ML20249C101
| ML20249C101 | |
| Person / Time | |
|---|---|
| Issue date: | 06/26/1986 |
| From: | Lieberman J NRC OFFICE OF THE EXECUTIVE LEGAL DIRECTOR (OELD) |
| To: | Heltemes C NRC OFFICE FOR ANALYSIS & EVALUATION OF OPERATIONAL DATA (AEOD) |
| Shared Package | |
| ML20249C099 | List: |
| References | |
| FOIA-98-108 NUDOCS 9806260008 | |
| Download: ML20249C101 (14) | |
Text
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g TD UNITED STATES __
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'n NUCLEAR REGULATORY COMMISSION W ASHINqTON. D. C. 20555
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\...../ June 26,1986 C J. IIeltunes, Jr., Director hD11W4LXM 101: Office of Analysis and Evaluation of Operational Data James Liebennan, Director and Qilef Counsel FIGt: Regional Operations arxl Enforcanent Division, CEID
SUBJECT:
CU4B7TS 04 IRWT INCIDINT INVFSf!GATIGi EUAL We have provided Wayne lanning with a mark-up of the ddraft Incident Investigation f4uma1 on whIch your June 16th manorandun sought emmeni.
l've also enclosed copies of the revised Conf the We developed hmatory letter and Action Letter an i nal Order to be attached to llT Procedure doem)ents 1. order to based on emments pr offices. We have also made slight a?terations in these i f IIT's. You that we conform to guidance in the draf t m~t w.1 on the function ng o provided to your staff. few Although most cmrnents on the draf t should be self-explanatory, e matters merit caanent here: i interviews c A revised description of individual rights dur ng 'Ihe I is attached as an insert for page 2 of IIT Procedure 3.
revision is a more canprehensive With the suggested description of in interviews than is contained in the draft.
revisions, we believe that you will have met the t l
recunnendations in the Ad lloc IMvis-Besse Review Group's repor (at pp. '.2-13) to develop procedures that cover "the legal constraints and rights of licensees and unployees" and
" guidelines concerning the role of ible counsel or other of the procedure might be reproduced by itself for poss these distribution to interviewees who have questions about matters, similar to the handout on transcripts.
I ht
- In a couple spots we have suggested nrxiifying language f I T.C ta suggests that the llT does not investigate violations o hhile i for requirements, because the language may be mislendin CLNTACT: Stephen G. Durns, OELD x27260
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g62 8 980616 TEMPLE 98-30s PDR
2 purposes of detemining the violations of requiranents that may have occurred during an event and the licensee's corrective actions, the llT can be expected as matter of course to examine technical specifications, regulations, procedures and other requirunents that may have been applicable or invoked during the event. Ultimately, the llT's findings may fonn the basis for enforcanent action, as in the Davis-Desse case.
- We suggest that the proposed notice to plant suployees, Mich describes the llT and provides infonnation on contacting the llT, be issued and signed by the llT team leader, rather than by licensee managanent. 'Ihis step may enhance the perception of the team's independence in the eyes of some plant personnel.
- A brief introduction 61 the front of the manual would be helpful to explain the purpose of the procedures and the llT program. In this introduction, we would suggest including a brief " disclaimer" to the effect that the procedures in the manual are guidance and may be deviated from by llT's during the conduct of an investigation as the team leader, in consultation with AIID, may find appropriate.
- You might include a copy of the MlC Manual Qapter 0513 in the procedures manual in view of the references to the manual chapter in a number of the procedures.
- Same sort of digest or index to the procedures would be helpful that would identify the assistance the llT may request fran licensees or M1C of fices. Itequests for assistance are identified in various procedures, but no one listing identifics, for example, all types of services that the licensee may be asked to provide. A listing with cross-references to particular procedures would be helpful.
'ihe nunbering of procedures and cr.hibits and the distinction between llS cnd IIT procedures is a bit hard to follow.
- Sune matters may be appropriate for inclusion in future llT procedures, such as granting confidentiality under appropriate circumstances to persons who provide infomation to the IIT and obtaining subpoenas in the event that an individual declines to be interviewed. For now the llT Team leader should be delegated authority to grant confidentiality and be instructed to conthet TC if a subpoena issue arises.
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3 Please call on us if you desire additional assistance with this project.
/s/
James Liebennan Director and Chief Counsel Regional Operations and Enforcement Division, OD D cc: W. Lanning, MID J. Sniezek, DEDO:21
IUID Reader ROED Subject
' JLiebennan 01ron NB/MI/FC/LD/SC/hP Info NHC Central ELD Render GCunningham/JMurray Burns Chron
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11 SIRl' for p.2 of .llT Procedure No. 3:
PARTY ATIDOANCE AT (REVISID WIDAtKE W INDIVIDUAL HIGffS AND 711110 INIDWil%3)~
9.
Interviewees will nottnally be pemitted at their request Otherwise, to .have perso counsel or another individual accmpany than during the interview. i third parties, such as licensee manag ment, company counsel, The and un on stewards, will not .nottnally be pemitted to attend the Counsel's interviews.
interviewee may consult with counsel during the interview. his participation in the ' interview will be generally limited lient hasto advising client and asking brief clarifying questions to ensure that hisindividual c IIT understood the questions asked by the tistied llT. If the couns wi11 nomal1y pemit the attendance of that person if the 1IT is sa that attendance will not appreciably empromise its investigation.
ill The- IIT normally will not pemit tape recording of the be provided a copy of the transcript.
If the policy regarding the rights of interviewees ist unclear the and additi legal advice is necessary cr desired, the team leader should contac Assistant General Counsel for Enforcement in 000.
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. ,dme.
Docket No.
[ Licensee Name]*
[ Address) ,
Dear :
On [datel, Ibrief description of event). Because of the potential signif-icance of this incident to public health and safety, the NRC's Executive Di-rector for Operations has formed an Incident Investigation Team (IIT) to
[ Include as appro-investigate the circumstances surrounding the incident.
priate a brief description of the event's significance].
the conversation on [datel _ between This letter confirms of my staff related to this incident. With re-and gard to the matters discussed, we understand that you have agreed to co-operate with the IIT and you have taken or will promptly take the following actions necessary to support this investigation:
- 1) The facility will remain in cold shutdown [or other appropri-ate mode description) until the Regional Administrator deter-mines that there is sufficient understanding of the causes and consequences of the incident and appropriate corrective action has been taken such that the plant can safely return to operation.
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or underlined areas must be completed.
- Bracketed
a -. .
2-l
[.
- 2) The licensee will ensure that the equipment involved in _ the-In incident is not disturbed prior to release by the ITT.
1 this regard work in progress or planned on equipment that including i
wa's called upon to' function during the incident, that which may have malfunctioned, will be held in abeyance .
so that evidence -- of the equipraent's functioning during the Personnel access to areas incident will not be disturbed.
and equipment subject to this quarantine will be minimi::ed, cons'istent with plant safety. The IIT team leader may au-thorize a release, in whole or in part, of those areas or equipment subject to the quarantine upon a determination that the 11T has received sufficient information concerning the areas or equipment requested to be released or to permit necessary troubleshooting of the equipment. The licensee may take action involving quarantined equipment which it deems necessary to achieve or maintain safe plant conditions, to prevent further equipment degradation, or to test or in-spect equipment as required under plant technical specifica-To the maximum degree tions or other requirements.
possible, the licensee shall coordinate such actions with the 11T team leader in advance or, if such coordination is not possible, the licensee shall notify the IIT team leader soon thereafter of actions taken, s
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l All records will be preserved-intact that may be related to 3) that could the event and any surrounding circumstances )
assist in understanding the event. Such records shall be retained for at least two years following the event whether j or . not required to be . retained by regulation or license condition. !
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.The 1icensee will make available to the IIT - for quest on ng i
such individuals employed by the licensee or its consultants !
I and contractors with knowledge of the event or its causes as the llT deems necessary for its investigation.
l 5)
The licensee will ensure that any investigation to be con-f ducted by the licensee or a third party will not interfere f
with the . !!T investigation. The licensee will advise the llT conducted by the licensee or a of any investigation to be third party. Reports of such investigation will be promptly provided to the IIT.
Issuance of this confirmatory action letter does not preclude the issuance The above commitments may be re-of- an order finalizing your commitments.
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i laxed for good cause. If your understanding differs from that set forth l
above, please call me.immediately.
Sincerely, l
[Name)
- Regional Administrator cc: IIT Leader I
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UNITED STATES OF AMERICA f NUCLEAR REGULATORY COMMISSION (
)
In the Matter of ) Docket No.
)
[ LICENSEE'S NAME) 1/ ) License No. !
[ Facility Name] )
ORDER TO SIIOW CAUSE (IMMEDIATELY EFFECTIVE) 1.
, which ILiecnace's name] (the Licensee) holds License No. -
authorizes the Licensee to operate [or other appropriate characterization} the Iname_of facility) in [ location].
II.
IBrief description of the incident in a paragraph or two) 111.
The NIiG Executive Director for Operations has formed en Incident In-vestigation Team (IIT) to investigate the circumstances surrounding the inci-i 1/ Bracketed and underlined areas must be completed.
_.__________.__-s
An IIT was formed because dent described in Section 11 of this Order.
[ describe in one or two sentences the significance of the event].
The investigation is required to obtain necessary information to assure sufficient understanding of the cause of the event so that a determination may be made as to what plant-specific corrective actions will be sufficient to pro-vide reasonable assurance that operation of the facility will not create an un-due risk to the public health and safety and to identify any generic concerns The licensee's full cooperation is re-for consideration at other facilities.
quired during the investigation to permit a complete and timely investigation
[ Indicate whether CAL was issued and reason why this Order is being issued in view of previous CAL; eg, violation of terms of CAL or desire to formal-ize CAL commitments by order) safety, and in-Accordingly, I have determined that the public health, terest require (1) that operation of the facility be suspended until the Direc-tor [or Regional Administrator] finds thht there is sufficient understanding of the incident and the licensee has taken sufficient corrective actions the facility may safely return to operation and (2) that the licensee take cer-tain actions to ensure that the 11T can thoroughly investigate the incident.
Therefore, this Order is being made immediately effective.
IV.
In view of the foregoing, pursuant to sections 103 [or appropriate sec-tion for materials license], 161(b), (c), (i) , and (o), 182 and 180 of the Atomic Energy itet of 1954, as amended, and the Commission's regulations in
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t 10- CFR 52.202 and Part 50, [or other appropriate regulations] IT IS IIEREBY.
l ORDERED, EFFECTIVE IMMEDIATELY, TIIAT:
1 1 A. The licensee shall maintain the facility in cold shutdown
[or other appropriate mode description] until the under-signed Director [or appropriate Regional Administrator] de-termines that tnere is a sufficient understanding of she causes and consequences of the incident and sufficient cor--
rective action has been taken such that resumption of opera-tions poses no undue risk to public health and safety; B, The licensee will ensure that the equipment involved in the incident is not disturbed prior to release by the !!T. In this regard the licensee shall hold in abeyance any work in that was ca!!ed upon to progress or planned on equipment function during the incident, including equipment that may have malfunctioned, so that evidence of the equipment's functioning during the incident will not be disturbed. The licensee shall minimize, consistent with plant safety, person-nel access to areas and equipment subject to this quarantine.
The llT Team Leader may authorize a release, in whole or in l part, of those areas or equipment subject to the quarantine upon a determination that the 11T ' has received sufficient information concerning the areas or equipment requested to be released or - to permit necessary troubleshooting of the O
equipment. The licensee may take action involving quaran-tined equipment which it deems necessary to achieve or maintain safe plant conditions, prevent further equipment degradation, or to test or inspect equipment as required un-der plant technical specifications or other requirements. ' To the maximum degree possible, the licensee shall coordinate such actions with the IIT team leader in advance or, if such coordination is not possible, the licensee shall notify the IIT team leader soon thereafter of actions taken.
C. The licensee shall preserve intact all records that may be related to the event and any surrounding circumstances which could assist in understanding the event. Such records shall be retained for at least two years following the event whether or not required by regulation or license con-dition to be retained; D. The licensee shall make available to the IIT for questioning such individuals employed by the licensee or its consultants and contractors with knowledge of the event, its causes, or consequences as the IIT deems necessary for its investigation ;
E. The licensee shall ensure that any investigation to be con-ducted by the licensee or a third party will not interfere
with the llT investigation. The licensee shall advise the llT of any investigation to be conducted by the licensee or a third party. lleports of such investigation shall be promptly provided to the IIT.
V.
The undersigned Director [or appropriate Regional Administrator]
may relax or
- terminate any of the above conditions for good cause.
VI.
within 30 days after issuance of
,The licensee may show cause, this Order, why it should not have been required to comply with the provisions specified in Section IV by filing a written answer under oath or affirmation setting forth the matters of fact sud law or which The Licensee may answer this Order, as provided the Licensee relles.
in- 10 CFR S2.002(d), by consenting to the provisions specified in Sec-tion IV above. Upon the I.icensee's consent to the provisions set forth in Section IV of this Order or upon failure of the Licensee to file an answer within the specified time, the provisions set forth in Section IV shall be final without further order.
The Licensee, or any other person whose interest is adversely affected by this Order, may request a hearing within 30 days of the date of this Order. Any answer to this Order or any request for a
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a
-G-hearing shall be submitted to the Director, Office of Inspection and Enforcement, U. S.' Nuclear Regulatory Commission, Washington, DC 20555. A copy shall also be sent'to the Assistant General Counsel for Enforcement at the same address and to the Regional Administrator,
[ Address). If a person other than the Licensee requests a hearing, that person shall set forth with particularity the manner in which the petitioner's interest is adversely affected by this Order and should address the criteria set forth in .10 CFR 52.714(d). If a hearing is requested by ihe Licensee or any person who has an interest adverse-ly affected by this Order, the Commission will issue an order designat-ing the time and place of any such hearing. Any answer or request for a hearing shall not stay the immediate effectiveness of Section IV of this Order.
In the event a hearing is held, the issue to be considered at such hearing shall be whether this Order should be sustained.
FOR THE NUCLEAR REGULATORY COMMISSION I
, Director Office of Inspection and Enforcement Dated at Bethesda, Maryland.
this day of 198 .
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