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~g UNITED STATES
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g NUCLEAR REGULATORY COMMISSION ji g j:
WASHINGTON, D. C. 20555 gy cvf February 10, 1986 MEMORANDUM FOR:
Those on Attached List FROM:
James M. Taylor, Director Office of Inspection and Enforcement
SUBJECT:
CONTROL OF' INSPECTION AND ENFORCEMENT DOCUMENTS -
DRAFT IE MC 0620 The ED0's December 3, 1984 memorandum forwarded a policy sta ement rega dural controis be developed to implement the aforement IE committed through the April 10, 1985 J. M. Taylor memorandum to implement this policy in a new manual chapter and to revise IE manual chapters 0610
" Inspection Reports" and 0611 to reflect this policy memoran " Review and Distribution of Inspection Reports" dum.
IE MC 0620, " CONTROL OF INSPECTION AND ENFORCEMENT DOCUME objective of this manual chapter is to establish consistent IE policy for.allThe princ regional and IE headquarters personnel on the control of all NRC documents re-lated to inspection or enforcement activities prior to their official issuance for distribution.
Additionally, IE MCs 0610 and 0611 have been revised to ensure that consistent guidance is provided with respect to IE MC 0620.
This manual chapter incorporates EDO policy statements heretofore provided on this subject.
Please review this manual chapter and submit comments by February 28, 1986.
. Y u
.es M.
ylor, Director O fice o Inspection and Enforcement
Enclosures:
1.
Draft IE Manual Chapter 0610 (pages 1-10) 2.
Draft IE Manual Chapter 0611 3.
Draft IE Manual Chapter 0620 cc w/ enclosures:
H. Denton, NRR
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J. Davis, NMSS
Contact:
Scott A. McNeil, IE.
f'0I q )Yg y+W pcc
l Addressees for Memorandum dated:
James H. Sniezek, Acting Deputy Executive Director for Regional Operations and Generic Requirements Office of the Executive Director for Operations patricia G. Norry, Director Office of Administration Thomas E. Murley, Regional Administrator Region I J. Nelson Grace, Regional Administrator Region II James G. Keppler, Regional Administrator Region III Robert D. Martin, Regional Administrator Region IV John B. Martin, Regional Administrator Region V O
n 1
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DI CHAPTER 0610 INSPECTION REPORTS 0610-01 PURPOSE This chapter establishes the procedures for the preparation and release of R inspection reports and describes the standard format and content of inspec-R tion reports.
R 0610-02 OBJECTIVES The objectives of this manual chapter are to establish procedures to ensure that inspection findings accurately represent the facts collected and the conclusions drawn by the NRC staff without improper influences by licensees or their agents on the content and/or conclusions of NRC reports of inspec-1 tions and to provide the formats and procedures for preparing inspection i
reports in order to perform the ' following:
02.01 Provide a basis for enforcement action and convey the results of the inspection to the licensee or vendor.
02.02 Provide information to NRC Regional and Headquarters management on the implementation of the inspection program and on the identification of significant health and safety findings.
02.03 Provide information to the general public.
02.04 Provide a brief synopsis of activities and detafis of significant
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health and safety findings made by the inspector.
0610-03 DEFINITIONS i
03.01 Deviation. A licensee's failure to satisfy a written commitment or R to conform to the provisions of applicable codes, standards, guides, or R accepted industry practices when the commitment, code, standard, guide, or R practice involved has not been made a legally binding requirement by the R commission, but is expected to be implemented.
R 03.02 Draft Inspection Report. Any version of the inspection report R prior to its official issuance.
It is to be considered a draft inspection R
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report from its initial development, throughout the period of supervisory i
and management review, until final publication and distribution in.actord-ance with IE MC 0611, " Review and Distribution of Inspection Reports".
I Issue Date:
_-__-______a
03.03 Inspection.
The examination, ' investigation, review, or evaluation of any record or activity of a licensee or vendor to determine the safety significance of that record or activity and/or to assure compliance with any applicable rule, order, regulation, or license condition pursuant to the Atomic Energy Act. An inspection is considered to be:
One or more visits to the licensee's or vendor's site and/or cor-a.
porate headquarters made to satisfy an establisher! inspection requirement.
Normally, only visits made within a 30-day period may be considered to be a single inspection.
Return visits to complete the exit interview with management or to conduct an en-forcement conference are included in the same inspection report.
b.
A series of activities conducted by resident inspectors during a period of up to six weeks.
c.
An in-office review of licensee documents or raports, possibly R performed without resident inspector assistance (e.g., followup in-R spection conducted to review 10 CFR 21
- reports, 10 CFR,73.71(c) R licensee event reports, or licensee operating procedures).
R 03.04 Inspection Report.
The written record of an inspection.
The inspection report includes the inspection results obtained during the site inspection as well as the results of in-office inspection activities con-ducted before and after the actual travel to the site.
An inspection report will be considered completed or final once it has been signed by the appropriate level of management on " approved by" line of the report cover page.
03.05 Licensee.
The applicant for or the holder of an NRC license or a R construction permit.
R 03.06 NRC Record.
Any book, paper, map, photograph,, brochure, punch R card, magnetic tape, paper tape, sound recording, pamphlet, slide, motion R picture, or other documentary material regardless of form or characteris-R tics, made by, in the possession of, or under the control of the NRC pur-R suant to Federal law or in connection with the transaction of public R business as evidence of NRC organization, procedures, operations, programs or other activities. functions, policies, decisiens, R
R 03.07 Official Issuance.
The final publication and distribution of doc- 'R umonts which have received the concurrence and signature of all appropriate R
levels of management in accordance with IE MC 0611.
R 03.08 Open Item.
Matters that require further review and evaluation by the inspectors.
Open items are used to document, track, and ensure ade-quate followup on matters of concern to the inspector.
03.09 Unresolved Items.
An unresolved item is a matter about which more information is requireo in order to ascertain whether it is an acceptable item, an open item, a deviation, or a violation.
03.10 yendor.
Any non-licensee or organi:ation inspected as part of the Licensee Contractor and Vendor Inspection Program, Issue Date:.
i 0610-03/03.03 L
__ _ _____ ____.___________ _ J
09.02 which are covered under a different set of procedures.This m 09.03 reports shall be in accordance with IE MC 0611. Proprietary ' rev 0610-10 RELEASE OF INPUT FOR INVESTIGATION REPORTS 10.01 Occasionally, insre.Lors accompany investigators on investigations.
either the inspectors' input for the investigation rep tigation report itself.
vided by 10 CFR 9.5.
This infonnation is exempt from disclosure as pro-1 10.02 Office of Investigations (OI) reports of investigation, while in approval of the Chairman (0I Policy Statement 23). preparat 10.03 With the exception of significant safety issues, information regarding an ongoing OI investigation will not be disclosed try any NRC em-ployee outside NRC without the specific approval of the Executive Directo for Operations (EDO Policy Statement of December 3,1984) and the Directo 01, or his designee (OI Policy $tatement 18).
10.04 will nonna11y not discuss the substance of ongoing O tigation:i with licensees or other non-NRC cersonnel Policy Statement 19). interviews, except safety items requiring immedi ENO Issue Date: 0610-09/09.03
- 3. information submitted in confidence to the NRC by a foreign source which is determined by NRC to be exempt from public dis-closure pursuant to 10 CFR 2.790(d)(2).
Exception:
In situations where the information must be included to R support and substantiate inspection findings, the information should be identified and included an enclosure to the report.
The inspection report and appropriate pages shall be marked and pro-tected in accordance with NRC Manual Chapter 2101, Appendix XVI requirements for this type of information.
0610-07 TIMELINESS OF REPORT PREPARATION Inspection reports should be dispatched within 20 calendar days after completion of the inspection (major team inspectio.n reports should be dis-patched within 30 calendar days).
For an inspection that censists of a series of visits to a licensee site or office, the inspection report is to be dispatched within 20 calendar days after completion of the last site visit.
For a resident inspector, the inspection day covere.hould report s be dispatched within 20 calendar days after the last d by the inspection report.
0610-08 SAFETY AND SECURITY ISSUE COMMUNICATIONS R
08.01 Ssfety and security concerns must be addressed by prompt, positive actions.
Accordingly, safety or security infomation must be promptly and clearly identified to responsible licensee management to obtain prompt li-censee evaluation and, if appropriate, safety-related corrective actions.
Such clear communications are necessary to maintaining required levels of safety and security at licensed facilities. All inspection or enforcement R related communications with the licensee shall be conducted in accordance R with IE MC 0620 " Control of Inspection and Enforcement Documents".
R 08.02 Significant violations identified by a resident inspector during the early part of the inspection period should be identified by the prompt issuance of a Notice of Violation (NOV) with a cover letter indicating that detafis will be provided in the inspection report to be issued later.
The inspection report will reference the NOV transmitted earlier.
0610-09 RELEASE OF INSPECTION REPORTS R
09.01 The primary emphasis with regard to control over the release of draft inspection reports is to ensure that official NRC documents and their inspection conclusions. are published without any taint, either real or perceived, of improper influence by those we regulate.
At the same time, these procedures are not intended to inhibit the NRC field staff from free-ly commenting on safety issues at the preliminary stages of fact collection and evaluation.
However, these procedures and underlying policy also serve to address the basic problem that licensees shall not be affor ded opportu-nities to modify NRC documents to their advantage outside the pJblic arena.
Hence, all inspection documents shall be controlled prior to their official R
issuance as described in IE MC 0620. " Control of Inspection and Enforcement R
Documen ts".
R 0610-06/06.02h3 Issue Date:
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06.02 Exempt Information.
The following types of information shall not be included in inspection reports:
a.
Information classified as National Security Information (NSI) in R l
accordance with the provisions of the President's Executive Order R and the Information Security Oversight Office Directive or that R i
which is classified as Restricted Data in accordance with the R Atomic Energy Act of 1954 R
b.
Personal preferences of the inspector as opposed to presentation of technical positions on 552(b)(5)).
items and areas inspected (ref. 5 U.S.C.
Note:
Inspectors may m~ke their personal concerns known through an a
evaluation memorandum to NRC Regional and Headquarters management.
This memorandum may be subject to release under the Freedom of In-formation Act (F0IA) but in most cases could be withheld pursuant to exemption 5.
c.
Identity of persons providing information to the NRC under an express pledge of confidentiality, or under such circumstances that confidentiality can be inferred, and any details of information that would reveal the identity of such persons (refs. 5 U.S.C.
552(b)(6) and 10 CFR Sections 9.6 and 19.16).
R Exception:
If 1 is necessary to report confidential information to support the inspection findings and the information would reveal the identity of the source, then the information should be included in an enclosure to the report in a manner that it will be disclosed -
only to NRC addressees who have a need to know. Such information R should be clearly identified and pages shall be marked that the R informa tion is not for disclosure to the licensee or the public.
R d.
Names of individuals who have received exposure to radiation, or R other identifying information of a personal or medical nature, the R
disclosure of which would constitute a clearly unwarranted invasion of personal privacy (refs. 5 U.S.C. 552(b)(6) and 10 CFR 9.6).
R Excerpts from NRC or other government agency documents that have e.
not been disclosed to the public (ref. 5 U.S.C. 552(b)(5)).
f.
Informa tion exempt from mandatory public disclosure pursuant to 5 U.S.C. 552(b)(4) - trade secrets, commercial or financial infor-mation - and safeguards information pursuant to section 147 of the Atomic Energy Act.
Safeguards information pursuant to Section 147 of the Atomic Energy g.
R Act of 1954 R
h.
Exempt information shall also include:
1 R
- 1. information exempt from mandatory disclosure under 10 CFR 2.790, R
"Public inspections, exemptions, recuests for withhc' ding" and R
under 10 CFR 9.5, " Exemptions".
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- 2. information subject to a claim ter withholding from pubifc dis-R closure as set forth in 10 Cip 2.790(b)(1).
R Issue Date: 0610 04/n# n'
This is followed by the detailed description of the action or lack of action constituting the deviation. In addition, the inspector should describe the safety or safeguards significance of the deviation.
d.
Exit Interview.
List the names and positions or titles of persons the exit interview (s with licensee or vendor manage-present at If the list of persons c)ontacted identified tN person (s ment.
participating in the exit interview (s) (see Section ~05.04a,
referencing note is adequate and the list need not be repea)ted.
a This f.ection should briefly describe each subject discussed at the exit interview, but should not describe in detail the specific items discussed elsewhere in the report.
To the extent that man-agement expresses a position (agrees, disagrees) on the inspection findings, this position should be factually reported.
It is not necessary, however, to report the licensee's or vendor's planned corrective action for noncomp11ance and deviations since the licen-see or vendor will be given an opportunity to provide the informa-tion in writing.
Any contact after the exit interview regarding changes in either the licensee's or inspector's position on an item should also be reported.
Enforcement Conference /Manacement Meetina.
If an enforcement e.
conference or management meeting is held before the inspection report is issued, then a brief summary of it should be included in the report.
05.05 NRC Records Released to the Licensee.
In the event tnat copies of R inspection released to the licenseerecords or information contained'therein, are discussed with or R
prior to the issuance of the official inspection R report, these disclosures shall be noted in the inspection report.
In ad-R dition, the released documents shall be appended to the inspection report R
as an enclosure as directed by IE MC 0620 " Control of Inspection and En-forcement Documents".
R These inspection records include all materials R related to safety or security findings, briefing materials, and copies of
.R licensee documents containing inspector notations if the inspector deems it -R necessary to retain a copy of the licensee document released.
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0610-06 INFORMATION EXEMPT FROM OISCLOSURE i
06.01 Gene ral.
Except for those attachments to inspection reports that contain exempt closed to the public in accordance with IE Manual Chapter 0611.info Care must
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be exercised to prevent the disclosure of exempt information.
In some cases, it may be necessary to include exempt information in inspection re-ports sent to the licensee and NRU addressees and, at the same time, with-hold disclosure to the public.
identifying and withholding exemptTo simplify the administrative details of information in inspection reports, all exempt information must be separately identifed and included in an enclo-sure(s) to the report, or in the case of safeguards information, de.leted.
i 0610-05/05.04c2 Issue Date:
The previous statemGnts are illustrative and are not intended to be used exactly as written.
In addition, other statements-may be appropriate in certain situations.
For violations and deviations, the extent of reporting is related to the inspection findings as follows:
- 1. Violation.
It is necessary to provide full substantiating in-formation for violations.
Safeguards violations must also be fully substantiated; however, precautions must be taken to prevent disclosure of exempt information (see Section 06).
The information required is a clear statement of the requirement -
i appropriately referenced, paraphrased, or quor d - and a de-i tailed description of the manner in which the l uensee or vendor
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did not meet the requirement.
This description should be in sufficient detail to permit a knowledgeable reader to come to the same conclusion.
The description of the violation shall include, as appropriate:
the requirement how requirement was violated when and for how long did violation exist by whom was it violated who discovered and/or reported the violation are there* multiple examples of the violation what caused the violation is there evidence of careless disregard for requirements or management involvement how many opportunities did licensee have to discover the violation what corrective action and/or compensatory measures were,
taken If the requirement is conditional, the supporting information should describe the way in which the conditions are satisfied to make it clear when the requirement applies and when the vio-lation occurred.
Reference to severity level will not be made in the inspection report.
- 2. Deviations.
The required substantiating information is similar to that for a violation except that, instead of describing a requirement, the inspector must describe the provisions of the applicable guide, code, or standard, or the generally accepted practice in the industry or the licensee's failure to meet a legally non-binding commitment.
A Issue'Date: 0610-05/05.04c
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The inspection details will include sections, as appropriate, for each of the topf es identified in Section 05.04a-d, below.
Examples of inspection reports (cover page and inspection details) are provided in Exhibits 3-5.
Guidance on the extent of detaf f expected for each section of the inspec-tion details is provided below:
a.
Persons Contacted.
List the licensee or vendor representatives or any other individuals who furnished information for the inspection.
Limit the list to those who contributed significant informatio' n during the inspection.
Include the name and title of each indi.
vidual.
Indicate by an asterisk or other suitable note those individuals who participated in the exit interview.
The inspector may summarize the number and type of people interviewed but who did not provide substantive or relevant information.
Also include other NRC personnel in attendance such as the Resident Inspector for region-based inspectica reports, b.
Action on Previous Inspection Findings.
Describe any significant licensee or vendor action on previously identified inspection findings.
Provide a description of the findings and a statement as to whether each item included remains open or is closed.
Inspection reports are not used to track all matters considered open; therefore, it is not necessary to list all outstanding items and all violations that the Regional Office still considers open.
Rather, this part of the report contains information related only to those items examined during the inspection.
Functional or Program Areas Inspected.
c.
This is the main body of the report which briefly describes the functional or program areas inspected and provides the necessa ry description of inspection findings.
It is divided into paragraphs titled with the subjects or titles of the inspection procedures under which the inspection was performed.
If independent inspection effort was expended on the inspection, a separate paragraph should be provided to discuss the area inspected.
For each program or functional area examined, the inspector should.
report:
(1) what was inspected, (2) time period covered by the examination or review, (3) a brief description of specific inspec-tion activities carried out during the inspection, and (4) the significant findings and conclusions of the inspector relative to the licensee's performance.
With respect to conclusions, for each subject area covered, the inspector should include a statement similar to one of the following:
No violations or deviations were identified in the review of this program area.
This program area requires further review and evaluation and is considered to be an open or unresolved item.
(A reason should be stated.)
The following violations (and/or deviations) were id er,ti fied during the inspection of this program area.
0610-05/05.04 Issue Date:
f c.
Results.
When violations and/or deviations are found, include a-sentence that describes each item briefly and in general terms.
When no such items are disclosed, it is sufficient to report that no violations or deviations were disclosed.
d.
Exempt Infomation.
If the report contains infomation that is exempt from discldsure to the public, the summary shall exclude all such exempt information. All exempt information is to be contained separately in an enclosure to the inspection report, if possible.
The distribution of inspection reports containing safeguards infor-mation will be controlled in accordance with NRC Manual Chapter 2101.
Before placing these reports in the POR or making general distribution, delete all safeguards information.
The summary shall contain no safeguards information.
The description of subjects examined should normally present no particular problem in drafting the description to exclude exempt information, but care should be exercised.
Violations and deviations must be described in general tems to preclude disclosure of exempt infomation.
e.
Materials Inspections.
A complete formal report must be prepared for any. materials inspection that involves (1) an inspection of a Priority 1 licensee except a radiographer, (2) a special inspection conducted in response to an allegation or licensee incident or event, or (3) an inspection that may result in elevated enforce-Other material inspections may be documented with a femal ment.
cover page plus inspection notes or a ecmpleted NRC Form 591 plus inspection notes.
Inspection notes should be legible and contain sufficient detail to define the scope of inspection, the status of compliance of topics examined during the inspection, the status of followup items involving prior enforcement or reported licensee events, and sufficient information to support any findings of non-compliance, f.
Vendor Inspections.
For vendor inspections, the summary should contain brief statements that describe the systems or processes exainined.
Deviations from com,itments are described similarly to violations at licensed facilities.
Additionally, for vendor in-spection reports, the example shown in Exhibit 2 shall be used.
05.04 Inspection Details.
This part of the inspection report includes a brief description of the inspection activities carried out during the in-spection and a detailed discussion of inspection findings to substantiate any identified health and safety concerns, violations, or deviations.
The report must be factual; findings must be clearly stated and must include a discussion of how the findings and conclusions were determined but should not discuss conclu: ions on enforcement issues.
The emphasis should be on significant findings that may have an impact on safety or safeguards and/or represent noncompliance with NRC regulations or i
license conditions.
The report is not intended to be a lengthy discourse of activities carried out so as to justify the time spent or to demonstrate one's knowledge of a particular technical ares.
If no violations or devia-tions were identified, then succinctly state the activities carried out during the inspection and state the conclusions drawn relative to the li-censee's, contractor's, or vendor's perfomance.
Issue Date: 0610-05/05.02c
03.11 Violation.
The failure of a licensee to comply with a requirement.
R 0610-04 RESP 0NSIBILTIES All staff members who conduct inspections are required to prepare inspec-tion reports to document the results of inspections in accordance with this manual chapter.
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L 0610-05 DOCUMENTATION REQUIREMENTS 1
05.01 All inspections must be documented in an inspection report unless
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otherwise specified in the inspection program.
05.02 All inspection reports, except materials field notes, consist of (1) a cover page that identifies the licensee, date(s) of inspection, and other summary details (see Section 05.03), and (2) subsequent pages which provide inspection details and the necessary information to support substantiate significant safety findings (see Section 05.04).
and 05.03 Cover Pace.
provides basic identifying information about the licensee inspected and a brief summary of the scope and findings of the in-spection.
An example of a cover page for an inspection report is provided in Exhibit 1.
Most of the information required for the cover page is obvious from the captions (some explanatory notes are provided in Exhibit 1).
It may be the only record of the inspection and should be typewritten but ma be printed legibly in an ink that can be photocopied (see Section 05.03e.
The Inspection Summary on the cover page provides a brief, na rrative description of the scope and results of the inspection.
It contains the dates of inspection, the report number, a description of the subjects or areas examined, and the results of the inspection.
be in a computer file for later retrieval, it is important that each sum-Since the su mary be an accurate description of the inspection. [ Inspector's advice, R
opinions or recommendations nrrmally shall be exempted from inclusion in R I
the sumary or the underlying reporty R
Keep the summary as brief as possible.
It should be a factual representa-pi b tion of what was inspected and the findings.
where possible.
Since the cover page of all inspection reports is intendedUse ab
y,s e.
for release to the public, no classified information, safeguards informa-tion, or other information exempt from disclosure shall be included.
(See Section 06 for procedures for handling exempt information.)
Additional details on some of the in formation to be included in the suma ry l
are provided below:
Description of subjects or areas examined.
The., inspector should a.
list in brief narrative form the principal areas and functions inspected and any inspection procedures covered.
b.
Inspection effort.
Include a statement to show the total amount of j
onsite inspection time (inspector hours) and the number of inspec-1 tors involved.
If appropriate, identify the numoer of offshif t I
inspection hours.
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l 0610-03/03.11 Issue Date:
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DI CHAPTER 0611 REVIEW AND DISTRIBUTION OF INSPECTION REPORTS 1
0611-01 PURPOSE of inspection reports to guard against the inappropr information and for the subsequent distribution of the final reports to NRC offices, other government agencies, and the public.
inspection 0611-02 OBJECTIVES 02.01 spection reports after the completion of the reviews iden 05 of this manual chapter.
02.02 All inspection reports shall be controlled prior to their issuance in accordance with IE MC 0620, " Control of Inspection and Enforce official R
ment Documents".
R R
02.03 by the NRC staff without licensee or vendor review. Proprietary rev ity of the licensee or vendor, It is the responsibil-tell the inspector that the material provided in the course of an inspe tion is proprietary.
nature of material in the report, licensee / vendor clarification m R
quested of the questionable information contained in the inspection report
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before distribution.
R 1'1 R
p 02.04 All reports will be reviewed by the NRC staff to ensure that the reports do not contain exempt 9.5(a). Once reports are clearedinformation within the meaning of 10 CFR by this review process all nonexemot portions will be placed in the Public Document Room (PDR)(see Section 05 01 7
and 05.02).
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02.05 Those portions of inspection reports deemed by staff to contain sensitive information as in 10 CFR 73.21 (safeguards), information that meets the test of 10 CFR 2.790(d)(1) (physical protection), or classified information (e.g.
National Security) will be routinely withheld from public disclosure.,
licensees and vendors is not necessary.Therefore a review of those portions of report (see IE Manual Chapterinformation is required to be contained in 0610-06).
- Issue 0" { __
0681-03 DEFZNTTIONS 03.01 Draft Inspection Report. Any version of the inspection report R prior to its official issuance.
It is to be considered a draft inspection R report from its initial and management review, untildevelopment, throughout the period of supervisory R final publication and distribution in accord-R ance with this manual chapter.
R 03.02 Exemot Information.
Information not releasable to the public or potentially the licensee that shall not be normally included in inspection reports.
This information includes:
Information classified as National Security Information in a.
accord-R ance with the provisions of the President's Executive Order and R the Infomation Security Oversight Office Of rective or that which R i
is classified as Restricted Data in accordance with the Atomic R Energy Act of 1954.
R b.
The personal advice, opinions, and recommendations of the inspector as opposed to an NRC position, opinfon, or recommendation or the inspector's presentation of technical positions on items and areas inspected (ref. 5 U.S.C. 552(b)(5)).
c.
Identity of persons providing information to the NRC under an express pledge of confidentiality or under 'such circumstances that confidentiality can be inferred and any details of the information that would reveal the identity of such persons (refs. 5 U.S.C. 552 (b)(7) and 10 CFR Sections 9.6 and 19.16).
R d.
Names of individuals who have received exposure to radiation or other identifying information of a personal or medical nature, the R disclosure of which would constitute a clearly unwarranted invasion of personal privacy (ref. 5 U.S.C.552(b)(6) and 10 CFR 9.6).
R Excerpts from NRC or other government agency documents that have e.
not been disclosed to the public (ref. 5 U.S.C.552(b)(5)).
f.
Infomation exempt from manda tory public disclosure under to 5 U.S.C. 552(b)(4) - trade secrets, commercial or financial infor-mation.
Safeguards information pursuant to Section 147 of the Atomic Energy g.
Act.
h.
Exempt information shall also include:
- 1. information exempt from mandatory disclosure under 10 CFR 2.790, R
"Public inspections, exemptions, requests for withholding" and R under 10 CFR 9.5, " Exemptions."
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- 2. information subject to a claim for withholding from public dis-R closure, as set forth in 10 CFR 2.790(b)(1).
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- 3. information submitted in confidence to the NRC by a fo reign source and which is determined by NRC to be exempt from' public disclosure pursuant to 10 CFR 2.790(d)(2),
a Issue Date:
2-0611-03/03
03.03 Official Issuance The final publication and distribution of doc-R j
uments which have received the concurrence and signature of all appropriate levels of management in accordance with this manual chapter.
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03.04 Proprietary Information.
Information consisting of trade secrets comme rci~n 1 or financial datory public disclosure (see Section 03.02 above).information or other 0611-04 RESPONS!8ILITIES 04.01 IE/Recional Management. Guard against the inappropriate release of information in inspection reports by ansuring that all exempt procedures identified in this manual chapter are followed in conducting the steps and inspector's proprietary review of the inspection report and during the sub-l sequent distribution of the report.
04.02 IE/ Inspection Staff.
Guard against the release of exempt informa-tion in inspection reports by following the steps and procedures identified 1
in this manual chapter.
0611-05 BASIC REQUIREMENTS' 05.01 A review of draft inspection reports will be conducted at the branch chief or section chief level to determine if the report contains exempt information.
This type of infomation is not releasable to the pub-lic or potentially the licensee, hence it is not included normally in the inspection report.
R However, there may be cases where despite the efforts of the report writer, some information, which is considered exempt, may be acquired and inadvertently appear in a report.
If exempt information must be included, such information is to be contained in a separate enclosure to the report or, if this is not possible, the in-spector should ensure that clearly marked in accordance with NRC Manual Chapter 2101, Part XV 05.02 Inspection reports containing safeguards information shall be con-trolled in accordance with NRC Manual Chapter 2101.
Before placing these reports in the PDR or making general distribution, all safeguards informa- -
tion will be deleted.
The summary shall contain no safeguards information.
The description of subjects examined shall normally present no particular
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problem in drafting the description to exclude exempt information, but care i
should be exercised.
al terms to preclude disclosure of exempt information. Violations and devia 05.03 If the report contains proprietary information, those portiens con-taining this information shall be marked in accordance with NRC Manual Chapter 2101, Part XVI.
If there is significant doubt as to whether or R not the material is licensee citing the information in question. proprietary, clarification shall be reque R
The letter transmitting this R clarification view and notification instructions. request will contain a paragraph which provides spec R
One example is as follows:
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R I
i 0611-03/03.03 Issue Date:
1 a
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closed information will be placed in the NRC"In accordanc you notify this office, by telephone, within 10 days of the date of this letter, and submit a written application to withhold the informa tion contained therein.
ments of 10 CFR 2.790(b)(1).Such application must be consistent with the re i
within the specified periods noted above, thisIf we do not hear from you in thi available to the public and placed in the Public Document Room."informatio R
C,,,
A copy of the final inspection report shall not be sent to the licensee R l prior to its official without the express permission of theissuance in order to review for exempt information RM described in IE MC 0620.
Executive Director for Operations as RH R."p, headquarters in the case of IE conducted inspection P@.
05.04 A h.*
days from the date of the NRC transmittal letter that it intends to file a request for withholding, the report shall be distributed.
i e 05.05
((.
days from the date of transmittal letter) application, f tion to the region or IE headquarters that one will be forthcoming the licensee / vendor by telephone and in writing tha
, the question is being released to the public unless extenuating reasons dictate in i
othe rwis'e.
05.06 Following receipt of an application from a information licensee to withhold claim appea,rs to be justified.the regional office must make a decision as to wh All such claims must be reviewed by the Regional Counsel.
In the case of claims relating to IE inspection reports, the Director, IE will review these claims with the Office of the Executive Legal Director (ELD).
orized to approve an application to withhold information from closure.
05.07 If the Regional Administrator / Director, IE maintains that the claim should be rejected, the matter must be forwarded to the Regional Counsei
/ ELD.
licensee's or affected party's claim should be rejected.Such d j
The affected 11
~
3 Regional Counsel / ELD and that public disclosure of tion will be held in abeyance pending resolution.
05.08 withhold exempt information, IE or the region must en of the report to be distributed outside the NRC by IE or the region are treated to delete the exempt information.
i deleted" in the margin and reproducing the treated pa j
IE or the regien l
must pages of the inspection report clearly marked that the re formation exempt from public disclosure under 10 CFR 9.5(a)(4).
\\
Issue Date: 0611-05/05.03
0611-06 DISTRIBUTION OF REPORTS R
Following completion of the review process described in Section 05, the i
inspection report should be distributed promptly by IE headquarters or the
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i region.
Distribution patterns for inspection reports shall be established
(
as follows:
(
i 06.01 For each licensee and vendor, a distribution list should be esta-blished, as appropriate, to provide copies to the licensee's site and/or corporate headqua rters, state and local appropriate, and internally within the region and IE. governments, other entities as 06.02 Distribution of inspection reports to the Public Document Room, local Public Document Room, and to other offies within NRC will be accom-plished through placement of the report in the NRC Document Control System.
See NRC Manual Chapter 0232," Placement of Documents in the NRC Document Contrcl System".
IE in accordance with NUREG-0910.The original final report will be filed in the r 06.04 All materials inspection reports prepared in accordance with this manu.a1 cnapter must be placed in the NRC Occument cept radiographer, (2) inspections conducted which are significant to public health and safety,in response to allegations (3
inspections which cial incidents such as overexposure,t actions, and (4) ) inspe will result in escalated enforcemen large release of radioactive material, For all other materials inspections only the cover page of the report etc.
or the Form 591 needs to be entered into the DCS.
The cover page or the Form 591 with the field notes attached are to be maintained on file at regional offices for as long as the regions wish but not less than 5 years after review for retirement in accordance with NUREG-0910.
Formal reports, Nctices of Violation (NOVs), (including Form 591 NOVs clear or not clear) and licensee responses to NOVs, are to be forwarded to IE headquarters.
These will be reviewed by IE to assess the materials inspection program implementation in the regions.
END l
i e
1 0611-06/06 Issue Da:e:
DI CHAPTER 0620 CONTROL OF INSPECTION AND ENFORCEMENT DOCUMENTS 0620-01 PURPOSE and enforcement related documentation prior to th tribution.
0620-02 OBJECTIVES 02.01 l
and Regional Administrators so that they and their s to disseminate appropriate inspection related safety or safeguards informa-tion to licensees.
02.02 Ensure that inspection / enforcement documents are developed and is-sued without improper influences, real or perceived, by. the public or by licensees.
0620-03 DEFINITIONS 03.01 Administrative Inspection Material.
Inspection documents that in-clude only the following items:
a.
interview schedules b.
personnel to be interviewed licensee documents to be reviewed c.
d.
licensee activities to be witnessed 03.~02 Enforcement.
The documentation and cha racteriza tion of potential including the issuance of notices, orders, and civil pena 0400-03 03.03 Enforcement Document. All materials considered to be enforcement actions to be instituted for potential licens deviations.
03.04 Insoection.
The examination, investigation, review, or evaluation of any record or activity of a licensee or vendor to determine the safety Issue Date:
significance of that record or activity and/or to assure comp 11ance with I
any applicable rule, order, regulation, or license condition pursuant to the Atomic Energy Act.
An inspection is considered to be:
j One or more visits to the licensee's or vendor's site and/or corpor-a.
ate headquarters made to satisfy an established inspection require-ment.
Normally, only visits made within a 30-day period may be considered to be a single inspection.
Return visits to complete the exit interview with management or to conduct an enforcement confer-ence are included in the same inspection report.
b.
A series of activities conducted by resident inspectors during a period of up to six weeks.
1 An in-office review of licensee documents or reports, possibly per-c.
formed without resident inspector assistance (e.g., followup inspec-tion conducted to review 10 CFR 21 reports, 10 CFR 73.71(c) licensee j
event reports, or licensee operating procedures).
j 03.05 _ Inspection Document. All materials related in any way to the in-spection of the licensee or vendor which are considered to be NRC records as defined within 10 CFR, Part 9.
03.06 Licensee.
The applicant for or holder of an NRC licensee or a con-struction permit, their agents or subcontractors.
03.07 NRC Record.
Any book, paper, map, photograph, brochure, punch card, magnetic tape, paper tape, sound recording, pamphlet, slide, motion pic-ture, or other documentary material regardless of form or characteristics, made by, in the possession of, or under the control of the NRC pursuant to Federal law or in connection with the transaction of public business as evidence of NRC organization, functions, policies, decisions, procedures, operations, programs or other activities.
03.08 Official Issuance.
The final publication and distribution of documents which have received the concurrence and signature of all appro-priate levels of management in accordance with IE Manual Chapter 0611 for inspection documentation and IE Manual Chapter 0400 for enforcement docu mentation.
03.09 Vendor.
Licensee Contractor and Vendor Inspection Program.Any non-license 0620-04 RESPONSIBILITIES AND AUTHORITIES 04.71 Executive Director for Ooerations (ED0).
Approves the release of all inspection / enforcement documents which nave not been officially issued or information contained therein, except in the cases where release author-ity has been granted to the Director, IE or to Regional Administrators for significant safety or safeguards issues.
04.02 Di recto r, IE/Reofonal Administrators.
Are responsible for assuring their staff is cognizant 4
a.
of the guidance provided within this procedure with respect to the control of documents.
Issue Date:
.- ^#'^
^ ' " ' ' ^ "
b.
obtaining EDO approval before releasing a draft inspection / enforc ment document or any information contained therein, including discussions of that document.
tion / enforcement document and of the facts c.
and corrective actions, as appropriate, to be taken to prevent re-currence.
d.
documents to the licensee when this release is l
fective communication of significant reactor safety or safeguards issues.
04.03 _ Division / Staff Directors. Are responsible for a.
assuring. that inspection / enforcement documents are properly con-I trolled prior to their official issuance.
i b.
immediately in forming the Director, IE/ Regional Administrator of facts concerning the release.the improper release of an inspec documents to the licensee when this release is c.
I fective communication of significant reactor safety or safeguards issues d.
rep k + A 0..'o n /G,6I b f S M " W I"' " '
^
'~t J.ud o 04.04 Staff.
Are responsible for
"^ ' # # " j',,.e s a.
remaining cognizant of and following the guidance provided within i
1 this procedure.
If a staff disclosure of an inspection / enforcement document or inform tained the rein, that person shall immediately notify management.
b.
ficant reactor safety or safeguards concerns if rele the effective communication of these issues to the licensee i
documents to the licensee when this release is c c.
1 fective communication of significant reactor safety or issues.
safeguards
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0620-05 REQUIREMENTS 05.01 No portions of any inspection / enforcement document, or to any other group or person external to the NRC or information
(
document's official
- issuance, without the express permission of the EDO.
l 0620-04/04.02d Issue Date:
05.02 If any document is inadvertently or improperly relelsed by the NRC, its contractors, or other government agencies contrary to this policy, the EDO shall be advised promptly in writing.
Corrective actidn shall be taken by the responsible office to avoid recurrence of such relefses.
the released document shall
- Normally, (PDR).
also be placed in the Publeic Document Room 05.03 In the normal course of conducting regulatory a.ctivities, communica-tions with licensees, vendors agencies are at times necessar,y regarding initial NRCtindustry representatfie staf0 positions, 11-cense conditions, inspection findings, events at otife'r facilities, etc.
Such communications can be held in advance of the fina^1 NRC doc the purpose of (1) gaining factual information, (2)-assefsing the cost, feasibility and benefit of, or alternatives to, propose'd'Ulctions, or (3) alerting licensees to initial staff positions of safety Mndings so that corrective actions can be initiated promptly.
The re'striMons on the re-lease of inspection / enforcement documents are not int'eddgnto impede such exchanges of information.
to licensees or the public shall, however, be placed in thd PDR.Any w V
a.
Safety or Security Information.
I.
Safety or security information shall be prom ' y and clearly communicated to responsible licensee manage 5ent t obtain prompt licensee evaluation and, if
- appropriate,9 err' tive action.
2.
Few circumstances exist where these communications cannot be relayed orally, therefore, no inspection / enforce %ent documents shall be given to the licensee unless the safety sue in question is so critical that verbal comrm;8F security is-hfications will not suffice in expeditiously correcting the s1fttfation.
If the release of documentation is necessary, prior appp' oval shall be obtained from the inspector's management, when If time is critical in the release of this documen,possible.
tation to the licensee in order to prevent or mitigate i potdhtf al reactor safety or safeguards event, the inspector shall iTnmediately re-lease this documentation on his own authority.
'In this case, the inspector shall notify management of the relehe and of the i u /;h circumstances surrounding it as soon as practicabid.
,_.O ;,
3, These safety or security communications sha~11 be noted in the i
inspection report, and a copy of any releases J iven to the g
licensee shall be appended to the inspection rip 6Pt.
4.
The EDO does not require to be advised of appropd8tely released safety or security information.
~'ar b.
Briefiro Documents.
Documents prepared by the st'aff'f8r use in man-Unentmeetingswithlicenseesoccasionedbyinspecti66 activities, shall be reviewed and approved for release by regionaffIE management or the inspection team leader, as the situation dictates, prior to the inspection report.
This information shall Se appended to
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distribution at a meeting.
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l 4
Issue Date: 0620-05/05.02
-______________D
t 1
c.
Administrative Inspection Documents.
To ensure that the proper and L
effective conduct of inspection or regulatory functions is not
-impeded, administrative. inspection materials, incident to the con '
duct'of the inspection,.may be. released to the licensee in any form
)
without prior approval.
In addition, these materials need not be placed in-the PDR or appended to the inspection report.
d.
Licensee Documents.
Any copy of a licensee document (clean copy or inspector annotated) obtained during the course of the inspection-may be released back to-the licensee at any time the inspector deems necessary to further the conduct of the inspection.
For example, it may be appropriate for the inspector to annotate a licensee dr' awing, strip chart, test procedure, or test results and then return this document to the licensee to aid.in the communication of inspector concerns. These document releases do not require any express permis-sion or inclusion of the document in the inspection report.
How-ever, if the inspector deems. it necessary to retain a copy. of the
')
document that was released, then that copy becomes an NRC document and as such, must be placed in the POR as an addendum of-the inspec-tion report.
~
05.04 Information released to the licensee over safety or security. find-ings shall not include any of the following topics of discussion:
potential severity level of any violation.
a.
b.
opinions as to whether a civil penalty, enforcement conference, or investigation will result.
negotiations over inspection findings.
Negotiations do not. include-c.
~
the discussion of inspector findings or. conclusions as further rele-vant information is made available.
Rather, negotiations would constitute the arranging to drop certain inspector findings or con-cerns in order to obtain licensee agreement with or action on other inspector identified items.
05.05 Any departure from these guidelines shall be reported to the appro-priate office director / regional administrator.
05.06 No inspection / enforcement documents are automatically precluded from ~
release of agency records pursuant to a formal request under the Freedom of Information Act.
END A
0620-05/05.03c Issue Date: