ML20245C491

Requests Recipient Assistance in Arranging for Five Listed Courses,Especially Conflict Resolution,To Be Made Available to Region IV Personnel.Need for Training Identified in Ofc of Inspector & Auditor Rept.Regional Ofc Policy Guides Encl

ML20245C491
Person / Time
Site:	Comanche Peak
Issue date:	08/31/1987
From:	Powers D NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV)
To:	Foster W NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV)
Shared Package
ML20245C430	List: IA-87-596, Discusses Actions Planned Re Rept of Comanche Peak Rept Review Group.Review Will Be Used to Establish Actions Which Will Improve Region IV Operations ML20245C429 ML20245C476 ML20245C485 ML20245C491 ML20245C496 ML20245C647 ML20245C650
References
FOIA-87-596 NUDOCS 8711030156
Download: ML20245C491 (45)

Text

, _ _ - _ - _ _ _ _ _ _ .

. 4 KE 31 1987 )

. . - l MEMORANDUM FOR: William H. Foster, Director, DRMA t

I l FROM: Dale A. Powers, Regional Training Officer .

l j

SUBJECT:

REQUESTED REGIONAL TRAINING I

On various occasions in January 1987, Mr. Martin, Mr. Check, and I discussed with Mr. A. Spector (Office of Personnel) the need for conducting certain kinds of training in Region IV. The need for such training had been identified ss a result of the review of the OIA report on Comanche Peak. Subsequent to I that time, Mr. Spector sent us selected course descriptions, and 2 of those courses were chosen. The chosen courses were Conflict Resolution and Performance Management Workshop. We requested that Conflict Resolution be offered first. The workshop was held in March, however, we have to date been l unable to arrange for the former course to be brought to the Region. Moraover,  !

other courses that are E00-required training per the NRC Mandatory Supervisory Development Program are to be completed no later than May 8,1987. These courses are Supervising Human Resources, Management Workshop, Personnel Management Practices, and Critical Elements and Performance Appraisal. These  ;

courses have not been made available to Reo'an IV personnel although your i staff has been requesting such training since late 1986.

I request your assistance in arranging for these five courses (especially Conflict Resolution) to be made available to Region IV personnel.

Gi, -W siggg g l

D. A. POWDts l

Dale A. Powers Regional Training Officer 1 cc: l R. Martin P. Check 1

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RIV:E0 DAPowers:vsg 8/3 /87 l

8711030156 870831 PDR FOIA PDR BAUMAN87-596 L___-__________-___

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% h3 i REGION IV D 8 611 RYAN PLAZA DRIVE, SUITE 1000

%,, ,8 ARLINGTON. TEXAS 76011 FEB l 7 1987 Pegional Office Policy Guide No. 0001, Revision 0 SYSTEM 0F POLICY GUIDES AND NOTICES A.

Purpose:

u To describe the system for issuing, revising, and superseding Regional Office Policy Guides (PG) and Notices (RON).

B. Discussion:

The system of PGs and RONs is designed to require a minimum of effort in writing, issuing, and filing PGs and RONs. Although copies of PGs and >

RONs will be provided to appropriate Region IV personnel, only one full set is required to be maintained in each Division and URF0. The master set will be maintained by the Regional Administrator's secretaries.

The subject areas covered by this system are shown in Enclosures 1 and 2; the distribution list codes are shown in Enclosure 3; and the standard format and content of PGs and RONs are indicated in Enclosures 4 and 5,

. respectively.

v

.. PGs and RONs should be brief and to the point and may be used to disseminate, implement, clarify, or amplify policy or other information contained in other NRC documents. Although distribution must adequately serve the purpose of the PG or RON, the least necessary distribution should be specified.

PGs and RONs are defined as follows:

Policy Guides - Instructions, policies, procedures, or guidance intended to be of a permanent nature.

Notices - Information of a temporary nature which is intended to inform the staff, but not to establish comprehensive policy for the staff to follow.

However, RONs can be used to disseminate interim policy chai ges l which will later be incorporated into the underlying Policy Guide.

l All RONs will contain either an established calendar date for I cancellation or the statement, "This Notice remains in effect until superseded." Examples of subjects appropriately covered by an RON j would include personnel actions, announcement or cancellation of l

4 an event or meeting, information regarding administrative services

(e.g., travel, mail, files, and records), etc. RONs which pertain to, or further clarify, the same subject matter as a previously S issued PG should reference the number and title of that PG in the

' Discussion' paragraph, i

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• v.

Regiona'l Office Policy Guide

~ No. 0001, Revision 0 @I E m .

C. Action .

1. Creating Policy Guides / Notices

a. The contents of PGs and RONs are the responsibilities of the originating division or staff. Any employee may be assigned the responsibility for preparing a PG or RON; however, preparation, processing, and approval must be in accordance with this Policy Guide.

(1) General Practice Categories (0001-0099)

These PGs will be general expressions of desired or required practices for the staff to follow on selected subjects. They will not be as prescriptive as other PGs but will establish the approach this office is to use to broad issues. They will usually be prepared by the Office of the Regional Administrator.

(2) General Categories (0100 - 2600, 3200)

When a PG/RON impacts on the staff responsibilities or assigns action across divisional lines, the PG/RON will be ^

routed through the affected division for their concurrence d prior to being submitted to the Regional Administrator, or V his designee, for signature.

Responsibility for determining and assigning the PG/RON general category numoers outside of a particular division or URF0 is assigned to t'ne RA secretaries. l (3) Unique Categories (2700 - 3100, 3200)

Additional subject categories have been added for division and URF0 use. Basically, each division and URF0 have been i assigned a block of numbers to use when preparing PG/RONs {

unique to their particular office.  !

I

- When this number system is used simply to provide  !

information to other division (s), it will be concurred l in and signed by the originating division.

l - When this numbering system is used to require I coordination from another division (s), the PG/RON must I be routed for the concurrence of the affected - I division (s) prior to being submitted to the P.egional i Administrator, or his designee, for signature. j i m j Responsibility for determining and assigning PG/RON ,

}

category numbers for a particular division or URF0 is s assigned to that division or URF0 secretary, l

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Regional _0ff' ice Policy Guide

. No. 0001, Revision 0 m.

(4) TrainingPolicyGuides(4000)

These PGs will be used to document regional policy on specific issues.and for which regional management wants those items addressed separate from general category Policy Guides.

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b. After signature, the PG/RON will be sent to the RA secretaries for duplication and distribution, including those intended for division and URF0 use. The original and concurrence copies of all PG/RONs will be maintained by the RA secretaries.

Since the PGs are only useful if they are kept current, the originator's division secretary will receive the division's copy on colored paper to assist that division in identifyin all PGs that must be periodically reviewed (each 6 months) gin order to assure that their PGs are current.

2. Revisions to, or Recommending Cancellation of PGs

a. RON 3200 may be used to either cancel a PG or make minor I pen-and-ink modifications. Revisions to PGs ma accomplished by reissuing the affected page(s) marked ywith also a be vertical line in the right margin next to that part which has '

been revised.

Procedures for processing revisions are the same as discussed in paragraph C.1, above.

b. After signature, the revised PGs will be sent to the RA secretaries for final processing.

D. Contact Any comments or questions should be directed to the RA secretaries (ext. 290).

E. Effective Date This PG is in effect when issued and supe edes Regional Office Policy i Guide No. 0200, Rev. 3, dated March 27 $8 . -

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obert D. a ldd k -

Regional Administrator

Enclosures:

1. Listing of Subject Matter by Sequential Numbers

2. Listing of Subject Matter l' W Alphabetically

^- 3. Distribution List Codes

4. Standard Format for Policy Guides i l

/ 5. Standard Format for Notices DISTRIBUTION LIST: C ,

1 i

FEB l 71907 , ,

Reaional Office Policy Guide No. 0001, Revision 0

.N' ENCLOSURE 1

-x.

LISTING OF SUBJECT MATTER BY SEQUENTIAL NUMBERS 0001 GENERAL PRACTICES Safety Responsibility Communications Resolution of Issues Other General Regionai Office Operational Practices 0100 ORGANIZATION (GENERAL)

Office of the Regional Administrator Division of Reactor Safety and Projects Division of Radiation Safety and Safeguards Division of Resource Management and Administration Collateral Assignments Delegation of Authority 0200 ADMINISTRATIVESERVICES(GENERAL)

.m Reports and Correspondence #1 Mail and Reproduction O:

Files and Records ADP Support Property Control F0IA and Privacy Act Word Processing Library Services Telecommunications Space Blood Drive Toy Drive Combined Federal Compaign 0300 PERSONNEL (GENERAL) l Recruitment Time and Attendance Personnel, Reference, Appraisals, Promotions, and Transfers Incentive Awards Compensation Handling of New Employees Items of Interest J

J' w___-_-______.

FFF l 7 IPc7

.2 3

-0400 TRAINING AND EMPLOYEE DEVELOPMENT (GENERAL) .

Regional Training Sessions Middle Management Seminars Training Equipment Regular Training Requirements and Responsibilities Technical Qualification Program Administrative Qualification Program Study Tours Career Development 0500 RESOURCEMANAGEMENT(GENERAL)

Budget Contracts Accounting Purchasing Travel Imprest Fund Resource Oversight 0600 PROJECTANDRESIDENTPROGRAMS(GENERAL)

Planning and Operations Documentation Files and Records Ir.tra Branch Assignments of Functional Responsibilities Intra and Inter Branch Guidance Assignment of Collateral Duties Evaluations of Facilities 0700 ENGINEERINGANDOPERATIONALPROGRAMS(GENERAL)

Planning and Operations Documentation Files and Records Intra Branch Assignments of Functional Responsibilities Intra and Inter Branch Guidance Assignment of Collateral Duties ConstructionAppraisalTeam(CAT) 0800 EMERGENCY PREPAREDNESS AND MATERIALS SAFETY PROGRAMS (GENERAL)

Planning and Operations Documentation Files and Records Intra Branch Assignments of Functional Responsibilities n Intra and Inter Branch Guidance I i

Assignment of Collateral Duties Rapid Dose Assessment l l

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0900 SAFEGUARDS (GENERAL)

Planning and Operations Documentation Files and Records Intra Branch Assignments of Functional Responsibilities Intra and Inter Branen Guidance Assigriment of Collateral Duties Inspector Credentials 1000 ENFORCEMENT (GENERAL)

Form and Content Escalated Enforcement Activities Confirmation Action Letters Audits Intra and Inter Region Coordination 1100 INVESTIGATIONS (GENERAL)

Form and Content Files and Records ,c s Program Requirements y flon-Program Requirements 'L_L/

Cocplaints and Allegations External Investigations 1200 SECURITY (GENERAL)

Classified Material Proprietary Information Confidentiality of Complaints Regional Office Security and Access Accessibility of Correspondence and Property 1300 INFORMATIONDATAPROCESSINGSYSTEM-COMPUTERSYSTEM(GENERAL) 5520 System Open Item Tracking System Action Item Tracking System Licensee Event Reports DATA Communications Procedures for Requesting Computer Information Manpower System (RITS)

I 766 Information Report Tracking System ,,

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1400 TECHNICAL AUDITS AND APPRAISALS (GENERAL)

Audits of Licensees, Enforcement History Travel and Imprest Fund Audits Audits of Branches Audits of Inspector Activities Audits of Contracts Nonregional Audits 1500 EMERGENCIES, INCIDENTS,ANDACCIDENTS(GENERAL)

Regional Plans Response Guidance Handling and Filing of Facility Emergency Plans Transportation of Licensee Materials Staffing 1600 STATEANDAGENCYRELATIONS(GENERAL)

Meetings 1700 PUBLICAFFAIRS(GENERAL) ,

. , Relations with Members of Public

• Policies Concerning Inquiries from Communication Media and General Public Seminars ]

1800 CONDUCT OF CMPLOYEES' (GENERAL)

Conflict of Interest Staff Performance Performance in the Field 1900 COMMUNICATIONS (GENERAL)

Issuance of PNs Maintenance of Telephone Logs Inter Office Communications Intra Office Communications Division Meetings Emergency Telephone Conversations 2000 DUTYOFFICER(GENERAL)

Responsibilities of Regional Duty Officer 2100 PERSONNELANDOFFICE!AFETY(GENERAL)

Emergency Medical Aid f

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FTP i 7 Nn7 5-Q' t 1 2200 INSPECTIONS (GENERAL)

Planning, Preparation, and Control On-Site Activities Documentation Files and Records Resident Program Performance Appraisal Branch (PAB)

Safety Significance Issues Technical Assistance 2300 REGIONAL COUNSEL (GENERAL) 2400 REACTORLICENSING(GENERAL) 2500 MATERIALLICENSING(GENERAL) 2600 -OPERATOR LICENSING (GENERAL) 2700 0FFICE OF THE REGIONAL ADMINISTRATOR Enforcement Investigations State and Agency Relations o}

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Public Affairs ,

Regional Counsel 2800 DIVISION OF RESOURCE MANAGEMENT AND ADMINISTRATION Administrative Services Personnel Training and Employee Development Resource Management ,

Security Information i Data Processing Systoms - Computer System  !

Technical Audits and Appraisals I Conduct of Employees i Communications (

Personnel and Office Safety 2900 OIVISION OF REACTOR SAFETY AND PROJECTS l l

Project and Resident Programs  !

Engineering and Operational Programs .

Communications ,

Inspections -

Reactor Licensing _.

Operator Licensing )

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3000 DIVISION OF 0,ADIATION SAFETY AND SAFEGUARDS .

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Emergency Preparedness and Materials Safety Programs  :

Safeguards, Security, Emergencies, Incidents, and Accidents Duty Officers l Inspections Materials Licensing 3100 URANIUM REC 0VERY FIELD OFFICE 3200 POLICY GUIDE CHANGES 4000 TRAINING POLICY GUIDES

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Regional Office Policy Guide i l No. 0001, Revision 0 ,l ENCLOSURE 2 LISTING OF SUBJECT MATTER ALPHABETICALLY ADMINISTRATIVE SERVICES 0200 l COMMUNICATIONS 1900 l'

CONDUCT OF EMPLOYEES 1800 DIV. OF RAD SAFETY & SAFEGUARDS 3000 DIV. OF REACTOR SAFETY & PROJECTS 2900 DIV. OF RESOURCE MANAGEMENT & ADMINISTRATION 2800 DUTY OFFICER 2000 EMERGENCIES, INCIDENTS & ACCIDENTS 1500 ENFORCEMENT 1000 ENGINEERING & OPERATIONAL PROGRAMS 0700 EMERGENCY PREPAREDNESS & MATERIALS SAFETY PROGRAMS 0800 GENERAL OPERATIONAL PRACTICES 0001 INSPECTIONS 2200 INFORMATION DATA PROCESSING SYSTEMS - COMPUTER SYSTEMS 1300 ']

INVESTIGATIONS 1100 sj MATERIALS LICENSING 2500 0FFICE OF THE REGIONAL ADMINISTRATOR 2700 OPERATOR LICENSING 2600 ORGANIZATION 0100 PERSONNEL 0300 PERSONNEL & OFFICE SAFETY 2100 POLICY GUIDE CHANGES 3200 PROJECT & RESIDENT PROGRAMS 0600 l PUBLIC AFFAIRS 1700 REACTOR LICENSING 2400 REGIONAL COUNSEL 2300 RESOURCE MANAGEMENT 0500 SAFEGUARDS 0900 SECURITY 1200 STATE & AGENCY RELATIONS 1600 >

TECHNICAL AUDITS & APPRAISALS 1400 TRAINING & EMPLOYEE DEVELOPMENT 0400 m i URF0 3100 l

FFF J 7 'or-Reaional Office Policy Guide ho. 0001, Revision 0 4

.m.

ENCLOSURE 3 DISTRIBUT10ft LIST CODES A -- Rr! Secretarial Staff & Resident Clerical Aides B -- Professional / Technical Staff C -- A & B, plus Administrative Support Staff D -- DRSP Staff only E -- DRSS Staff only F -- DRMA Staff only G -- URF0 only x.. 1 1

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ENCLOSURE 3 DISTRIBUTI0fi LIST CODES -

A -- RIV Secretarial Staff & Resident Clerical Aides  :.

I B -- Professional / Technical Staff C -- A & B, plus Administrative Support Staff D -- DRSP Staff only E -- DRSS Staff only ll F -- DRMA Staff only  !!

G -- URF0 only  :

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UNITED STATES S NUCLEAR REGULATORY COMM SION ENCLOSURE 4 i'-

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'b 611 RYAN PLAZA DRIVE, SUITE 1000 5 i l-l [ ARLINGTON, TEXAS 76011

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Regional Office Policy Guide No. 000, Revision 0 SAMPLE RPG FOR LOCATION OF SECTIONS A. Purpose This section will contain a short, concise statement on what the Policy Guide will accomplish.

l' B. DISCUSSION This section will contain general background information relating to the need for the Policy Guide.

C. Action This section provides the detailed guidance or procedural steps to be l implemented and can also indicate assignments of personnel for accomplishing the Policy Guide. '%

D. CONTACT

• J..

-This section will contain the following standard paragraph: " Suggestions or comments should be directed to TITLE (if possible) OR NAME OF CONTACT, EXT. ."  :

E. EFFECTIVE DATE This section will contain the statement, "This Policy Guide is in effect '

when issued." If the Policy Guide is a revision, this section will containthefollowingstatement,"ThisPolic{Guideisineffectwhen issued and supersedes Policy Guide (NUMBER)

Signature

Enclosure:

(Identified 2 spaces below signature) l l

Distribution List: (See RPG Enclosure 3) ^

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1. "I'%, UNITED STATES 3X NUCLEAR REGULATORY COMMISSION ENCLOSURE 5 M/i 'E 5' l I "E ' " 'V (5520: NOTICFFURRAT) 611 RYAN PLAZA DRIVE, SUITE 1000

?, . y, [ ARLINGTON, TEXAS 76011 Regiona1 Office Notice No. 0000 (NOTE: When updating / revising a current RON, use the following (D0 NOT USE THE WORD REVISION):

Regional Office Notice No. 0000(#)

SAMPLE RON FOR LOCATION OF SECTIONS A. Purpose This section will contain a short concise statement on what the Notice will accomplish.

B. Discussion This section will contain general background information relating to the need for the Notice. If this Notice pertains to, or further clarifies, the same subject matter in a Policy Guide, this section should reference the number and title of that Policy Guide.

C. Action If required, this section will be utilized as identified in Enclosure 4.

If not required, identify "No action required; for information purposes only."

D. Contact This section will contain the following standard paragraph: " Suggestions or comments should be directed to TITLE (if possible) OR NAME OF CONTACT, EXT. .

E. Cancellation Date All Notices will contain either a calendar date for cancellation using the statement, "This Notice is cancelled for record purposes on date " or the statement, "This Notice remains in effect until superseded."

l Signature Distribution List: (See RPG Enclosure 3)

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UNITED STATES p

• NUCLEAR REGULATORY COMMISSION l E. ,I REGION IV

'%  ! 011 RYAN PLAZA DRIVE, SUITE 1000

$ 3 ARUNGTON, TEXAS 78011 WR SI f987 i

Regional Office Policy Guide No. 4016, Revision 0 TRAINING ISSUE: ACCURACY AND PERSPECTIVE DURING INTERVIEWS

Purpose:

A.

To inform the staff of the uniform practice to be followed in the handling of the above issue. ,

B. Discussion:

Periodically, Region IV employees are requested to testify or are subpoenaed for depositions or testimony in private actions. All such requests or subpoenas should be coordinated with the Regional Counsel pursuant to Regional Office Policy Guide No. 2301. Region IV employees are also periodically called upon to officially give testimony in hearings, to be interviewed as part of an official agency investigation by OIA or 01, or to be interviewed by the media.

. Q_ .

Q In all these situations, it goes almost without saying that the truth should be the primary objective. However, employees must be sensitive to the need to put statements in the proper perspective or context.  ;

Fragmented or incomplete statements can frequently be misleading and convey unintended conclusions or meanings inconsistent with a fully accurate picture. ,

Speculation should be distinguished from fact. Issues under question '

should be properly characterized as past, current, or potential issues and the-safety significance or lack thereof should always be made clear. In '

other words, each employee's goal should be to have the interviewer or hearing audience come away from any interview or testimony situation with  !

a true knowledge of the facts in the proper perspective and context of time, place, and safety significance. When questions are unclear, confusing or convoluted, employees should always obtain clarification before answering. Prepared testin.ony should receive supervisory and/or Regional Counsel review to ensure that these requirements are met.

i Employees should always avoid the urge to ramble on about matters unrelated to the questions being asked. Such rambling is often .

motivated by the perceived need to fill silent voids created by the interviewer. This can frequently lead to an inaccurate perspective 1 being placed on an otherwise accurate answer. In general, it is an error to presume that the questioner has sufficient knowledge or background 6A experience to provide a balanced perspective of their own. The employee must attempt to provide that perspective to them. In doing so, it N,j strengthens an employee's basis for criticizing any distortion of that perspective, since they can point to where it differs from what was said i as opposed to what they hoped had been understood.

1

Regiodal'l)f'fice Policy Guide No. 4016, Revision 0  ??u C. Action: .

() -

All affected employees should adhere to the above practice starting on the effective date of this Policy Guide.

D.

Contact:

Any questions regarding this Policy Guide should be directed to the RegionalCounsel,(Ext.271).

E. Effective Date:

This policy guide is effective upon issuance.  !

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Robert D. Martin Regional Administrator Distribution List C kjI

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UNITED STATES

,f" '. NUCLEAR REGULATORY COMMISSION 5 , REGloN IV

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af $11 RYAN PLAZA DRIVE, SUITE 1000 4,,,,

ARLINGTON, TEXAS 70011 h-APR 10 687 Regional Office Policy Guide No. 4013, Revision 0 ,

l TRAINING ISSUE: SHIPMENT OF QA RECORDS - POWER REACTORS 1

A.

Purpose:

i To inform the staff of the uniform practice to be followed in the handling i of the above issue.  !

B. Discussion: j The shipment of QA records between organizations is a common occurrence.  !

For example, a vendor or contractor may provide only a certificate of material compliance with minimal records for their supplied equipment at time of delivery or erection. The QA records maintained by the vendor or CN contractor are then shipped at some later date to the utility. An AE or QI NSSS may ship design records during the course of a project or, in some instances, be delegated to remain the repository of those records until  ;

needed.  !

The receipt of records is addressed in ANSI 45.2.9 " Requirements For Collection, Storage, and Maintenance of Quality Assurance Records for Nuclear Power Plants." ANSI 45.2.9 addresses protection of records in permanent and temporary storage but is relatively silent on what is required for physical protection of the records during shipment. There is, presently, no regulatory position relative to the protection of records in shipment. A record in shipment is not in permanent or temporary storage since it has been removed from a records storage area.

Given that there are no explicit NRC requirements in this area, NRC inspections which review shipments of records need to judge.whether the licensee or the shipper of the records utilized prudent measures as well as conforming to internal procedures that the licensee may have established. The inspector should consider the following general guidance when forming this judgement:

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Regional Office Policy Guide APR 10 W No. 4013, Rev. 0 '7 <

Documentation

- Index and inventory records shipped  !

- Prepare an appropriate transmittal letter which should include the index and inventory  ;

i

- Provide for a receipt acknowledgement 1 4

Packaging  ;

- Provide protection as appropriate from moisture such as wrapping of iI the records in plastic sheeting or other waterproof material. ,

- Use proper discretion on type of container. For a small shipment a l corrugated cardboard box is adequate. More substantial crating should be used for larger shipments.

Shipping

- Use a reliable means of transportation. For example documents -.s difficult or impossible to replace could be shipped air freight, air s express, or UPS. There should be proper coordination to assure N J /-

timely pick up. It would-likewise be acceptable to ship such documents direct by truck under a contractor's cognizance. .

- More conventional means of transportation with lesser concern for loss may be used for records which have been duplicated.

C. Action: j All affected personnel should adhere to the above practice si.arting on the effective date of this Policy Guide.

D.

Contact:

Any questions regarding this Policy Guide should be directed to the Training Officer (Ext.195), t E. Effective Date:

This Policy Guide is in effect when issued. )

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b Robert D. Martin

> s Regional Administrator i y Distribution List C l

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~ '~ $9 N t UNITED STATES px , NUCLEAR REGULATORY COMMISSION

$.  : REGION IV D # 811 RYAN PLAZA DRIVE, SUITE 1000

%,, ,8 ARLINGTON, TEXAS 76011 APR 1 5 1987 l

l Regional Office Policy Guide No. 4004, Revision 0 TRAINING ISSUE: FACTS VS OPINIONS / ASSERTIONS AND CONCLUSIONS IN INSPECTION REPORTS A.

Purpose:

To inform the staff of the uniform practice to be followed in the handling of the above issue.

B. Discussion:

An NRC inspection report could be defined as a formal report transmitted 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 ~

I ifacts" are-underscored. The most critical ingredients in an inspection

- report are the pertinent factual findings made by an inspector! For it is Q 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 comitments and what safety significance, if any, to associate with negative findings. j Management is keenly aware of the " grayness" that may shroud some of the inspectors' findings. It is, therefore, imperative that the inspectors i call upon their technical expertise, experience and professional judgment to ferret out the factual information to be documented in an inspection report in support of unfavorable 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 and 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 assertion of fact that the licensee failed to follow the pro:edure 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, (

r _T supervisor and manager play a different role in this continuum. The j b l

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Regional Office Policy Guide APR 151887 m No. 4004, Rev 0 ~

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E.

<Q:.A inspector develops facts. He suggests assertions of facts and recommends the regulatory conclusions that the agency should arrive at, i.e.,

. 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  !

conclusion.

One of the most important professional obligations inspectors have in i I

support of the inspection process is to discuss their opinions, concerns, assertions and recommendations with regional management upon completion of I an inspection. It is through this interface that reasonable conclusions i

may be developed regarding 1) the safety significance of findings (e.g.,

the margin of safety was not reduced, slightly reduced, significantly g

reduced or plant is, or may be, unsafe to operate) 2) the appropriate enforcement action that should be taken or recommended (e.g., enforcement conference, escalated enforcement, appropriate severity level for violations, combining the same kind of violations into one with multiple -

excmples)-3)"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 Q management to convey these conclusions to the licensee by means of the ?1 ,

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 1 recommendations belong % the transmittal letter issued over the signature of. the appropriate level of management.

Whenever an inspector believes his or her findings are nut 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 j Regional Office Policy Guide No. 2201. l C. Action:

i All affected personnel are to adhere to the above practice starting on the  ;

effective date of this Policy Guide. l l

D.

Contact:

i 8

Any questions regarding this Policy Guide should be directed to Director, L DivisonofReactorSafetyandProjects(Ext.106). 1 G i (v' y j 3

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Regional. Office Policy: Guide APR 151987 -ii

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' E.- Effective Date:

This Policy Guide.is effective upon issua, .

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Robert D. Martin Regional Administrator Distribution List C ,

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clM  % UNITED STATES '

.: ,3 'k _ NUCLEAR HEGULATORY COMMISSION  !

$ :I REGION IV -

" - ' S11 RYAN PLAZA DRIVE, SUITE 1000 ARUNGTON, TEXAS 79011 g

v. i APR 2 l pr *& / i

. Regional Office Policy Guide No. 4015 Revision 0 TRAINING ISSUE: 10 CFR 50.55(a) RULE, A.

Purpose:

h, To inform the staff of the uniform practice to be followed in the handling  !

of the above issue. [!

B. Discussion:

,, During the course of construction inspections, and ocessionally during  !

operating-plant modification inspections, it is necessary for the inspector to determine which code is applicable to the work being done. The ..

inspectorshouldbecomefamiliarwith10CFR50.55(a)"CodesandStandards,'" 2 (theCodesandStandardsRule). While the requirements of the " Codes and i i 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, i and inspected to quality. standards commensurate 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 Vessel Code as specified 1 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. j 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 j recent codes and addenda may be utilized as specified in the rule. When i the more recent versions are used, then all related requirements of the i 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 j and addenda not be used except'when formally requested under hardship by ,

.the licensee from NRR. The IE Manual Chapter guidance section states that (7

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3 'l if ordered components meet the " Cedes cnd Standards Rule" but do not meet il no citation is in order unless the licensing l) the licensing commitments,iial, connitments include additio more stringent requirements.That is, the .

licensee is in compliance when he uses a later code addenda .(which is l

. accepted by 10 CFR 50.55(a)) than that specified in the FSAR as long as r

'any additional requirements are also adhered to. i The rule is periodically updated with regard to applicable codes and t; '

addenda. As of January 1, 1986, the rule recognizesSection III of the ASME Boiler and Pressure Vessel Code (BPVC), Division 1 through the 1983 Edition and addenda through to summer 1983 addenda. There have been no revisions to IEEE 279 since June 3, 1971 (IEEE 279-1971); 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 Commission 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 Code cases may be authorized by the Director of the Office of huclear -

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 A i applicability of the " Codes and Standards Rule," then clarification should be requested through his section chief from the Reactor Safety Branch. ' s) D

-l C. Action: 1 1: 4 All affected personnel are to adhere to the above practice starting on the }

effective date of this Policy Guide. l D.

Contact:

- this Policy Guide should be directed to the Chief,. !i Any Reactorquestions regarding(Ext. 145).

Safety Branch l t

E. Effective Date: l 1

This policy guide is in effect when iss d.  !'

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ARLINGTON. TEXAS 79011 N APR 2I E Regional Office Policy Guide No. 4021, Revision 0 TRAINING ISSUE - CITING OF " NITS" 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 h@ 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 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 g greater importance than in the prior case. In such instances the licensee

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Regional Office Policy Guide 6s l' No. 4021, Rev. 0 ]i-should be cited to assure those corrective actions are taken and for NRC l to be able to evaluate whether or not those corrective actions are  !

adequate to achieve the desired goal. p i

C. ,. Action:

]i Inspection personnel who believe they have inspection findings which they  !

do not believe should be cited as violations must identify those issues to il their-immediate supervisors and receive concurrence on their handling. .

Inspectors are cautioned against making these kinds of decisions totally l, on their own without discussion with line management.

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D.

Contact:

All questions regarding this Policy Guide should be referred to the  :

I EnforcementOfficer(Ext.195). ,

, E. Effective Date:

This Policy Guide is effective on issuance. -

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Regional Office Policy Guide No. 4008, Revision 0 TRAINING ISSUE: QUALITY ASSURANCE (QA) RECORDS VERSUS IN-PROCESS DOCUMENTS A.

Purpose:

To provide the staff with an understanding of and guidance relative to, distinguishing between in-process documents and QA records, and the roles of the owner, onsite prime contractors, offsite prime contractors, and offsite vendor from the time a working document is initiated until finalized as a QA record.

B. Discussion:

NRC Regulatory Guide 1.88 endorses the definition of 4 record provided in ANSI N45.2.9 which is as follows:

Quality Assurance Records - Those records which furnish documentary -

evidence of the quality of items and of activities affecting quality.

X for the purposes of this standard a document is considered a quality i.1 assurance record when the document has been completed. l G'

This concept of a record is contrasted with "in-process document" which is a working document that is incomplete because the work activity is  !

incomplete; e.g., engineering change request / notice still outstanding; }

inspection report needs to be finalized, nonconformance report exists and  !

needs to be dispositioned.  !

In this context, a working document first serves or supports the purpose  ;

of controlling work and when completed is stored in an appropriate '

facility to provide lasting evidence of the quality of the work product.

l In those cases where the planned work activity is controlled by a singular  ;

document, the inspector can easily determine whether that document is an )

in-process document or a record by its state of completion. For example, a surveillance test procedure is an in-process document during the testing  ;

and documentation but becomes a record when it is completed, signed and i reviewed. The record should be transmitted to the storage facility in  !

n cordance with licensee procedures for such records, j The determination of whether a document is a " record" or "in-process" become much less obvious as the work activity becomes more complex. For example, a licensee may choose to document a complex work activity by l utilizing a variety of documents. A complex preoperational test or I construction activity may involve a series of discrete activities, each of i 1

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which is controlled and documented by their own procedure. Individual l-V V

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calibration document a record in the sense that this policy guide 3-discusses such records. This discrete activity document is now merely a  :

part of the larger work activity in-process documentation and must be  ;;

appropriately handled as such. Clearly, the licensee's procedures must i address this matter in an unambiguous fashion. ,

A further complication arises when quantities of QA records must be removed from permanent storage facilities in order to facilitate work, such as comes from modifications due to design changes. This is permissible; however, when QA records are mixed with or used in conjunction with incomplete in-process documents, the documents revert to "in-process" status and must be controlled as such. This does not mean that at the end of each work day that the QA records portion of this work activity must be returned to formal storage. It does require, however, that prudent measures be taken to prevent loss.

i Some licensees have an additional " category" of QA records / documents. -

These are QA records contained in " working files." Working files should be covered by the licensee's QA procedures and allow for holding certain p categories of records outside of permanent storage for a period of time c A during which they may be needed while conducting on-going activities at U the plant.

The roles and responsibilities of-the various organizations concerning QA records and in-process documents, should be outlined in Chapter 17 of the FSAR and their QA Manual. The licensee has overall responsibility for the records for the project and, if functions are delegated, he must assure through audits that the support organizations are fulfilling their delegated responsibilities.

C. Action:

Inspection personnel reviewing document control practice of power reactor licensee should be cognizant of the perspectives contained above.

D.

Contact:

Suggestions or comments should be directed to the Training Officer (Ext.195).

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This Policy Guide is in effect when issued.

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ARLINGTON, TEXAS 76011 APR 21 E Regional Office Policy Guide No. 4009, Revision 0 l TRAINING 152'JE: Inspection of the Applicant's Construction Deficiency Reporting System l A.

Purpose:

To provide the regional staff with a uniform understanding and guidance concerning the inspection and closecut of 50.55(e) deficiencies reported I to NRC. '

B. Discussion:  ;

Construction deficiencies are items that the applicant must report to the l NRCinaccordancewith10CFRPart50.55(e). An extensive discussion of l the regulation and positions taken by NRC staff on this matter are  !

. contained in the "10 CFR" section of the Inspection Manual. All j inspection personnel involved with inspecting power reactors under construction should review and familiarize themselves with this guidance.

This guidance mentions, in the' case'of 10 CFR 50.55(e) reporting, that in ~

- accordance with 10 CFR 50, Appendix B, procedures be established and p implemented and records be maintained to demonstrate that adequate evaluation analysis of all deficiencies were made regarding the impact on G safe operations. In addition, means to do this should be an integral part of each licensee's QA program. I Specific inspection requirements and guidance are contained in IE ,

Inspection Procedure 92700. Itrequiresthatselected50.55(e) {

deficiencies be inspected. As the plant under construction approaches

' licensing and fuel loading, Inspection Procedure 94300 requires the region to report on the status of construction activities which includes the j status of construction deficiency reports. l The above guidance and requirements identify a need to inspect construction deficiency reporting, and the methods chosen must include inspection of a sufficient number of deficiencies to gain reasonable assurance that the applicant's system is properly identifying, reporting (

and correcting significant deficiencies. l l

The review, inspection, and closeout of construction deficiency reports shall be consistent with the following practices while satisfying the particular requirements of Inspection Procedure 92700.

1. 50.55(e) reports received by the Region shall be routed to the assigned project inspector. The report content will be reviewed to assure the deficiency, safety significance analysis, corrective ,

action and schedule, and unit applicability is adequately described l A as is appropriate depending on whether this is an initial or final i i .e  ;

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report.

50.55(e) reports submitted to the regional office.The (RPGproject No. 1303inspector shall be The project inspector will enter the report into the Outstanding Items List for the facility when the first report is received.

2. An annual inspection for the sole purpose of evaluating the applicant's system for reporting is not required. The implementation of procedure 35100, or its predecessor equivalents, should have verified that a suitable system was established. Implementation of the record review modules of the inspection program will add assurance that deficiencies are being identified and evaluated. The  !

detailed inspection of specific 50.55(e) reports will add further l assurance that NRC has a good overall knowledge of the viability of  !.

the licensee's program for identifying, correcting, and reporting, i where appropriate, construction deficiencies. Moreover, the regular  !

involvement of the resident inspector with onsite activities will  !.

provide regional management with an awareness of procedural changes which could impact the deficiency handling systems. Changes which my decrease effectiveness but have not resulted in examples of -

violations should be discussed with the licensee.

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3. The deficiencies selected for inspection shall be evaluated by Q reviewing the records to determine prompt notification, reporting, correction and by physically observing the correction of deficiencies i Cj) in final design, construction / damage or deviation from performance specifications. The inspector can verify correction of QA deficiencies by observing how well the new QA controls are formulated t and implemented. I It is important that these inspections be performed by inspectors with appropriate technical backgrounds. These inspections are for h) the purpose of verifying that the licensee has taken adequate actions i as well as having followed this process for establishing the actions. i{

4. There is no specific requirement that the applicant identify in the 50.55(e)reportthebasedocument(e.g.,nonconformancereport number)whichfirstrecordedthedeficiency;however,itisuseful  :

to cross-index the reported deficiency to a specific QA or project i record that may otherwise be difficult to find. This allows one to [

godirectlyfromthe50.55(e)reporttotherecordsfacilityto review the r.onconformance (NCR), design deficiency (DDR), inspection ;I (IR) or test report (TR) which documents the deficiency and corrective  !

action. Several other record keeping options are available. The applicant may elect to maintain all documentation pertaining to each k i reported deficiency in a single file as opposed to many project [l files. The method used is not important, as any of these  !

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_ methods will allow the appl _icant and the NRC inspector to retrieve such. documentation and proceed.to inspect the hardware'in the plant.

Timely discussions sisould be conducted by. DRSP management with the utility management to provide a good understanding of the importance of^an efficient documentation and status system to permit timely closeout of these reports by NRC before the licensing decision for-the plant.

5. 50.55(e/reportscanbeclosedinaninspectionreportandinthe' regional 0IL whenever the follow-on corrective actions are under the control of a licensee. corrective action system. The inspector and supervisor must have sufficient confidence that the corrective action

-system will execute the actions effectively. Otherwise, the issue should be held open until the work is directly verified.

C. Action: 4 All inspections of construction deficiency reports should be consistent with: the practices described above.

D. ~

Contact:

hQUJ Any questions regsrding this Policy Guide should be directed to the Training Officer.

E. Effective Date:-

This Regional Policy Guide is in feet when issued.

f obert D. Martin Regional Administrator Distribution List C l

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r ARUNGTON, TEXAS 79011 li ApR -2 l 1987 b' l V l Regional-Office Policy Guide No. 4011.. Revision 0 TRAlf!!NGISSUE:: Enforcement of Applicant / Licensee Policies A.

Purpose:

l To provide the staff with guidance relative to enforcing licensee policies, ,

c

'B. Discussion: )1 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

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- promulgated by the licensee,to satisfy a specific regulatory requirement such as a regulation, their required Quality Assurance Program, or a license condition. There are several policies in existence which, while D@l. within'the general juris-diction of NRC, are known to not be subject to :i '

specific enforcement. Presently, the most well known of these are the fitness for duty programs and enhanced training programs that have been instituted at'all power reactors.

o Even when the policies or practices are not related to regulatory-activities, it is an important indicator of the licensee's capability to

. 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 being followed, he must determine if the policy violations represent actions '

which are in conflict with regulatory requirements or consnitments. If so, enforcement or administrative actions directly against those requirements or consnitments are appropriate.

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Should an inspector believe that a policy has been issued'h ich, 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 ll correspondence considered. lj C. Action:

NRC inspectors should follow the practice discussed above when dealing  :

with licensee policies that may lead to noncompliance or appear to have l' been violated and have safety significance.

D.

Contact:

'[

Suggestions or comments should be directed to the Training Officer.

E. Effective Date:

This policy guide is in effect when i ued. ([1

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Robert D. Martin Regional Administration Distribution List C-l

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Regional Office Policy Guide No. 4010, Revision 0 TRAINING ISSUE: MISSED WINDOWS OF OPPORTUNITY FOR INSPECTION - POWER REACTORS A.

Purpose:

i) i To provide the staff with guidance relative to performing and documenting inspections of applicant or licensee safety-related work activities where ,

the window of opportunity to inspect against the inspection requirements ()

of a particular inspection module has been missed. I II B. Discussion:

lil ManualChapters(MC) 2511, 2512, 2513, 2514 and 2515 prescribe inspection j programs for preconstruction, construction, preoperational and startup l testing and operations. The inspections required by these various  ;

q programs should be timely and performed during the prescribed windows of N opportunity. The windows of opportunity are defined as those time

[W) intervals when certain work activities are to be directly observed. The requirement to review licensee and contractor procedures before the work begins, observe work while it is in progress, and review records from the time work begins to the end provides additional assurance that the work product is acceptable. The various manual chapters state that the inspector shall directly observe and independently evaluate work in progress and completed work to determine compliance with requirements and commitments.

~

On occasion, the window of opportunity for an inspection will have to be missed because of competing priorities. Such cases will be specifically Y approved by the section chief and noted to management through the master inspection schedule. In these cases, the inspector must observe completed work and rely more heavily on records which document in process control of work activities and completed work. If the work is inaccessible, only the records can be reviewed and the adequacy of those records become critical as this is the primary means by which the inspector can determine compliance without requiring the licensee to resort to extraordinary measures.

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These considerations make inspection during the window of opportunity .

important; however, if the window was missed, the overall work activity i

can still be reviewed to provide a basis to evaluate whether it was technically sound or if corrective action will be required. This is based on several related factors:

The procedures that were used and the records of completed work will still be available.

Any QC records or QA audits of the work activities will be available.

Personnel who conducted the work may still be avafiable onsite to interview.  !

The records of the qualifications of the personnel who performed the work will be available.

Therefore, when the window of opportunity is missed, several steps can be taken at a later time. It is important that records related to the activity be reviewed as early as possible.

The assigned inspector shall perform suitably modified inspections when the window of opportunity to inspect is missed. This can be done by g$

reviewing procedures, observing completed work where possible, and reviewing records. Interviews of personnel should be included in the

• inspection whenever the records appear deficient to support a finding as to the adequacy of the work. The text of the inspection report should note that the inspector was unable to directly observe the activity but should then go on to discuss the actions taken by the inspector to support his findings. ,

. Text of the following type is acceptable:

"The inspector reviewed activities in the area of .

Normally, this inspection activity includes the direct observation of work activities. Because of competing priorities [or some other brief phrase to generally characterize the nature of the cause of missing the window of opportunity], the inspection was initiated '

after work completion. Therefore, the inspector was unable to directly observe the work in progress, but the following activities were conducted:

Records reviews included , , etc.

Personnel qualifications , etc. were reviewed, t

QC surveillance reports , etc. were reviewed. _

i, S QA Audit reports _ , , etc. were reviewed. Qi

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,,[; Regional-Office Policy Guide No. 4010,'Rev. 0 -l U l Based on this review, the inspector. identified [ summary of inspector findings]..

l When the inspection is concluded, the IE Module can be. reported as

" closed'? but, in accordance with MC 0535, it is appropriate that the the percentage completed be reported in the 766 data system as less than 100%. ,

As stated in MC 0535, the " percentage complete" should be determined by l the inspector forming a judgement about the additional inspection time i that would be needed to do the uninspected activities, had that been possible. The " percent complete" will be the time spent divided by the

. sum of the-time spent and the estimated additional time that would have been needed. j C. Action:

Inspection personnel should follow the practices in this Policy Guide when it is applicable.

D. Conta'ct:

4D ' Suggestions or comments should be directed to the Training'0fficer a Qh (Ext. 195).

l E. Effective Date: , l This policy guide is in effect when issued. l C ]  !

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.s APR 2 919y Regional Office Policy Guide No. 4007, Revision 0 .

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TRAINING ISSUE: INSPECTION OF APPLICANT / LICENSEE RECORDS - POWER REACTORS A.

Purpose:

To provide the staff with an understanding of the role of the licensee's record system and its use in the regulatory process, the extent to which NRC inspectors should become familiar with the mechanics of that records system, and the retrieval and assembly of records for inspectors during inspections.

B. Discussion:

This Policy Guide is written with a heavy emphasis on power reactor s requirements, but the general practices are applicable to all records l 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 6 ,^ Final Safety Analysis Reports (PSAR/FSAR), or other commitments in writing h to the NRC. To perform this function, the NRC inspection program includes reviews of records systems as well as reviews of records generated by i various licensee organizations that perform safety-related work activities (e.g.; procurement, construction, operation, and quality assurance organizations).

A review of the Preliminary / Final Safety Analysis Report (PSAR/FSAR), top tier QA manual, technical specifications and implementing procedures, is 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, j store, or maintain records in a form or at a location to satisfy the  ;

preferences of NRC inspectors. j1 1

Different approaches to implementing the requirements should be expected.

However, the following subjects are common to establishing and maintaining j 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  :

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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 manual, technical specification and 'j implementing procedures used by the licensee or site contractor (if such responsibilities are delegated). If the licensee delegates record keeping functions, the NRC inspector should assure that the licensee at least A

]

describes in the QA manual / procedures the functions delegated to 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 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 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.

The importance of records depends on several things. Prior to an applicant's receipt of an operating licensee, records of safety-related activities are important for supporting the applicant's statement that conditions for the license have been satisfied. If records of inaccessible work are destroyed, lost or deteriorate substantially, establishing the quality of the work activity after the fact becomes difficult in the event a question is raised.

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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 {

I 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 I be maintained for various periods starting from the day the plant becomes l commercially operational - not from the construction date. In cases where 4 the technical specification specifies a different retention time from ANSI l 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 I changes and modifications occur, and during emergency conditions. The ) '

operating records are important from the stand point of showing compliance during operations.  ;'

NRC Regulatory Guide (R.G.) 1.88, " Collection, Storage, and Maintenance of Nuclear Power Plant Records," endorses American National Standards fi Institute (ANSI) N45.2.9, " Collection, Storage, and Maintenance of Nuclear !i Power Plant Records", as an acceptable method for complying with NRC i 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 O 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 i 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 evaluation of adequacy. j i

For the purposes of this standard, a document is considered a quality I 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.

i Inspectors, generally, should request needed records in the same manner as i licensee employees. It is typical for controlled areas to be established '

l within permanent facilities which allrw the applicant /~ licensee contractor, )

or external auditors to request, obtr.in, and review records. Typically j records shall not be removed from toch controlled areas without special l permission. Occasionally, instances arise where these methods are not '

adequate for the inspector's need . In these cases, the inspector should inform licensee management contacts of the particular records needed and ask that they be provided within a easonable time.

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i 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.

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l C. Action:

Inspection personnel conducting records-related inspection activities .

l should follow the practices outlined in this RPG.

D.

Contact:

Suggestions or comments should be directed to the Training Officer (Ext.195). l n

E. Effective Date This policy guide is in effect when issued.

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Robert D, Martin Regional Administrator  ;

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Regional Office Policy Guide No. 4017, Revision 0 TRAINING ISSUE: THE ROLE OF THE HEARING PROCESS A.

Purpose:

To provide background information to the staff on the role of the hearing c

. process in agency actions. ,

8. Discussion:

1. The hearing process is a part of what is known as " administrative law" which differs from the more historic and traditional legal system with its generally familiar system of courts. Different powers, responsibilities, and functions are vested in the administrative agencies and the courts. The administrative process

- has had a different development and pursues somewhat different ways

) from those of courts. In the administrative process, decisions are C' made through methods, for reasons, and by persons, different from those in the judicial process. The relationship between an administrative tribunal such as an Atomic Safety and Licensing Board and a court generally is not the same as that between lower and higher courts, and a period is reached where the administrative process ends and only the judicial process remains. The ultimate power of decision still rests with the courts on questions of law.

In the past fifty years, much of the jurisdiction formerly residing in the courts has been transferred to administrative tribunals. This transfer of jurisdiction has resulted in the administrative tribunals having an important stature recognized by the judicial system. In many cases, when attempts are made by companies or individuals to seek the assistance of a court in NRC matters, the courts tend to refuse to consider the issue until all the " administrative remedies" ha~e v been exhausted. ~Even then, the courts rarely overturn NRC decisions on technical issues because of the reliance placed by the Congress and, in turn, the courts on the technical expertise of the NRC.

Thus, the hearing process, as a part of administrative law and the agency tribunals which administer it, is an important part of the rights that licensees and citizens have before the NRC under certain provisions of the Atomic Energy Act of 1954, as amended,fand the Commission's implementing regulations.

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l [As an aside, the philosophical nature of a hearing is different ~j l depending on whether a license has been granted. Prior to the l granting of an NRC license, the licensee is under the obligation to i show that all requirements for the license have been satisfied. Once i that showing is made and a license is granted, the licensee has a L right to the use of the license. The burden of proving a need for >

any restrictions on that use then become the burden of NRC. It is very similar to the situation of the person who is applying for a 'i driver's license and the one who has one. The license examiner can j) prevent you from getting your license but only a court for proper cause can take it away.]

2. Within the NRC the administrative hearing process has a role in a

. variety of agency actions such as for orders to show cause, orders  !

for modification of a license, and the various other types of orders '

issued by the NRC. The principal agency action of which the hearing

• process is a part is the reactor licensing process. Section 189 of l the Atomic Energy Act of 1954, as amended, provides the statutory  !,

basis for the hearing phase of the reactor licensing process. Among j-other things:

It provides for a mandatory hearing prior to the issuance of a construction permit.

It provides for thirty days prior notice of NRC's intent to 1 Y

v issue an operating license.

It provides that the Commission "shall grant a hearing upon the p.

request of any person whose interest may be affected by the g!

proceeding, and shall admit any such person as a party to such proceeding." f-I Although Section 189 does not explicitly' prescribe the type of i hearing for the licensing of nuclear power plants, it has consistently been administratively interpreted as requiring formal on-the-record hearings for that purpose. A 1983 Court of Appeals i decision affirmed the Commission's position that Section 189 does not require a formal hearing in all nuclear materials licensing -

proceedings (as contrasted to nuclear power plant licensing j proceedings) i

3. Agency hearings must satisfy the applicable requirements of the Administrative Procedure Act. NRC regulations include " Rules of i-Practice" (10 CFR 2) which govern the conduct of its administrative 6 proceedings.

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4. The hearings are conducted before an Atomic Safety and Licensing Board. Each board is composed of three administrative judges, and i must be chaired by a lawyer. The other members usually rppresent i technical disciplines. These boards render initial decisions on the license application. The hearings are the Commission's principal ,

public forum for individuals and organizations to voice their 6 interest and concerns in the particular matter before the board.

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~g The hearing on a particular application may be divided into two phases--one concerning the health, safety, and national security aspects of the application, as required by the Atomic Ener.gy Act, the other concerning the environmental consideration required by the National Environmental Policy Act (NEPA). There also may be a separate hearing on antitrust matters. Separate initial decisions on these matters may be issued. Boards may also treat complex and severable issues in separate initial decisions.

5. Atomic Safety and Licensing Board decisions are reviewed administratively,

a. An Atomic Safety and Licensing Appeal Board, consisting of three

. members each, performs review functions for the Commission in

- reactor licensing proceedings and other proceedings that the Comission may specify. Unless the Commission decides to review an appeal board decision, that decision becomes the final agency order and is subject to judicial review in a Federal court of appeals.

Since appeal boards are the only bodies to which parties disagreeing with licensing board decisions can appeal as a matter of right, they invariably rule on a wide variety of technical, legal and other matters.

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b. Appellate review by the Commission itself is discretionary. The Commission will not ordinarily grant a petition for review "unless it appears the case involves an important matter that could significantly affect the environment, the public health and safety, or the common defense and security, constitutes an important antitrust question, involves an important procedural 1 issue, or otherwise raises important questions of public I policy."

A court of appeals has held that an appeal board decision is final for purposes of judicial review and that one need not petition the Commission for review as a prerequisite to seeking judicial relief.

c. Section 189b. of.the Atomic Energy Act provides for the judicial review of any final order entered in any proceeding of the kind specified in section 189a. This means, in effect, that final orders of the NRC are reviewable in the U.S. Court of Appeals in the D.C. Circuit or in the circuit in which the petitioner for review resides.

6. Parties aggrieved by agency actions may ask the courts to " compel agencyactionunlawfullywithheldorunreasonablydelaye4"orto

" hold unlawful and set aside agency action, findings, and-

'T conclusions" because the agency action is " arbitrary, capricious, an (j abuse of discretion . . . [or] contrary to constitutional rignt" or L _ _ . _ _____-__-___ ____-___-

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because it is " unsupported by substantial evidence." The last ..

standard is the one typically invoked for the review of a final order '" h which.is based on an administrative record developed in a. formal- -l proceeding, such as in the licensing of nuclear power plants.

C. Action: '

All personnel are urged to become familiar with the role of the hearing process in agency actions.

D.

Contact:

l Any questions regarding this Policy Guide should be directed to the

. RegionalCounsel,(Ext.271).

E. . Effective Date.

This policy guide is effective upon the date of issuance. l!

./h Robert D. Martin

$Af Regional Administrator 7 e ;;h  !

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