ML20238C597

Provides Enforcement Guidance Re Violations Considered for Submittal for Enforcement Staff Review or Concurrence.Cases Include Severity Level Iii/Level IV Distinction,Escalated Enforcement Action & Significant Operational Events

ML20238C597
Person / Time
Issue date:	03/27/1987
From:	Taylor J NRC OFFICE OF INSPECTION & ENFORCEMENT (IE)
To:	Davis A, Grace J, Murley T NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I), NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II), NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III)
Shared Package
ML20237G454	List: IA-87-450, Provides Guidance on Use of Civil Penalties Vs Use of Orders.Many Orders Recently Issued by Regions Involve Violations Not Previously Noted.Orders Apply Only to Repeated Uncorrected Violations ML20237G451 ML20238C386 ML20238C394 ML20238C409 ML20238C494 ML20238C527 ML20238C550 ML20238C574 ML20238C597 ML20238C646 ML20238C694 ML20238C739 ML20238C764 ML20244B382 ML20244B522 ML20244B551 ML20244B638 ML20244B641 ML20244B915 ML20244D163 ML20244D267 ML20244D288
References
FOIA-87-450 EGM-87-01, EGM-87-1, NUDOCS 8712310108
Download: ML20238C597 (2)

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• UNITED STATES i 3 o l NUCLEAR REGULATORY COMMISSION j j wAsmoTo% 0. c. 20sse s ~~~ /

um w EGM-87-01 MEMORANDUM FOR: Thomas E. Murley, Regional Administrator, RI J. Nelson Grace, Regional Administrator, RII A. Bert Davis, Acting Regional Administrator, RIII Robert T. Martin, Regional Administrator, RIV Jack B. Martin, Regional Administrator, RV FROM: James M. Taylor, Ofrector Office of Inspection and Enforcement i

SUBJECT:

SEVERITY LEVEL IV OR V VIOLATIONS FOR ENFORCEMENT STAFF REVIEW OR C0ACURRENCE 4 The purpose of this Enforcement Guidance Memorandum is to highlight those cases which should be considered for submittal to the Enforcement Staff for review or concurrence. Three types of cases should be submitted for review, as follows:

1.

During the April 1984 counterpart meeting and as described in the meeting minutes issued on May 1,1984, a position was taken requiring Enforcement Staff concurrence on Severity Level IV violations which could be considered as Severity Level III violations. A five day turnaround for these cases was described. A recent review of some routine enforcement actions indicated that in some cases, Severity Level IV violations were issued without prior consultation with IE which appear to meet the criteria for Severity Level III violations.

PrioV consultation on these cases is necessary to maximize consistency and uniform application of the Enforcement Policy. The Enforcement Staff will continue to strive to meet the five day deadline.

2.

During the course of the development and issuance of an escalated enforcement action, additional information may be developed by the NRC or the licensee i

which may involve a violation of NRC requirements that relates to the action being considered for escalated enforcement. A violation of an Order was recently issued at a Severity Level IV that related to a significant escalated package that was under Commission review. Although these types of related violations may be individually characterized at a Severity Level IV or V, they should be incorpora ted, if practical, into a single enforcement action so as not to diminish the significance of the escolated package.

This also should focus the licensee's attention to the problem area, ensure that relevant violations are considered whenever escalated enforcement action is being evaluated, and ensure that the safety significance of the violations are evaluated appropriately. b?

6 The "new" violation's relationship to the current enforcement action may i be by the fact it is associated with the same event, related to the same root cause or causes, or involves the same basic issue (i.e., - fire protection, or containentequipment qualification, Comission Order, system operability, integrity). The additional violations may come from inspection activities, investigation of an event, or a new event or finding.

8712310109 871224 For A - H- Wo PDR FOIA GUILD 87-450 PDR EO

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Regional Administrators EGM 87-01 The related violations may be identified at any stage of the enforcement process. While the enforcement action is still under development in the i region, it should be a relatively simple task to incorporate any related I findings prior to submittel of the action to IE. After the enforcement action has been transmitted to IE, any' additional related findings should be brought to the attention of the Enforcement Staff by phone call for consideration of inclusion in the current action. If inclusion is deemed to be practical and appropriate, a draft of the additional violation, the background or reference material, and any clarifying remarks for the letter to the licensee should be forwarded to the Enforcement Staff. j

3. Significant operational events are of ten investigated by the NRC using Augmented Investigation Teams (AITs) or Incident Investigation Teams (IITs).

Because of the significant nature of these events, if any viciations are identified related to these investigations regardless of the severity level, the resulting enforcement action should be submitted to the Enforcement Staff for review and concurrence, along with _the draft letter to the licensee, hotice of Violation, and the associated inspec- '

tion report.

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Ja . ylor. Director ice o Inspection and Enforcement i cc: Regional Enforcement Coordi ors Enforcement Staff

J. Lieberman i

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