for ready ) access. j C. Action: 1 Upon , returning from an inspection, the inspector's first priority normally will be to discuss important findings with the section chief and to draft the inspection report as described above. Both tasks should be simple if 1 performed while findings are fresh in mind. Other activities, except submitting travel vouchers and RITS sheets, should be deferred until the first draft has been submitted to the section chief. To meet our goal, we must meet the deadlines listed below. i 1 WORKDAYS WORKDAYS FUNCTION ALLOWED
- ELAPSED
- 1. Last day of inspection. O i
- 2. Inspection report draft due to section chief before 4 4 l COB on inspector's fourth workday back in office.
! 3. Section chief reviews draft and secretary gives it 2 6 to DMU.
- 4. DMU returns typed and proofed draft to secretary. 3 9
- 5. Draft reviewed concurrently by inspector, section 2, 11 chief, and branch chief. Final draft and transmittal
- letter returned by secretary to DMU.
l
- 6. DMU returns typed and proofed final report and 2 13 transmittal letter.
l
- l. - _ _ _ _ - _ _ _ _ _ _ _ _ _ _ - _ _ _ _ _ -
t WV ~ 6 w~- i' Regional Office Policy Guide No. 2202, Revision 1 l l l 7. Final package signed off by inspector and/or 2 15 section chief and given to the branch chief for concurrence.**
- 8. Branch ch'. f concurs. Secretary corrects errors and 2 17 l gives to MSP for signature.
- 9. DRSP signs and issues report. 2 19
*The deadline for each function is workdays allowed, not workdays elapsed.
That is, nobody in the chain is entitled to use time gained by someone ahead of them.
**The section chief signs the report in the inspector's absence.
NOTE (1): Return the report to the RSPB secretary for logging after each l step above. The secretary will identify writing delays to the section chief and branch chief, who will initiate corrective action. The secretary will notify the responsible section chief of delays incurred in DMU, in which case the section chief will contact the Chief, Information Management Section to expedite typing. Delays identified by the secretary in technical reviews l within DRSS or DRSP will be referred to the branch chief for i resolution. NOTE (2): If a person is not in the office, the RSPB secretary should i deliver the report to whomever can act for the absent person. l All reports will be hand delivered by the secretary. Thus, l reports should not be delayed by any person's absence. If questions arise that only the absent person can answer, that person should be contacted by telephone. l l D.
Contact:
Richard L. Bangart, Ext. 248 E. Effective Date: This policy guide is effective when issued.
/
'\
/
Q R ert D. Martin Regional Administrator
Attachment:
Simulated Report with Paragraph Examples l Distribution List C
l' < j usy - 6 0 l ATTACHMENT 1 DETAILS (SAMPLE)
'\
- 1. _ Persons Contacted 3 i Licensee i
. a Others i
- Denotes att'endance at the exit interview. 'I The NRC inspector also contacted othe.r licensee personnel including
- i. !
- 2. Inspector Observations The NRC inspector discussed the following observations with the licensee during the exit interview. These observations are neither violations nor '
unresolv&d items. They were identified for licensee considerat. ion, but they have no specific regulatory requirement. The licensee indicated that these items would be considered.*
- Radiation Protection Manual - Section 1.0 is not consistent with the current plant organization and operation. (See paragraph )** j
- Radiation Protection Program Policy Statement - The licensee does not have a corporate policy statement, as recommended in NUREG-0761, nor is it clear whether the station radiatioh protection manager has access to' corporate management to discuss radiological safety problems. (See paragraph )** 1 A standard paragraph Examples here and on following pages.
- 3. Follow-up on Previous Inspection Findings L I (Closed) Violation /86_-01: Short title - Discussion
1 s . e.< i
. Mr>Y - 6 e (0 pen) Violation /86 -02: i
. . I (Closed) Open Item /86_ -01: j j
- 4. Program Areas Inspected l The following program areas were inspected. The inspection included interviews with cognizant individuals, observation of activities, l independent measurements, and record reviews. The depth and scope of I l these activities were consistent with past findings and with the current -
status of the facility. !
.]
l Except as noted, the inspection revealed no violations, deviations, l deficiencies, unresolved 'tems, or open items. Notations after a specific inspection item identify the following: I = item not inspected or only 1 partially inspected, V = violation, D = deviation, H = deficiency, U = unresolved iter, and 0 = open item. ;
' 1 l Inspection Procedure Program Area and Inspection Requirements I l 83522 Plant Chemistry: Organization and Management Controls (Preoperational and Supplemental) i 02.01 - Organization, Responsibilities, and
! Authorities l 02.02 - Staffing 02.03 - Identification and Correction of Weaknesses 02.04 - Audits and Appraisals 02.05 - Communication to Employees 5 02.06 - Documentation and Implementation l l 40750 Class-II Research and Test Reactors Operations Procedure l 02.01 - Initial Interview - V (see paragraph 4) 1 02.02 - Initial Walkthrough or Site Tour 02.03 - Records Review - 0 (see paragraph 5) ! 02.04 - Observations - V and 0 (see paragraphs 4 and 5)
I
<' .. y, ;oJ\
J U AV - 6 "- 'j e. l 81401 Plans, Procedures, and Reviews LJ 02.01 - Plan Revisions 02.02 - Unapproved Revisions - 02.03 - Records of Revisions ,. 3-02.04 - Procedures 02.05 - Security Program Review ,, 02.06'- Contingency Plan Review ' 1 \ Locks, Keys, and Combinations '. 81046 , 3 , 02.01 - Lock and Key Control System f. 02.02 - Changes - V (see paragraph 5) l 02.03 - Penetration Resistance / Performance 02.04 - Protection of Key Controller - V and 0 i (see paragraph 5) 02.05 - Protection of Override Features - I 82203 Notification and Communications 1 y , Note: Some inspection requirements iri CP (' - modules cannot be tested separately. Make ary annotations and paragraph references next to 1.he ; ,, module title. l> j y' 82208 Post Accident Measurements and Instrumentation ' i 021 - Instrumentation - 0 (see paragraph 7)',s- ! 022 - Analysis Techniques - H (see paragraph 7) l 82301 Evaluation of Exercir.es for Power Rt. actors I 1 021 - 10 CFR 50, Appendix E, Part IV.F.1 # 022 - Evaluation Criteria
- 1. Control Room - H'(see paragraph 4) -
- 2. Technical Support Lender - H (see ;
paragraph 5)
- 3. Emcr3ency Operations Facility
- 4. Operations Support Center ! Y.
- 5. Corporate Command Center - H (see 4:
paragraph 6) ,e .
\
- 4 ' <
~
e
/ cc *
)_ r
~ . . .
, 'l MAY I ~ 6 9~ ,
j , i
- 1
- 6. 0ffsite Moriitoring Team ,
d
- 7. Corrective Action / Rescue Team j 8, Security / Accountability Team - H (see 1 paragraph 7)-
- 9. Press Center i
- 10. Medical Team
' i
- 11. Postaccident" Sampling l
.S. .Op r Paragraphj Other paragraphs roay be needed to discuss inspection procedures not listed q above, because of a violation,'deyiation, deficiency, unresolved item, or open item being identified in this area. Separate paragraphs also should-be used to provide information r.ot related directly to the inspection procedure requirements, Violatfors and deviations should be described thoroughly but concisely in the format:
p l
- What was inspected and the criteria inspected against.
*. Inspection findings,c !
- Statement of apparent violation or apparent deviation.
(See the following example.) , Lock and Key Control 81046 e ' s-
..y j Lock and key control p'rocedures wetc ,iiliditted to determine the licensee's compliance with 10 CFU73.55(d)(9)se ,3 n v TheNRCinspectorsdiscoverederrofsinthelicensee'slockandkey ,
l control procedures. The North Gate-BWST, Roof Hatches Administrative 1 l Building, and <t.he Door 482 keys were not included on the pey inventory l forms used W ; inventory keys. Yhe licensee could produce 'no documentation to indicate that the keys had been inventoried to prevent compromise of r the keys. Further, the form used to indicate changing of locks / keys on se the Roof Satch-Diesel Fuel Vault indicated tnat this lock had r.ot been changed,'as; required by the PSP, since August 12, 1983. < ,y { l / This is an apparent violation of 10 CFR.73.55(d)(9). (313/4256-01; / , 368/8257-00 r l ;
. 6. ExitInterhiew . t l . A '
I - The NRC inspector met with the NRC resident inspector and licensee -
.' representatives denoted in pirag'raph 1 ott and summarized-the scope and findings of- the inspection as presented in this report,
[ ', 1 I . # o
'" ( P
_ _ m _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ . _ _ _ _ _ _ _ _
j., ' i
! UN17Eb STATES p 8 8 NUCLEAR REGULATORY MMISSION CO REGION IV 611 RYAN PLAZA ,
E 1000 DRIVE SUIT ARUNGToN. TEXAS 76011 4 If lesr Mc . h REPLY TO LICENSEE'S RESPONSE A. . P n e: TO A NOTICE OF VIOLATION To describe reply to when a a licensee' specify action appropriate. to sbe simple response taken to "Thank You" n is letter is a d B. when a a Notice of You" Violati not an a Discussion: simple "Thank on (NOV). ppropriate To b letter is not } has failed to provide er is i fA simple "Thank You" lett implied am disagreementnot an C. Action: n with ormation the NOV. requested by thappropriate reply if e NOV or hasthe licensee } stated or A simple "Thank You" lett responded with the NOV. completely and h er will be used whenever th as neither In all other stated nor implied ay dise licensee has agreement any disagreement resolved by the tel with thSection Chief or Branch Ccas hief to discuss e NOV. e telephoned by the respo atrator's "Thankatte You"ntion. ephone Any omissions or nsible omissions in the re disagreany confirms call will be brought to thements not onse and The discussion of the letter that addresses all commitments made by th commitments, Action Letter (CAL) the "Thank u eachYo "eomission licensee and disagrewith confirmed by the letter D. .
Contact:
Depending upon theement and might become a Confirmation nature Suggestions n of E. or comments Effective Date: should be directed This Policy Guide is in to the Enforcement cer. Offi effect when issu . l/. Robert 9 a n stribution List C Re91onal Administrator hZ 4 - 7 7 y,7 o
/A.2
7 f- . UNITEb STATES y' g$ NUCLEAR REGULATORY COMMISSION
.h ft REGION W k, 8 811 RYAN PLAZA DRIVE, SulTE 1000
, g ARUNGTON, TEXAS 79011 M ll E Regional Office Policy Guide No. 2203, Revision 0 REPLY TO LICENSEE'S RESPONSE TO A NOTICE OF VIOLATION A.
Purpose:
l To describe when a simple "Thank You" letter is and is not an appropriate i reply to a licensee's response to a Notice of Violation _(NOV). To specify cetion to be taken when a simple "Thank You" letter is not appropriate. B. Discussion: A simple "Thank You" letter is not an appropriate reply if the licensee has failed to provide information requested by the NOV or has stated or ! implied any disagreement with the NOV. C. Action: I ! A simple "Thank You" letter will be used whenever the licensee has responded completely and has neither stated nor implied any disagreement with the NOV. In all other cases, the licensee will be telephoned by the responsible Section Chief or Branch Chief to discuss any omissions in the response and any disagreement with the NOV. Any omissions or disagreements not resolved by the telephone call will be brought to the Regional Adminis- i trator's attention. The discussion with the licensee will be confirmed by I a "Thank You" letter that addresses each omission and disagreement and ! confirms all commitments made by the licensee. Depending upon the nature ' of the commitments, the "Thank You" letter might become a Confirmation of Action Letter (CAL). D.
Contact:
Suggestions or comments should be directed to the Enforcement Officer. E. Effective Date: This Policy Guide is in effect when issu .
/
Robert D. artin Regional Administrator Distribution List C P#X#~ 7~WO 6/A.2 j
f' , I' . j Law orriCEa BISHOP, COOK. PURCELL & REYNOLDS l (200 SEVENTEENTH STREET, N.W. l WASHINGTON. O.C. 20036 3006 l (202)857 9800 WRITER S OutCT D6AL TELCX. d40$74 INTLAW UI July 13, 1987 * * * '*" '5 " *'* l i FREEDOM 0F INFORMATION Donnie H. Grimsley T REQUEST l l Director Division of Rules and Records 70 [ -["/. Q Q ]
)
j Office of Administration i O h [ . g g '(') i U.S. Nuclear Regulatory Commission Washington, D.C.- 20555 1
Dear Mr. Grimsley:
.ll t
I and Pursuant the NRC'storegulation's the Freedom (10of Information Act' (5 U.S.C. 5552) 1 C.F.R. 59.3, g seq.), I. request a
~l copy of all documents used by the Enforcement staff as a )
guideline for the issuance of enforcement actions, such as the ,- Enforcement Guidance Manuals, manual chapters, and so forth. This request encompasses both Headquarters and Region documents. l provided by 10 I would greatly C.F.R. 59.8. appreciate your prompt response as (202) 429-8476 should you have Please feel free to contact me at any questions.
. j Sincerely, I M f.
Claudia C. Guild CCG/dkb l i l 1 J G A ..--s o J viytotp & ' , Jf* i}}