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{{#Wiki_filter:NRC INSPECTION MANUAL                  IRAB INSPECTION MANUAL CHAPTER 0612 APPENDIX B ISSUE SCREENING DIRECTIONS Effective Date: 10/1/2021
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Figure 1: Issue Screening TE1                                                                                        TE2 1                                                                                                                                  Does traditional Is there a Issue of                                              Determine willfulness and if        Go to A                    enforcement              Assess violation in          Go to D potentially concern                                      Yes      screening should proceed            Figure                          or      Yes      accordance with the              Figure willful identified                                                    without delay                  2                      enforcement              Enforcement Policy                2 violation?
discretion apply?
From B No                                                                                        No                                      is the No willfulness              Figure                                                                                                                Document NCV per 2                                                                                      violation an    Yes            0611-08 Yes          NCV?
Follow                                                                                Continue with ROP path              both                        Traditional enforcement path                              ROP path                                                              Document NOV per paths                                                                                                                                  No                        0611-05 7                                                                                                                          Did the finding Can the issue of concern                    Document                                                                    involve a        No Is                        be resolved using the      Yes            VLSSIR per                                                                violation?
information                        VLSSIR Process?                          0611-12
                                ?                                                                                    Screen performance              From C required to determine if a                            ?                                                            deficiency when directed            Figure violation                                                                                                  by Figure 2                    2                              No further evaluation or exists?      8                                                                                                                                                              documentation Open or close an URI per                                                                                                            Yes 0611-06
                                                                          ?
3                                                              4                        5 Is the                                                            Does
                                              ?                      performance                            Evaluate using                                    Is the finding the finding 2                                  deficiency            Yes                the SDP.                              Yes        licensee-          No screen More- than-        Performance        (See IMC 0609)                                      identified?
to green?
Minor?          deficiency is a Yes                                  finding Is there a No              performance No deficiency?
No                        Green                      6 No finding. Minor                                                                                    finding violations may be documented in some                                                          Can No                                                                                                                Conduct SERP or                      Identify appropriate cases per 0611-12                                                      significance SRA reviews as                          cross-cutting be resolved No                            Yes    appropriate                              aspect(s) before issuing (follow outcome the report?
No finding.                                                                                                                    path)
Continue traditional enforcement path (Block                      Pending significance determination TE2) when a violation exists.                                Assess for cross-cutting aspect(s) under Block 6                                              Finding with Document FIN(TBD) or AV per                                                                                Document per preliminary 0611-05                                                                                            0611-05 significance Issue Date: 07/23/21                                                                                                1                                                                                      0612 Appendix B
 
Figure 2: Issue Screening (Traditional Enforcement)
TE3                                                        TE5 TE4 Can                                                      Does From A          Determine willfulness                                    Is OI                  screening proceed                    Wait for              investigation Prepare and                                                                  No Figure        and if screening should                                investigation      Yes        without                      completion of              confirm a conduct ARB.
1          proceed without delay                                  warranted?                  compromising                    investigation.                willful investigation?                                              violation?
Yes No Yes No Goto B Figure          No willfulness 1
8 Screen any performance deficiency          Follow Consider URI for without potential traditional            both TE6                                                                                                        potential violation enforcement violation                paths Go to C      Screen performance                                                                                                                                            Follow Screen performance Figure            deficiency                                                                                                                                                both deficiency (confirmed) 1          Figure 1 Block 3                                                                                                                                            paths 8
Consider a URI                                                                      TE7      Determine the severity level of the violation (Work with OE via the Regional Enforcement Coordinator)
                                                      ?
TE8 Is the Does                                                        Does the violation a                                                    Document violation per 0611-05 absent From D          Assess violation in              a SL-IV or                                                    violation licensee                                                      specific and overriding enforcement Figure        accordance with the                greater        Yes                          No                warrant        No identified                                                                    guidance.
1            Enforcement Policy              violation                                                  enforcement SL-IV exist?                                                    discretion?
NCV?
No                            Yes Yes                            Document violations receiving Minor violation or                                                                                      enforcement discretion in no violation. Minor violations                                                                        accordance with specific and overriding may be documented in some                                                                                      enforcement guidance.
cases per 0611-12                                                                                Document those violations without a performance deficiency per 0611-11 absence specific and overriding Document violation per                                                        enforcement guidance.
0611-08 Issue Date: 07/23/21                                                                      2                                                                                    0612 Appendix B
 
Additional Guidance to Clarify Figures Inspectors will not use the Reactor Oversight Process (ROP) screening process to screen traditional-enforcement violations, but will use that process to screen their underlying performance deficiencies if any exist. Inspectors will separate traditional enforcement violations from their underlying performance deficiencies and disposition those traditional enforcement violations using the examples and guidance in the Enforcement Manual and Enforcement Policy.
When dispositioning performance deficiencies associated with traditional enforcement violations, inspectors will not consider the traditional enforcement aspect as part of the ROP performance deficiency.
Figure 1, Issue Screening Block 1        Issue of concern identified An issue of concern is a well-defined observation or collection of observations potentially impacting safety or security which may warrant further inspection, screening, evaluation, or regulatory action.
For issues of concern with multiple examples, inspectors will screen each example separately.
An inspector may identify an issue of concern that is neither a regulatory requirement nor an accepted licensee standard which may warrant consideration under the backfit process due to its perceived impact on safety or security. Inspectors identifying such an issue of concern should raise the concern to management and refer to Management Directive (MD) 8.4, Management of Backfitting, Forward Fitting, Issue Finality, and Information Requests.
Block TE1 Is there a potentially willful violation?
Although inspectors screen issues of concern for indications of potentially willful violations, the determination of willfulness is a legal decision that can only be made by the Office of the General Council (OGC) using facts developed during an investigation conducted by Office of Investigations (OI), normally at the recommendation of the Allegation Review Board (ARB).
See the Enforcement Policy, Enforcement Manual, and Allegation Manual for additional insights involving willfulness. See 10 CFR 50.5 for regulations addressing deliberate misconduct.
Block TE2 Does traditional enforcement or enforcement discretion apply?
If any of the following questions can be answered yes, the inspector will compare the violation with examples in the Enforcement Policy to determine if the violation rises to SL-IV or above and thus constitutes a non-minor traditional enforcement violation.
: 1. Was there a violation that impacted the regulatory process? Examples:
* Failure to provide complete and accurate information
* Failure to receive prior NRC approval for changes in licensed activities
* Failure to notify the NRC of changes in licensed activities Issue Date: 07/23/21                                3                              0612 Appendix B
 
Block TE2      Does traditional enforcement or enforcement discretion apply?
* Failure to perform 10 CFR 50.59 analyses
* Reporting failure, etc.
: 2. Was there a violation that contributed to actual safety consequences? Examples:
* Actual onsite or offsite releases of radiation exceeding regulatory limits
* Onsite or offsite radiation exposures exceeding regulatory limits
* Accidental criticalities
* Core damage
* Loss of significant safety barriers
* Loss of control of radiological material exceeding regulatory limits for public dose
* Radiological emergencies
: 3. Is there a SL-IV or greater violation with no associated performance deficiency?
Circumstances may arise where enforcement discretion should be considered or exercised to either escalate or mitigate enforcement sanctions or otherwise refrain from taking enforcement action for a particular violation. The Enforcement Policy and Enforcement Manual describe situations where this may apply. Specific circumstances may include:
* Specific cases for which temporary Enforcement Guidance Memoranda prescribes enforcement discretion
* Non-minor violations absent a performance deficiency
* Violations identified during extended shutdowns or work stoppages
* Violations involving old design issues
* Violations identified because of previous enforcement action
* Violations involving certain discrimination issues Note: Independent spent fuel storage installations (ISFSI), and nuclear materials facilities are not subject to the Significance Determination Process (SDP) and, thus, traditional enforcement will be used for these facilities and their associated license.
Block 2        Is there a performance deficiency?
The issue of concern is a performance deficiency if the answer to both of the following questions is yes:
* Was the issue of concern the result of the licensees failure to meet a requirement or standard? (A standard includes a self-imposed standard such as a voluntary initiative or a standard required by regulation)
* Was the cause of the issue of concern reasonably within the licensees ability to foresee and correct and should the issue of concern have been prevented?
Notes: (1) The performance deficiency is the proximate cause of the degraded condition and is not the degraded condition. To determine this cause, inspectors need not complete a rigorous root-cause evaluation, but instead may complete an evaluation based on reasonable inspector assessment and judgment.
(2) Inspectors should define a performance deficiency at the level of deficient performance that directly led to the issue of concern. Organizational weaknesses should not be identified as performance deficiencies, but should be considered as the CCA. The impact of an organizational weakness could be a performance deficency.
Issue Date: 07/23/21                            4                              0612 Appendix B
 
Block 2        Is there a performance deficiency?
(3) Enforcement Manual, Part I, Section 1.3.5, Documenting Related Violations, discusses grouping closely related violations. Considering this guidance, when an issue of concern caused or resulted in multiple violations, it is appropriate for the performance deficiency to be defined at the problem level, thereby creating a relationship between one performance deficiency and many violations.
(4) When more than one performance deficiency exists associated with an issue of concern, consideration may be given to selecting a performance deficiency that captures the most significant risk increase of the concern and represents current licensee performance.
When evaluating the licensees failure to meet a requirement or standard, the inspector should consider the licensees intent:
* By definition, the licensee intends to meet regulatory requirements, including license conditions and Technical Specifications.
* The inspector can generally conclude the licensee intends to meet standards established in current licensing basis documents. LIC-100, Control of Licensing Bases for Operating Reactors, provides insights into what documents may constitute current licensing basis.
* Failure to meet an industry standard constitutes a performance deficiency if the licensee intended to meet that standard. Inspectors may reasonably conclude that standards implemented via licensee procedures or as Nuclear Energy Institute (NEI) initiatives committed to by the industry are standards that the licensee intended to meet.
* The inspector should focus on whether the licensee met regulatory requirements in an acceptable manner rather than whether the licensee met the requirements in a manner specifically approved in a generic communication.
Block 3        Is the performance deficiency More-than-Minor?
If the answer to any of the following questions is yes, then the performance deficiency is More-than-Minor and is a finding. If the answer to all of the following questions is no, then the performance deficiency is minor and is not a finding.
* Could the performance deficiency reasonably be viewed as a precursor to a significant event?
* If left uncorrected, would the performance deficiency have the potential to lead to a more significant safety concern?
* Is the performance deficiency associated with one of the cornerstone attributes listed at the end of this attachment and did the performance deficiency adversely affect the associated cornerstone objective?
As appropriate, use IMC 0612, Appendix E, Examples of Minor Issues, or the Security Issues Forum process to inform answers to the screening questions listed above. See IMC 0612, Issue Screening, Section 5 for additional guidance.
Block 4        Does the finding screen to Green?
Inspectors will screen all findings using IMC 0609, Attachment 4, Phase 1 - Initial Screening and Characterization of Findings worksheet. Any finding which cannot be determined to be Green will require a Significance Enforcement Review Panel (SERP).
Issue Date: 07/23/21                              5                              0612 Appendix B
 
Block 5        Is the finding licensee-identified?
Consider the definitions in IMC 0612 when determining whether a finding is licensee-identified, NRC-identified, or self-revealing.
Block 6        Identify appropriate cross-cutting aspect(s)
To identify an appropriate cross-cutting aspect for a finding, the inspector will:
* Review applicable causal information related to the finding to identify the cause(s) of the performance deficiency. (To identify causes, inspectors need not perform independent causal evaluations beyond what would be appropriate for the complexity of the issue. For the most-complex issues, inspectors may need to complete informal apparent-cause evaluations.)
* Among those causes, identify the performance characteristic that is either the primary cause of the performance deficiency or the most-significant contributor to it.
* Also, apply additional considerations to determine whether the CCA is reflective of present performance.
* Select the cross-cutting aspect listed in IMC 0310 that best reflects the performance characteristic that is the most significant contributor to the finding (i.e., determine which cross-cutting aspect provides the most meaningful insight into why the finding occurred.) A cross-cutting aspect is a finding characteristic which inversely relates to the reason why the performance deficiency occurred. The cross-cutting aspect is not a finding.
Note that:
* Typically, the staff will assign no more than one cross-cutting aspect to a finding. The regional staff may assign more than one cross-cutting aspect when there are unique or complex inspection findings warranting more than one cross-cutting aspect. Confer with the Reactor Assessment Branch Chief (NRR/DRO/IRAB) prior to assigning more than one cross-cutting aspect to a finding.
* For a finding to have multiple examples, the same cross-cutting aspect should be associated with each example, consistent with Enforcement Manual Section 2.13.7.
(Unless examples have the same cross-cutting aspect, they cant be examples of the same finding.)
Block 7        Can the issue of concern be resolved using the VLSSIR Process?
Very Low Safety Significance Issue Resolution (VLSSIR) is a Process used to discontinue inspection, screening, and evaluation of an issue involving only a licensing basis question.
Issue screening shall be discontinued and a VLSSIR will be documented in the report when either Criterion 1 or 2 is met:
Criterion 1: The following are met:
* The condition surrounding the issue of concern cannot have any potential to be greater than very low significance (i.e., not greater than Green if the issue was determined to be a finding evaluated using the SDP).
* The inspection staff has not been able to conclude that the issue of concern is a violation or licensee standard, as described in Block 2, after considering any licensee Issue Date: 07/23/21                                6                                  0612 Appendix B
 
provided supporting information on why the issue of concern is not in its licensing basis and any relevant information developed during the inspection process.
* The resources required to resolve the current licensing basis question would not effectively and efficiently serve the Agencys mission.
Criterion 2: The issue of concern was evaluated using Office Instruction COM-106, Technical Assistance Request (TAR) Process and recommended for no further action because the licensing basis standing is indeterminate and the TAR Safety Significance Determination has determined the issue to be of very low safety significance.
See the TAR Process for further information how to address current licensing basis questions that do not meet the above criteria.
Open URIs may be assessed using the above criteria to determine whether they should be closed using the VLSSIR process.
Block 8        Open or Close an URI Open an Unresolved Item (URI) when an inspection must exit pending receipt of information required to determine one of the following:
* If there is a performance deficiency
* If the performance deficiency is More-than-Minor
* If the issue of concern is a violation Note: An URI shall not be used to obtain more information in determining the significance of a finding.
Close an URI when any one of the following conditions are met:
* No performance deficiency exists (e.g., issue of concern being evaluated using MD 8.4)
* The performance deficiency is minor
* The issue of concern was determined to be a VLSSIR Figure 2, Issue Screening (Traditional Enforcement)
Block TE3 Can ROP screening proceed without compromising investigation?
Each issue of concern warranting a willfulness investigation triggers a process to determine whether disposition of the associated ROP performance deficiency should proceed without compromising the OI investigation.
Generally, to preclude the possibility of compromising an ongoing willfulness investigation, inspectors should suspend ROP disposition activities that require licensee interaction until the investigation is complete. However, because SDP insights developed during issue dispositioning are integral to dispositioning most traditional enforcement violations, inspectors should disposition ROP performance deficiencies promptly. So, to balance these competing considerations, whenever ROP disposition activities could possibly compromise an ongoing investigation, the Directors (or their designees) of the OI Field Office, DRO, the associated Issue Date: 07/23/21                              7                                0612 Appendix B
 
Regional Division of Reactor Projects or Safety, and OE should reach a consensus decision on whether ROP dispositioning should be suspended or may proceed during the investigation. The parties involved in this decision should ensure that their specific concerns are considered in order to achieve the two desired agency outcomes - a valid and defendable ROP finding and a valid and defendable violation within the enforcement program.
If the decision is to suspend ROP dispositioning, then as soon as the investigation is sufficiently complete or whenever new information arises that might otherwise warrant reevaluating that decision, the parties involved in the decision should revisit the decision, and change it if change is warranted.
Block TE4 Wait for completion of investigation This block requires enhanced coordination to preclude the possibility of compromising an ongoing investigation by proceeding prematurely with ROP disposition activities while simultaneously assuring that ROP disposition activities are not delayed inapproppriately.
Block TE5 Does investigation confirm a willful violation?
In accordance with the Enforcement Policy and Enforcement Manual, OI, upon concluding its investigation, will issue a conclusion about willfulness based on the facts collected/developed during the investigation. Using the facts/conclusion above, OGC will make a final determination about willfulness.
Block TE6 Screen performance deficiency (Figure 1 Block 3)
The absence of a finding may influence but does not preclude the potential to confirm a willful violation, though it may influence the determination of its severity level and/or civil penalty.
Similarly, the presence of a finding does not preclude the potential to confirm no willful violation.
Block TE7 Confirmed willful violation Coordinate with the Office of Enforcement through the Regional or Program Office Enforcement Coordinator to disposition violations involving willfulness. See the Enforcement Policy and Enforcement Manual for additional information.
Block TE8 Does the violation warrant enforcement discretion?
For violations involving enforcement discretion, coordinate actions with the Regional or Program Office Enforcement Coordinator. See the Enforcement Policy and Enforcement Manual for additional information.
Some enforcement discretion decisions are made on a case-by-case basis in consultation with the Office of Enforcement, while others may be instituted under a temporary Enforcement Guidance Memorandum or Interim Enforcement Policies.
Block 7        Consider a URI See Block 7 for Figure 1 Issue Date: 07/23/21                              8                                0612 Appendix B
 
Cornerstone Objectives and Attribute Tables Cornerstone          REACTOR SAFETY - Initiating Events Objective            To limit the likelihood of events that upset plant stability and challenge critical safety functions during shutdown as well as power operations.
Attributes            Areas to Measure Design Control        Initial Design and Plant Modifications Protection Against    Flood Hazard, Fire, Loss of Heat Sink, Toxic Hazard, Switchyard External Factors      Activities, Grid Stability Configuration Control Shutdown Equipment Lineup, Operating Equipment Lineup Equipment            Availability, Reliability, Maintenance, Barrier Integrity (SGTR, Performance          ISLOCA, LOCA (S,M,L)), Refueling/Fuel Handling Equipment Procedure Quality    Procedure Adequacy (Maint, Test, Ops)
Human Performance    Human Error Cornerstone          REACTOR SAFETY - Mitigating Systems Objective            To ensure the availability, reliability, and capability of systems that respond to initiating events to prevent undesirable consequences (i.e., core damage).
Attributes            Areas to Measure Design Control        Initial Design and Plant Modifications Protection Against    Flood Hazard, Fire, Loss of Heat Sink, Toxic Hazard, Seismic, External Factors      Weather Configuration Control Shutdown Equipment Lineup, Operating Equipment Lineup Equipment            Availability, Reliability Performance Procedure Quality    Operating (Post-event) Procedures (AOPs, SOPs, EOPs),
Maintenance and Testing (Pre-event) Procedures Human Performance    Human Error (Post-event), Human Error (Pre-event)
Cornerstone          REACTOR SAFETY - Barrier Integrity Objective            To provide reasonable assurance that physical design barriers (fuel cladding, reactor coolant system, and containment) protect the public from radionuclide releases caused by accidents or events.
Attributes            Areas to Measure (to Maintain Functionality of Fuel Cladding)
Design Control        Physics Testing, Core Design Analysis (Thermal Limits, Core Operating Limit Report, Reload Analysis, 10 CFR50.46)
Configuration Control Reactivity Control (Control Rod Position, Reactor Manipulation, Reactor Control Systems), Primary Chemistry Control, Core Configuration (Loading)
Cladding              Loose Parts (Common Cause Issues), RCS Activity Level Performance Issue Date: 07/23/21                            9                                0612 Appendix B
 
Cornerstone          REACTOR SAFETY - Barrier Integrity Objective            To provide reasonable assurance that physical design barriers (fuel cladding, reactor coolant system, and containment) protect the public from radionuclide releases caused by accidents or events.
Procedure Quality    Procedures which could impact cladding Human Performance    Procedure Adherence (FME, Core Loading, Physics Testing, Vessel Assembly, Chemistry, Reactor Manipulation), FME Loose Parts, Common Cause Issues Attributes            Areas to Measure (to Maintain Functionality of RCS)
Design Control        Plant Modifications Configuration Control System Alignment, Primary/Secondary Chemistry RCS Equipment and    RCS Leakage, Active Components of Boundary (Valves, Seals), ISI Barrier Performance  Results Procedure Quality    Routine OPS/Maintenance Procedures, EOPs and related Off-Normal Procedures invoked by EOPs Human Performance    Routine OPS/Maintenance Performance, Post Accident or Event Performance Attributes            Areas to Measure (to Maintain Functionality of Containment)
Design Control        Plant Modifications, Structural Integrity, Operational Capability Configuration Control Containment Boundary Preserved, Containment Design Parameters Maintained SSC and Barrier      S/G Tube Integrity, ISLOCA Prevention, Containment Isolation, SSC Performance          Reliability/Availability, Risk Important Support Systems Function Procedure Quality    Emergency and Operating Procedures, Risk Important Procedures (OPS, Maintenance, Surveillance)
Human Performance    Post Accident or Event Performance, Routine OPS/Maintenance Performance Attributes            Areas to Measure (to Maintain Radiological Barrier Functionality of Control Room and Auxiliary Building - PWR, and Standby Gas Trains - BWR only)
Design Control        Plant Modifications, Structural Integrity Configuration Control Building Boundaries Preserved SSC and Barrier      Door, Dampers, Fans, Seals, Instrumentation Performance Procedure Quality    EOPs, Abnormal and Routine Operating Procedures, Surveillance Instructions, Maintenance Procedures Human Performance    Post Accident or Event Performance, Routine OPS/Maintenance Performance Attributes            Areas to Measure (to Maintain Functionality of Spent Fuel Pool Cooling System)
Design Control        Plant Modifications, Structural Integrity Configuration Control System Alignment SSC Performance      Pumps, Valves, Instrumentation Issue Date: 07/23/21                            10                              0612 Appendix B
 
Cornerstone          REACTOR SAFETY - Barrier Integrity Objective            To provide reasonable assurance that physical design barriers (fuel cladding, reactor coolant system, and containment) protect the public from radionuclide releases caused by accidents or events.
Procedure Quality    EOPs, Abnormal and Routine Operating Procedures, Surveillance Instructions, Maintenance Procedures Human Performance    Post Accident or Event Performance, Routine OPS/Maintenance Performance Cornerstone          REACTOR SAFETY - Emergency Preparedness Objective            To ensure that the licensee is capable of implementing adequate measures to protect the health and safety of the public in the event of a radiological emergency.
Attributes          Areas to Measure ERO Readiness        Duty Roster, ERO Augmentation System, ERO Augmentation Testing, Training Facilities and      ANS Testing, Maintenance Surveillance and Testing of Facilities, Equipment            Equipment and Communications Systems, Availability of ANS, Use in Drills and Exercises Procedure Quality    EAL Changes, Plan Changes, Use in Drills and Exercises ERO Performance      Program Elements Meet 50.47(b) Planning Standards, Actual Event Response, Training, Drills, Exercises Offsite EP          FEMA Evaluation Cornerstone          RADIATION SAFETY - Occupational Radiation Safety Objective            To ensure the adequate protection of the worker health and safety from exposure to radiation from radioactive material during routine civilian nuclear reactor operation.
Attributes            Areas to Measure Plant                Plant Equipment Instrumentation, (ARM Cals & Availability, Source Facilities/Equipment  Term Control), Procedures (Radiation Protection and Maintenance) and Instrumentation Program & Process    Procedures (HPT, Rad Worker, ALARA); Exposure/Contamination Control and Monitoring (Monitoring and RP Controls), ALARA Planning (Management Goals, Measures - Projected Dose)
Human Performance    Training (Contractor HPT Quals, Radiation Worker Training, Proficiency)
Issue Date: 07/23/21                          11                            0612 Appendix B
 
Cornerstone          RADIATION SAFETY - Public Radiation Safety Objective            To ensure adequate protection of public health and safety from exposure to radioactive materials released into the public domain as a result of routine civilian nuclear reactor operation.
Attributes          Areas to Measure Plant                Process Radiation Monitors (RMS)
Facilities/Equipment (Modifications, Calibrations, Reliability, Availability), REMP and Instrumentation  Equipment, Meteorology Instruments, Transportation Packaging, Procedures (Design/Modifications, Equipment Calculations, Transportation Packages, Counting Labs)
Program & Process    Procedures (Process RMs & REMP, Effluent Measurement QC, Transportation Program, Material Release, Meteorological Program, Dose Estimates), Exposure and Radioactivity Material Monitoring and Control (Projected Offsite Dose, Abnormal Release, DOT Package Radiation Limits, Measured Dose)
Human Performance    Training (Technician Qualifications, Radiation & Chemical Technician Performance)
Cornerstone          SAFEGUARDS - Security Objective            To provide assurance that the licensees security system and material control and accountability program use a defense-in-depth approach and can protect against (1) the design basis threat of radiological sabotage from external and internal threats, and (2) the theft or loss of radiological materials.
Attributes          Areas to Measure Physical Protection  Protected Areas (Barriers, Alarms, Assessment), Vital Areas System              (Barriers, Alarms, Assessment)
Access Authorization Personnel Screening, Behavior Observations, Fitness for Duty Access Control      Search, Identification Response to          Protective Strategy, Implementation of Protective Strategy Contingency Events Material Control and Transportation of Radioactive Material, Records; Procedures, Accounting          Inventories Protection of        Designation and Storage, Processing, Reproduction, and Safeguards          Transmitting, Removal and Destruction Information Cyber Security      Protection of Systems and Networks, Cyber Security Program Plan and Procedures Issue Date: 07/23/21                          12                                0612 Appendix B
 
Attachment 1 - Revision History for IMC 0612 Appendix B - Issue Screening Directions Commitment      Accession                        Description of Change                      Training  Comment Resolution Tracking        Number                                                                    Required and      and Closed Number        Issue Date                                                                  Completion    Feedback Form Change Notice                                                                    Date      Accession Number (Pre-Decisional, Non-Public Information) 04/29/2002      IMC 0612 Appendix B removed from IMC 0612 and made a              No CN 02-021      standalone document. Unable to locate orignial in ADAMS.
ML030800420    Editorial changes made to reflect title changes to standard        No 02/21/2003      ROP terminology. Appendix B was removed as an CN 03-006      attachment to IMC-0612 and was issued as stand alone document.
ML031610690    Revised to achieve the following:                                  No 06/20/2003      1. Consistency with IMC-0306. 2. Present information in the CN 03-021      order in which the activities will normally be performed in the process of developing and transmitting a reactor inspection report. 3. Remove specific enforcement guidance to ensure consistency between the guidance in 0612 and the Enforcement Policy and Manual. 4. Correct incorrect or conflicting information.
ML051400254    Revised to add Question No. 5 to Minor Questions in                No 05/19/2005      Section 3 and Question No. 6 to the SDP Questions in CN 05-014      Section 4 to reflect the new maintenance risk assessment and risk management SDP, IMC 0609, Appendix K, Maintenance Rule Risk Assessment and Risk Management.
ML052700266    Revised to clarify the definition of a performance deficiency      No 09/30/2005      and a functionality of the control room. Also, the auxiliary CN 05-028      building attribute was added to the cornerstone and objective section.
11/01/2006      Revision history reviewed for the last four years.                No Issue Date: 07/23/21                                            Att1-1                                      0612 Appendix B
 
Commitment      Accession                        Description of Change                  Training  Comment Resolution Tracking        Number                                                              Required and      and Closed Number        Issue Date                                                            Completion    Feedback Form Change Notice                                                              Date      Accession Number (Pre-Decisional, Non-Public Information)
ML060400499  Revised definition of performance deficiency to bring the      Yes        ML063000483 11/02/2006    definition in alignment with the basis for performance    09/06/2006 CN 06-033    deficiency as described in ROP basis document, IMC-0308 attachment 3, Significance Determination Process Basis Document.
ML071720417  Revised flow chart and Section 3 guidance to address          No 09/20/2007    feedback forms. Corrected formatting error on page B-7.
CN 07-029 ML082310381  Revised Guidance and Flow Chart to be consistent with          Yes        ML083220751 12/04/2008    changes to IMC 0612. Updated Cornerstone Objectives        12/03/2008 CN 08-034    and Attributes to be consistent with IMC 0308.
ML091590496  Rewrite Guidance and Flow Charts to:                          Yes        ML091480470 12/24/2009    1. Implement enhanced Traditional Enforcement (TE)        12/10/2009 CN 09-032        integration in ROP
: 2. Enhance organization and access                          ID Credit
: 3. Incorporate IMC 0305 Cross-Cutting Aspect inspection      Training guidance                                              ML16154A237
: 4. Address (in part) the following 0612-related ROP Feedback:
: a. 1303 - enhance App E Maintenance Rule (MR) examples, remove MR specifics from App B
: b. 1355 -enhance Performance Deficiency guidance (e.g. what constitutes a "standard")
: c. 1362 - enhance MR minor screening guidance (see 1303)
: d. 1366 - enhance minor screening guidance for improved consistency Issue Date: 07/23/21                                        Att1-2                                    0612 Appendix B
 
Commitment      Accession                      Description of Change                    Training  Comment Resolution Tracking        Number                                                                Required and      and Closed Number        Issue Date                                                              Completion    Feedback Form Change Notice                                                                Date      Accession Number (Pre-Decisional, Non-Public Information)
: e. 1398 - improve alignment between 0612 and Enforcement Policy (e.g. minor TE Violations)
: f. 1418 - enhance minor screening guidance to reduce subjectivity per 2008 Consolidated ROP Internal Self-assessment (CRIS-08)
: g. 1419 - enhance guidance for differentiating self-revealing vs. NRC- vs. License ID per CRIS-08
: h. 1425 - resolve CCA guidance cross-reference errors
: 5. Consolidate screening guidance from Section 0612-05 Screening Inspection Results, of IMC 0612-proper into Appendix B screening guidance.
ML12080A204  Complete Reissue. Simplified guidance. Added                                ML12205A244 09/07/2012    enforcement discretion path to traditional enforcement.                    FF 0612B-1398, CN 12-020                                                                                1439, 1483, 1496, 1507, 1591, 1679, 1680, 1683, 1700, 1703 ML17129A624  Editorial update made to reflect the splitting of IMC 0612 12/13/17      into IMC 0611 for documentation and IMC 0612 for issue CN 17-029    screening.
ML19247C384  Revised to address feedback forms, ANO Lessons Learned                  ML19247C918 12/12/19      Recommendation 5, and Columbia DPO-2018-001                              0612B-1433 CN 19-039    Recommendation 1. Provides new guidance for the Very                    ML19220A106 Low Safety Significance Issue Resolution (VLSSIR)                        0612B-1436 process (ref: Low Safety Significane Issue Resolution                  ML19220A108 Working Group Recommendation memo to Ho K. Nieh,                        0612B-1564 Issue Date: 07/23/21                                        Att1-3                                      0612 Appendix B
 
Commitment      Accession                        Description of Change                      Training  Comment Resolution Tracking        Number                                                                  Required and      and Closed Number        Issue Date                                                                  Completion    Feedback Form Change Notice                                                                  Date      Accession Number (Pre-Decisional, Non-Public Information)
Director Office of Nuclear Reactor Regulation                              ML19220A109 (ML19260G224))                                                              0612B-1887 ML19220A110 0612B-1929 ML19316A002 0612B-1934 ML19311C610 0612B-1970 ML19220A111 0612B-1997 ML19316A003 0612B-2014 ML19220A112 0612B-2029 ML19316A004 0612B-2203 ML19220A113 ML20274A209  Revised to incorporate some changes in Figure 1 to align                    ML20275A010 12/10/20      with IMC 0611. Added clarifying guidance on the concept                    FBF 0612B - 2268 CN 20-070    of licensee ability to foresee and correct, and the definition              ML19220A114 of performance deficiency in Block 2. Also modified the                    FBF 0612B-2415 enforcement bullet in Block 2.                                              ML20345A168 ML21203A356  Clarified the VLSSIR requirements to align with the TAR                    ML21116A046 07/23/21      process and to addressed FBF 0612B-2427. Established                        FBF 0612B-2427 CN 21-026    URI closure criteria.                                                      ML21113A110 Issue Date: 07/23/21                                        Att1-4                                        0612 Appendix B}}

Revision as of 02:04, 8 September 2021

IMC 0612 App B Issue Screening Directions
ML21203A356
Person / Time
Issue date: 07/23/2021
From: Cauffman C
NRC/NRR/DRO/IRAB
To:
Chris Cauffman 310-415-8416
Shared Package
ML21203A355, ML21112A261 List:
References
CN 21-026, DC 21-009
Download: ML21203A356 (17)
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