ML20237L277
| ML20237L277 | |
| Person / Time | |
|---|---|
| Issue date: | 02/05/1987 |
| From: | Murley T NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I) |
| To: | |
| Shared Package | |
| ML20237L241 | List: |
| References | |
| FOIA-87-450 1320.1, NUDOCS 8708280035 | |
| Download: ML20237L277 (3) | |
Text
_ _ _ _ _ _ _ _ _ _ _ _ - _ - _ - _ - - - _
M *844 UNITED STATES
, g NUCLEAR REGULATORY COMMISSION
, g o REGION I E 'f $31 PARK AVENUC xinc or enussi A. PENNSYLVANIA A 19406 RI 1320.1/0 Page 1 of 3 REGION I INSTRUCTION 1320.1, Revision 0 ,
i VIOLATIONS i A. Purpose To set forth the regional procedure for documenting violation (s) of NRC !
requirements, and transmitting the documented violation (s) to a licensee, l References 10 CFR 2.201 10 CFR 2, Appendix C - Section III 10 CFR 2, Appendix C - Section V.A IE Manual Chapter 0400 - Section 0400-05 B, Discussion IE Manual Chapter 0400 defines a violation a: a failure to comply with an NRC requirement. Whenever a violation is identified, a licensee is provided, except in certain limited situations set forth in Section V.A of 3
l j
l 10 CFR 2, Appendix C (NRC Enforcement Policy), a Notice of Violation which consists of a concise statement of each alleged violation.
This instruction serves to:
defins the elements that must be part of iny written violation set forth in a Notice of Violation; describe the format and style for a Notice of Violation issued by the region; describe the use of a transmittal letter 'or sending the licensee a Notice of Violation; and set forth those specific conditions under which the licensee will not be issued a Notice of Violation C. Procedure Implementation i
- 1. The Division responsible for identifying a violatimn, or for performing a follow-up inspection in respanse tc 3 'icensee identified violation, shall~ prepare a Notice of V1olation and a transmittal letter, unless the enforcemen: package requires the CONTACT:
Enforcement Officer 1 i
Revision Responsibility:
hIM gpyg.
ORA
)
'l i
B708280035 870825 PDR FOIA l GUILD 87-450 PDR 1
t.
VIOLATIONS RI 1320.1/0 l
- Page 2 of 3 l
l concurrence of IE/0GC in which case the package shall be prepared by the Enforcement Officer. When preparing a Notice of Violation and its transmittal letter, the format set forth in IE Manual Chapter 0400, Appendices A-E should be followed.
- 2. A Notice of Violation shall br. prepared for all identified violations, except;
- a. A violation resulting from matters not within the licensee's control, such as equipment failures that were not avoidable by reasonable licensee quality assurance or management controls; l
- b. A violation that satisfies all of the following conditions, as set forth in Section V.A of 10 CFR 2, Appendix C (1) It was identified by the licensee; (2) It fits in Severity Level IV or V; (3) It was reported,.if required; (4) It was or will be corrected in a reasonable time frame, q including measures to prevent recurrence; I (5) It was not a violation that could reasonably have been expected to be prevented by the licensee's corrective action for a previous viciation; or
- c. A minor violation at a materials licensee, such as a violation
( of records, signs or !abel requirements, in which case an NRC Form-591 may be used. l
- 3. Each violation set forth in a Notice of Violation shall consist of a :
" Requirements" paragraph, and a " Contrary to the above" paragraph.
The requirements paragraph shall contain that portion of the legally binding requirement that the licetisee violated. The requirement may be paraphrased, but no meanings shall be changed. The " Contrary to the at,ove" paragraph shall contain:
- a. The dates or time period during which the violation occurred,
- b. The location where the violation occurred, if applicable,
- c. The numbers or values attained when a limit was exceeded, if applicable,
- d. The statement of applicable severity level, as well as the applicable supplement in the Enforcement policy.
Tha two paragraphs shall contain only relevant facts and shall not contain any extraneous information. Further, the two paragraphs shall be structured such that parallel wording exists between the i paragraphs.
- 4. Whenever a Notice of Violation is to be issued, a cover letter transmitting the Notice to the licensee shall also be prepared. The cover letter shall 9) briefly describe the type and duration of the violation (s), (b) concisely state who identified the violatior.(s) and
$i
. 1 J .
VIOLATIONS RI 1320.1/0
, Page 3 of 3 who reported the violation (s) if appropriate, and (c) clearly state the NRC concerns, with emphasis on the safety consequences and underlying cause(s) of the violations. An example of such a letter transmitting a Notice of Violation can be found in Appendices A and D of IE Manual Chapter 0400. The letter shall be signed by the
- a. Regional Administrator (after IE/0GC concurs) if it involves a ,
Severity Level I, II, or III violation, regardless of whether a civil penalty is being proposed;
- b. Division Director if it involves a Severity Level .V violation that was discussed during an Enforcement Corference; or
- c. Branch Chief (or Section Chief for materials licensees) if it involves a Severity Level IV or V violation that was not i discussed during an enforcement conference
- 5. Whenever the docket room receives a licensee response to a Notice of Violation, it shall be provided to the responsible Division for evaluation and acknowledgement, except for licensee responses to a Civil Peaalty or Order, which shall be provided directly to the {
Enforcement Officer for evaluation in accordance with Regional '
Instruction 1360.1.
D. Effective Date f
1
/ This Regional Office Instruction is effective upon receipt and will remain '
\ in effect until superseded.
{ hML Approved: Thomas E. Murley Regional Administrator ,
Dated: $((/f 7 Distribution: i Office of Regional Administrator
. Division Directors l' Chief, Administrative Management Branch (original) !
Resident Offices l l
6 i
l