ML20244D691

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Comments on Revised Procedures for Control of Insp & Enforcement Documents.Ie Has Been Successful in Integrating EDO Policy Statements on Release of NRC Repts & Documents Into Insp Program Guidance
ML20244D691
Person / Time
Site: Comanche Peak Luminant icon.png
Issue date: 02/19/1986
From: Sniezek J
NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
To: Taylor J
NRC OFFICE OF INSPECTION & ENFORCEMENT (IE)
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ML20237K807 List: ... further results
References
NUDOCS 8602270778
Download: ML20244D691 (5)
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Text

+ 'o UNITED STATES 8 ') e k NUCLEAR REGULATORY COMMISSION j WASHINGTON, D. C. 20555 r.%f*CV,

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...* FEB 191986 MEMORANDUM FOR: Jeames M. Taylor, Director Office of Inspection and Enforcement FROM: James H. Sniezek Acting Deputy Executive Director Regional Operations and Generic Requirements i

SUBJECT:

CONTROL OF INSPECTION AND ENFORCEMENT DOCUMENTS (IP610,611,and620) '

We have reviewed the revised subject inspection procedures and believe that your staff has done a good job in integrating the EDO policy statemer.ts on release of NRC reports and docmnents into the inspection program guidance.

Specific comments on the procedures are listed below:

IP 0610 Page 3, Section 05.03, the last sentence of the second paragraph is not clear.

Inspector's opinions and recommendations generally form the basis for inspector findings and subsequent NRC enforcement actions. What is the intent of the statement in Section 05.03.

IP 0611 Page 1, Section 02.03, this section should be revised to state that the proprietary review requested of a licensee is to be requested in a letter from the NRC.

. Page 4, Section 05.03, revise the last paragraph of this section to state that the inspection report forwarded to the license for proprietary review is the fina-1, concurred in, inspection report.

IP 0620 Page 3, Section 04.03, include a new subsection d.

.d. Reporting to the Director IE/ Regional Administrator of the release of any draft document to a licensee based on an immediate need to corm 1unicate such information to the licensee for safety for safeguards reasons.

Pag 4 3 Section_0L O4_, include a new subsection d:

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Contact:

Bill Brach, ROGR Staff 492-4359

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d.  : Reporting to the immediate supervisor of.the release of any draft document to a licensee based on an immediate need to communicate such information

'to the license for safety or safeguards reasons [ reference 05.03(a)(2)).

Originst sign!d by 1

!:9?s H. Sniazek 'l l

James H. Sniezek Acting Deputy Executive Director Regional Operations and Generic Requirements 4 i

cc: Regional Administrators 1 l

S. McNeil, IE (

S. Scott, ADM j

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pa "%q It UNITED STATES 1

I JA 1 S NUCLEAR REGULATORY COMMISSION I 3h pI OFFICE OF INSPECTION AND ENFORCEMENT Washington, D.C. 20555 ty. ...v /.

INSPECTION AND ENFORCEMENT MANUAL DI CHAPTER.0620

]

CONTROL OF INSPECTION AND ENFORCEMENT DOCUMENTS ]

l 0620-01 PURPOSE l 1

To establish the IE. policy for the control of all inspection and enforce- j ment-related documents before their release for distribution.

0620-02 OBJECTIVES j 02.01 To ensure that sufficient flexibility is provided to the Director, IE and Regional Administrators so that they and their staffs will not hesitate to disseminate' appropriate inspection related safety or safeguards information to licensees or vendors.

02.02 To ensure that inspection / enforcement documents are developed and issued without improper influences, real or perceived, by the public,

- ~ licensees, vendors, their agents or subcontractors.

0620-03 DEFINITIONS Administrative Inspection Material. Inspection documents that include only 1 the following items:

a. interview schedules
b. personnel to be interviewed
c. licensee / vendor documents to be reviewed
d. licensee / vendor activities to be witnessed Enforcement. The documentation and characterization of potential licen-see/vencor violations and deviations as defined in IE Manual Chapter 0400-03, including the issuance of notices, orders, and civil penalties.

Enforcement Document. Any material considered to be an NRC record that is related to planned or proposed enforcement actions to be instituted for potential licensee / vendor violations and deviations.

Insoection. The examination, investigation, review, or evaluation of any record or activity of a licensee or vendor to cetermine the safety or safeguards significance of that record or activity and/or to ensure compliance with any applicable rule, order, regulation, or license conci-tion pursuant to the Atomic Energy Act. An inspection is considered to be:

Issue Date: 12/23/o5

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c. To immediately inform the EDO of the improper release of an inspec-tion / enforcement document and of the facts concerning the release and corr'ective actions, es appropriate, to be taken to prevent re-currence.
d. To evaluate the need for and authorizing the release of inspection

' documents to the licensee or vendor when this release is critical

  • to the effective communication of significant reactor safety or safeguards issues.

04.03 Division / Staff Directors

a. To assure that inspection / enforcement documents are properly con-trolled prior to their official issuance.
b. To immediately inform the Director, IE/ Regional Administrator of ~

the improper release of an inspection / enforcement document and the facts concerning the release.

c. To evaluate the need for and authorize the release of inspection documents to the licensee or vendor when this release is critical to the effective communication of significant reactor safety or safeguards issues.
d. To report to the Director, IE/ Regional Administrator the release of any draft document to a licensee or vendor based on an immediate need to communicate such information to the licensee for safety or safeguards reasons.

( 04.04 Staff

)

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a. To remain cognizant of and following the guidance provided within this procedure. If a staff member becomes aware of an inadvertent disclosure of an inspection / enforcement document or information con- )

tained therein, that person shall immediately notify management. l

b. To request the release of documentation related to issues of signi-ficant reactor safety or safeguards concerns if release is vital to ,

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the effective communication of these issues to the licensee or 4 vendor.

c. To evaluate the need for and authorize the release of inspection l j

documents to the licensee or vendor when this release is critical i

to the effective communication of significant reactor safety or l safeguards issues.

d. To report to the immediate supervisor the release of any draft document to a licensee / vendor based on an immediate need to communi-cate such information to the licensee / vendor for safety or safe-guards reasons.

0620-05 REQUIREMENTS

05. 01 No portions of any inspection / enforcement document, or information contained therein, snall be oiscussed with, shown to, or given to licen-sees, vendors or to any other group or person external to the NRC before ncon - - -

tates, before distribution at a meeting. This information shall be appended to the inspection report.

c' . Administrative Inspection Documents. To ensure that the proper and 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 or vendor 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 or Vendor Documents. Any copy of a licensee or vendor document (clean copy or inspector annotated) obtained during the course of the inspection may be released back to the licensee at 0 "

time the inspector deems necessary to further the conduct o' ~s inspection. For example, it may be appropriate for the inspect - .o annotate a licenne drawing, strip chart, test procedure, or ost j result and then return this document to the licensee to aid in the '

communication of inspector concerns. These document releases do not require any express permission or inclusion of the document in the inspection report. However, if the inspector deems it necessary to retain a copy of the inspector annotated document that was released, then that copy becomes an NRC document and as such, must be placed in the PDR as an addendum of the inspection report.

05.04 Information released to the licensee or vendor concerning safety or security findings shall not include any of the following topics of dis-cussion:

/ a. Potential severity level of any violation except during enforcement i conferences.

\ During inspection exit interviews the inspector may characterize the relative significance of the violation with respect to the necessity for taking prompt or immediate corrective action. l This characterization shall not include inspector opinions concern-ing the potential severity level of the violation.

b. Opinions as to whether a civil penalty, enforcement conference, or investigation will result.
c. Negotiations over inspection findings. Negotiations do not include the discussion of inspector findings or conclusions as further rele-vant information is made available. Rather, negotiations would l

' constitute the arranging to drop certain inspector findings or con-  !

cerns to obtain licensee or vendor agreement with or action on other l inspector ioentified 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 excluded from the release of agency records pursuant to a formal request under the Freedom of Information Act.

END 0620 Issue Date: 12 m '::

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