ML20216G830
| ML20216G830 | |
| Person / Time | |
|---|---|
| Issue date: | 09/27/1999 |
| From: | Wessman R NRC (Affiliation Not Assigned) |
| To: | Shipman H AFFILIATION NOT ASSIGNED |
| References | |
| AL-95-05, NUDOCS 9910010196 | |
| Download: ML20216G830 (2) | |
Text
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9 September 27, 1999 Mr.: Henry Shipmin 3, Timbertine Place Hummelstown, PA 17036-9233
SUBJECT:
REPLY TO AUGUST 2,1999 LETTER TO DAVID MEYER, OFFICE OF ADMINISTRATION, NUCLEAR REGULATORY COMMISSION.
Dear Mr. Shipman:
1 am responding to yourletter dated August 2,1999 to David L. Meyer, of the Nuclear Regulatory Commission's (NRC's) Office of Administration. Your letter provided comments on the NRC's Policy for NRC Enforcement Actions: Interim Enforcement Policy Regarding Enforcement Discretion for Nuclear Power Plants During the Year 2000 Transition." You specifically recommended that the interim policy be made permanent and address potential throats to electrical production and delivery systems. You also suggested that the policy not be specifically restricted to Y2K-related situations, and govemment-declared emergencies.
The interim enforcement policy was developed to specifically address only Y2K related situations. Other similar situations that are not Y2K-related are addressed in the NRC's 3
Enforcement Policy, NUREG-1600 and inspection Manual Part 9900 technical guidance.
Recently, the NRC revised its Enforcement Policy (see attached copy of Administrative Letter 95-05 Revision 2 dated July 27,1999), to enable the NRC staff to exercise discretion more expeditiously in severe weather and other natural event conditions that could potentially lead to emergency power needs. These are situations similar to the recent hot weather conditions that
. challenged portions of the grid in eastem part of the United States.
Your letter also stated that the Y2K policy is inconsistent with the guidance in the Administrative
)
Letter (AL) 95-05 Revision 1. The AL indicated that licensees and staff discussions regarding licensees' requests for exercise of discretion should be made through the NRC's Operations Center and the Y2K policy provides several options for communication with the NRC. The Interim Policy is correct and, as part of NRC's contingency planning, the Interim Policy provides for several communication options in the remote possibility of communication system upset during the Y2K transition period.
We thank you for your comments and trust that you will find the above information responsive to your concem. Should you have any questions or comments regarding these matters, please call
)
me toll-free at 1-800-338-5642.
Sincerely, Original signed by:
I 7'OY-1<
tootot% 99 Richard H. Wessman, Deputy Director
[Da ORO PDR Division of Engineering Office of Nuclear Reactor Regulation l
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Mr. Henry Shipman 3, Timberline Place Hummelstown, PA 17036-9233
SUBJECT:
REPLY TO AUGUST 2,1999 LETTER TO DAVID MEYER, OFFICE OF ADMINISTRATION, NUCLEAR HEGULATORY COMMISSION.
i
Dear Mr. Shipman:
I am responding to yourletter dated August 2,1999 to David L. Meyer, of the Nuclear j
Regulatory Commission's (NRC's) Office of Administration. Yourlettei provided comments on the NRC's " Policy for NRC Enforcement Actions: Interim Enforcement Policy Regarding Enforcement Discretion for Nuclear Power Plants During the Year 2000 Transition." You specifically recommended that the interim policy be made permanent and address potential threats to electrical production and delivery systems. You also suggested that the policy not be specifically restricted to Y2K-related situations, and govemment declared emergencies.
1 The interim enforcement policy was developed to specifically address only Y2K-related situations. Other similar situations that are not Y2K-related are addressed in the NRC's Enforcement Policy, NUREG-1600 and inspection Manual Part 9900 technical guidance.
Recently, the NRC revised its Enforcement Policy (see attached copy of Administrative Letter 95-05 Revision 2 dated July 27,1999), to enable the NRC staff to exercise discretion more expeditiously in severe weather and other natural event conditions that could potentially lead to emergency power needs. These are situations similar to the recent hot weather conditions that
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challenged portions of the grid in eastem part of the United States.
]
Your letter also stated that the Y2K policy is inconsistent with the guidance in the Administrative Letter (AL) 95-05 Revision 1. The AL indicated that licensees and staff discussions regarding licensees' requests for exercise of discretion should be made through the NRC's Operations
)
Center and the Y2K policy provides several options for communication with the NRC. The Interim Policy is correct and, as part of NRC's contingency planning, the Interim Policy provides for several communication options in the remote possibility of communication system upset during the Y2K transition period.
We thank you for your comments and trust that you will find the above information responsive to your concem. Should you have any questions or comments regarding these matters, please call me toll-free at 1-800-368-5642.
Sincerel,
b.
Richard H. Wessman, Deputy Director Div!sion of Engineering Office of Nuclear Reactor Regulation
Enclosure:
As stated L
N /N u :t, J 1
UNITED STATES NUCLEAR REGULATORY COMMISSION OFFICE OF NUCLEAR REACTOR REGULATION WASHINGTON, DC 20555-0001 July 27,1999 NRC ADMINISTRATIVE LETTER 95-05, REVISION 2: REVISIONS TO STAFF GUIDANCE FOR IMPLEMENTING NRC POLICY ON NOTICES OF ENFORCEMENT DISCRETION Addressees 1
All holders of operating licenses for nuclear power reactors.
Puroose The U.S. Nuclear Regulatory Commission (NRC) is issuing this administrative letter to inform addressees of revisions to staff guidance for implementing the NRC's policy on Notices of Enforcement Discretion (NOEDs). No specific action or written response is required.
Backaround l
This administrative letter supersedes in its entirety Administrative Letter 95-05, Rev.1, dated February 19,1999, on the same subject.
NUREG-1600," General Statement of Policy and Procedures for NRC Enforcement Actions,"
states that the staff, under certain limited circumstances, may choose not to enforce applicable plant-specific power reactor technical specifications (TSs) or other license conditions. This type of discretion is designated as a Notice of Enforcement Discretion (NOED). A NOED may be warranted if forced compliance with a power reactor license would involve an unnecessary plant transient; performance of tests, inspections, or system realignments not appropriate for current plant conditions; or unnecessary delays in startup, without any corresponding health and safety benefits. It is a legitimate regulatory mechanism that allows the NRC staff to address unforeseen and temporary situations in which the staff believes that strict compliance is neither the correct nor the safest course to follow and no other suitehip ragu!atory approach is available. A valid NOED request that satisfies all the established criteria does not reflect negatively on a licensee's performance unless the licensee created the need for the NOED as a result of poor planning or failure to take appropriate corrective action earlier Discussion The guidance in Administrative Letter 95-05, Rev.1 has been further revised to (1) clarify considerations for a NOED requested as a result of severe weather or other natural events,
&&#]M-- 0 f/
AL 95-05, Revision 2 July 27,1999 Page 2 of 2 (2) reflect certain administrative changes as a result of the recent reorganization of the Office of Nuclear Reactor Regulation.
The revised guidance is attached to this administrative letter.
l This administrative letter requires ne specific action or written response. If you have any questions about this letter, please contact one of the persons listed below or the appropriate NRC Project Manager.
Original /s/'d by Ledyard B. Marsh, Chief Events Assessment, Generic Communications and Non-Power Reactors Branch Division of Regulatory improvement Programs Office of Nuclear Reactor Regulation Coatacts: L. Raghavan, NRR Herbert N. Berkow, NRR 301-415-1471 301-415-1485 E-mail: lxr1@nrc. gov E-mail: hnb@nrc. gov Attachments:
- 1. NRC Inspection Manual, Part 9900, " Technical Guidance" i
- 2. List of Recently issued NRC Administrative Letters DOCUMENT NAME: S:\\DRPM_SEC\\95-05R2.al To receive a copy of this document, indicate in the box C= Copy w/o attachment / enc!osure E= Copy with attachment / enclosure N = No copy OFFICE REXB l
Tech Editor C:REXk_
NAME CHodge*
RS*
LRaghavan*
HBerkow*
LMarsh ' $lt DATE 7/21/99 07/19/99 7/19/99 7/19/99 1 b99 OFFICIAL RECORD COPY
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AL 95-05, Revision 2 July 27, 1999 pa aro e
6 UNITED STATES
[
NUCLEAR REGULATORY COMMISSION
%.....)t WASHINGTON, D.C. 20066 4001 NRC INSPECTION MANUAL DLPM l
PART 9900: TECHNICAL GUIDANCE NOED.TG OPERATIONS - NOTICES OF ENFORCEMENT DISCRETION A.
PURPOSE This document provides guidance to staff in the Regional Offices and the Office of Nuclear Reactor Regulation (NRR) on the process for the NRC to exercise enforcement discretion with regard to limiting conditions for operation (LCO) in power reactor Technical Specifications (TS) or other license conditions. This tge of discretion is addressed in Section VII.C of the " General Statement of Policy and Procedures for NRC Enforcement Actions" (Enforcement Policy. NUREG-1600) and is designated as a Notice of Enforcement Discretion (N0ED). This guidance is not applicable to non-power or permanently shutdown reactors. NOEDs may be warranted for operating reactors if compliance with a TS LC0 or with other license condition would involve:
(1) an unnecessary plant transient, or (2) performance of testing, inspection, or system realignment that is inappropriate for the specific plant conditions. or (3) unnecessary delays in plant startup without a corresponding health and safety benefit. An N0ED can be issued for a j
power reactor at power in startup. or in shutdown, provided the specific applicable criteria set forth below are met. N0EDs may also be aapropriate when severe weather and other external events could have a potential impact on the overall health and safety of the public.
The NOED process is designed to address temporary nonconformances from the license conditions and TS only. and is not appropriate for nonconformances with regulations. Updated Final Safety Analysis Reports (UFSARs). or codes.
1 Exemptions from regulations, non-compliance with UFSARs. and reliefs from codes must be processed in accordance with the provisions of Title 10 Code of Federal Regulations (10 CFR) 50.12, 50.59 or 50.55a. Nonconformance with regulations.
MFSARs. or codes normally do not, in themselves, require immediate shutdown. In such situations, the licensee-must perform a prompt safety assessment of the noncompliance and make an appropriate operability determination. The licensee should further determine what other NRC requirements apply to the situation, e.g.,10 CFR Part 50. Appendix B. Criterion XVI.10 CFR 50.12. etc. and take required actions. Generic Letter (GL) 91-18. "Information to Licensees Regarding NRC Inspection Manual Sections on Resolution of Degraded and Nonconforming
. Conditions." and associated NRC Inspection Manual Chapter Part 9900 provide staff guidance for aadressing such circumstances.
When an N0ED is granted, it is recognized that the operating license will be violated, but the NRC is exercising its discretion not to enforce com the operating license for a specified time period. In all cases, pliance with appropriate enforcement actions consistent with the NRC's Enforcement Policy should be considered for the root causes leading to the need for the N0ED.
Issue Dat'e: 06/29/99 9900. N0ED
$ YO S/O s l l l
i B.
CRITERIA 1.0-General Considerations A licensee may depart from its TS in an emergency, pursuant to the provisions of 10 CFR 50.54(x). without prior NRC approval. when it must act immediately to protect the public health and safety. However, situations occur occasionally that are not addressed by the provisions of 10 CFR 50.54(x). and for which the NRC's exercise of enforcement discretion may be appropriate. Provided that the licensee has not abused the emergency provisions of 10 CFR 50.91 by failing to apply for an amendment in a timely manner. it is appropriate that the NRC have the NOED procedure for expeditious notice to a licensee of NRC's intention to exercise enforcement discretion under limited circumstances.
The NRC staff is expected to issue N0EDs infrequently. Although requirements may dictate that a )lant must be shut down, refueling activities suspended, or plant startup delayec absent the exercise of enforcement discretion the NRC staff is under no obligation to issue an N0ED. The de.ision to forego enforcement action is discretionary. An N0E0 is to be issued only if the NRC staff is clearly satisfied that such action is warranted from a public health and safety standpoint. An NOED should be granted on a case-by-case basis, considering the individual plant circumstances. If appro]riate and feasible. the staff should perform a qualitative probabilistic risc analysis (PRA) as an input to its decision process. If the NRC decides not to issue an NOED the licensee must take the action required by the TS (except as stated in 10 CFR 50.54(x)). In addition, if a Licensee Event Report (LER) is required by 10 CFR 50.73 as a result of the non-conformance the licensee must submit that LER, notwithstanding the staff's issuance of an N0ED.
Careful regulatory scrutiny should be given to any deviation from the required actions of the TS or other license conditions for circumstances involving violations, poor planning, repeated N0ED requests for the same reasons or some similarly avoidable situation. To prevent the potential for such abuse, and the lack of up-front public notice and participation in the NOED process, the staff
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will apply criteria similar to those in 10 CFR 50.91 to verify that the exigency was unavoidable.
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2.0 Situations Affectina Radioloaical safety The following are NOED criteria applicable for various plant conditions:
For an operating plant, the N0ED is intended to (a) avoid undesirable transients as a result of forcing compliance with the license c0ndition 1.
and, thus minimize potential safety consequences and operational risks or (b) eliminate testing inspection, or system realignment that is inappropriate for the particular plant conditions.
For plants in a shutdown condition, the N0ED is intende 2.
is inappropriate for the particular plant conditions, in that it does not provide an overall safety benefit, or may, in fact, be detrimental to safety in the particular plant condition. Issue Date: 06/29/99 9900. N0ED
3.
For pisnts attempting to start up.2 the need for an N0ED is expected to occur less often than for operating plants, because delaying startup does not usually leave a plant in a condition in which it could experience undesirable transients. Thus, the issuance of N0EDs for plants attempting to start up must meet a higher threshold, as described below. NOEDs for plants attempting to start up are to be exercised only when the licensee considers and the NRC staff has concluded that:
a.
The equipment or system does not perform a safety function in the mode in which operation is to occur (e.g., a TS which requires the equipment to be operable in a mode not required by the UFSAR): or, b.
The safety function performed by the equipment or system is of only marginal safety benefit, and remaining in the current mode increases the likelihood of an unnecessary plant transient or, c.
The TS or other license conditions require a test, inspection, or system realignment that is inappropriate for the particular plant conditions. In that it does not provide a safety benefit, or may, in fact. be detrimental to safety in the particular plant condition.
The letter issuing an NOED should specifically address which of the above three criteria were satisfied. If the criteria, as described above, are not satisfied, the licensee must comply with the license requirements until a license amendment is requested and issued.
3.0 Situations Arisina from Severe Weather or Other Natural Events j
In unusual situations, severe weather or other natural events may result in a government entity or a responsible independent entity making the assessment that the need for power and immediate overall public (non-radiological) health and safety considerations constitute an emergency situation.
The licensee must provide the name, organization and telephone number of the official in the government or independent entity that made the emergency assessment. If deemed necessary, the staff may contact the appropriate official to independently verify the information provided by the licensee prior to making an N0ED determination.
In such circumstances, the staff may grant an N0E0 based on balancing the overall public health and safety implications of not operating, with the potential radiological or other hazards associated with continued operation of the facility while in nonconformance with the particular requirement.
The request must provide details of the basis and nature of the emergency; its potential consequences such as plant trip, controlled shutdown, delayed startup:
the condition and operational status of the plant (equipment out of service or otherwise inoperable): status, and potential challenges to off-site and on-site i
power sources, and the impact of the emergency on plant safety. The licensee must identify actions that it took to avert and/or alleviate the emergency situation, including steps taken to avoid being in the noncompliance, as well as efforts to minimize grid instabilities (e.g., coordinating with other utilities and the load dispatcher organization for buying additional power or for cycling load, shedding interruptible industrial or non-emergency loads). In addition, the licensee's request must be sufficiently detailed for the staff to evaluate the likelihood that the event could affect the plant, the capability of the ultimate heat sink, on-site and off-site emergency preparedness status, access to and from the plant.
for purposes of this guidance, "Startup" is defined as any condition with the 1
4 reactor being in other than " operation" in Mode 1 or cold shutdown.
Issue Date: 06/29/99 9900. N0ED
acceptability of any increased radiological risk to the public and the overall public benefit.
-C.
N0ED PROCESS
~1.0 Reaional N0ED A region-issued NOED is appropriate when the noncompliance is nonrecurring, will not exceed 14 days in duration and a license amendment is not practical because the plant will return to compliance with the existing license in a short period of time. Matters that a region-issued N0E0 may address include:
A' noncompliance of short duration with the limits of a function specified 1.
in an LCO.
2.
A' noncompliance with an action statement time limit.
A noncompliance with a surveillance interval or a one-time d9v;a. ion from 3.
.a surveillance requirement.
The authority to issue an N0ED is assigned to the Regional Administrator, who may delegate the authority to the Regional Division Director of Reactor Projects. The N0ED should be based on a written request (or in some cases an oral request Before issuing followed by a written request within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />) from a licensee.
an N0ED. the region should obtain the concurrence of the NRR Project Director (PD). The PD. in turn, should consult with the cognizant NRR technical branch chief (s) concerning the acceptability of issuing the N0ED. Whenever a regional the staff's evaluation of the licensee's request. including N0ED is exercised, the applicable items in Section C.4 of this guidance, should be documented in a letter to the licensee from the Regional Administrator or his/her designated The letter should follow the fomat and content of Attachment A to official.
this guidance, and specify and discuss the maximum period of time for which the
.N0ED is in effect (not to exceed 14 days). The region may grant an NOED verbally, but this-should be followed by written authorization within 2 working days of the verbal N0ED authorization. Resolution of the condition that led to the request for' enforcement discretion should terminate the NDED.
All licensee - staff teleconferences to discuss ' NOED requests should be made through the NRC headquarter's Emergency Operations Center recorded telephone line (Telephone No.
(301) 816-5100). This provides a record of the discussion and a basis for future verification of its consistency with the licensee's follow-up written request.
1
- ^
2.0.
NRR NDED
- Matters that an NRR-issued NOED may address include:
A noncompliance with an element specified in a limiting condition for 1.
operation until such time as the element can be revised by a license amendment.
A noncompliance with 73 action statement time' limit for which a license 2.
amendment will be processed to make the extension either a one-time or a permanent change to the TS.
A noncompliance with a surveillance interval or change to a surveillance 3.
requirement that will be incorporated by an amendment. Issue Date: 06/29/99
.9900. NOED
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The authority to issue an N0E0 is delegated to the appropriate PD. The N0E0 should be based on a written request (or in some cases an oral request followed by a written request within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />) from a licensee. Before issuing an NOED.
the NRR PD should obtain concurrence from the responsible Regional Division E.ector of Reactor Projects. In addition, the PD should consult with and obtain written concurrence from the appropriate NRR technical branch chiefs. The staff may grant an N0ED verbally, but this should be followed by written authorization within 2 working days of the verbal N0E0 authorization. All licensee - staff teleconferences to discuss N0ED requests should be made through the NRC headquarter's Emergency Operations Center recorded telephone line (Telephone No.
(301)~ 816-5100). This provides a record of the discussion and a basis for verification of its consistency with the licensee's follow-up written request.
Whenever an NRR N0ED is granted. the staff's evaluation of the licensee's request, including the applicable items in Section C.4 of this guidance, should
. be documented in a letter to the licensee from the appropriate NRR PD. The letter should specify and discuss the maximum period of time for which the N0ED is in effect (resolution of the condition that led to the request or issuance of the follow-up license amendment would return the licensee to a condition of compliance with the license), and should follow the format and content of Attachment A to this guidance. Follow-up license amendments for NRR-issued NOEDs should be processed on an exigent basis in accordance with the process for exigent amendments. The follow-up license amendment must be submitted by the licensee within 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> of its oral request and should be issued by the NRC staff within 4 weeks of the issuance of the N0ED unless otherwise justified by
' any special cir:umstances. Such special circumstances should be documented nromptly in a memorandum from the responsible PD to the Associate Director for
>roject Licensing and Technical Analysis. If necessary, an NOED-related issue that is part of a larger. license amendment request should be handled as a se>arate amendment if that will expedite issuance. When amendments involving N0EDs are issued, the transmittal letter should identify the N0E0 which 'the
' amendment supersedes.
Also, the NRR Project Manager (PM) should send an electronic copy of the letter issuing the follow-up license amendment to the E-mail address: N0ED.
NRR is responsible for N0EDs involving se,ere weather conditions or other natural events; NRR has the lead for staff determination of the validity of the emergency and whether to grant an N0ED. The PM. with assistance from appropriate technical staff, should make reasonable efforts to get a good assessment of the nature of the emergency. A teleconference should be held as soon as possible among senior licensee management. NRR and regional staffs. Participating staff personnel should include: NRR - PM, PD. cognizant technical branch chiefs, including the chief of the Electrical and Instrumentation and Controls branch, if possible, to evaluate the emergency assessment: Regional Projects Division Director, and Resident Inspector. Following the teleconference the licensee must imediately submit (within a few hours) a follow-up written request documenting all the bases, justifications, commitments and other considerations and conditions discussed and agreed upon in the teleconference.
The PM should inform the Comission through the cognizant Regional Coordinator. OEDO, as expeditiously as possible following granting of the N0ED.
See Attachment B for a sam)le memorandum from the OED0 to the Ccaission. The cognizant PH should presarc tais memorandum in draft and give it to the to9niza. Regiono'i Coordinator. OEDO, for finalization and processing.
3.0 Multiole N0EDs There may be occasions when several plants in different regions may request N0EDs simultaneously to address common conditions, e.g. a vendor advisory letter, In Issue Date: 06/29/99 9900, N0ED 1
.f
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o such cases, the regions and NRR should coordinate closely with each other ta id potential. duplication of effort -and/or inconsistent approaches and to obtain any special assistance or expertise needed from NRR. In such cases, plant-
.avo specific N0EDs will.be issued. either by the region or NRR. in accordance with
- Sections C.1 and C.2. of this guidance. to individual licensees. To assure consistency in staff determinations relating to the N0E0 requests, approvals, root cause violations and enforcement actions. the cogniz6nt NRR technical branch
- chief (s) should be included in all discussions and decisions.
4.0.
Reauest for N0ED The staff should verify that the'. licensee's request for an N0E0 includes the following:
1.
The TS or other license conditions that will be violated.
The circumstances surrounding the situation, including apparent root 2.
causes, the need for prompt action and identification of any relevant historical events.
l The safety basis for the request, including an evaluation of the safety
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3.
significance and potential consequences of the proposed course of action.
This evaluation should include at least a qualitative risk assessment derived from the licensee's PRA.
The basis for'the licensee's conclusion that the noncompliance will not 4.
be of potential detriment to.the public health and safety and that no significant hazard consideration is involved.
The basis.for the: licensee's conclusion that the noncompliance will not
' 5.
involve' adverse consequences to the environment.
si 6.
Any. proposed compensatory measure (s).
- 7. ' The' justification for the duration of the noncompliance.
the ' request has been approved by the facility A statement' that 8.
organization that normally reviews safety issues (Plant On-site Review Committee, or.'its equivalent).
which of the N0ED criteria for The ' request must specifically address 9.
appropriate plant conditions specified in Section B is satisfied and how it is satisfied.
10'.' If a follow-up license amendment is required, the N0E0 request must include ' marked-up TS pages showing the proposed TS changes and a comitment to submit the actual license. amendment request within 48 Thours.
severe weather or other natural events, the For NOEDs involving 11.
licensee's request must. be sufficiently' detailed for the staff to likelihood that the event' could affect the plant, th?
! evaluate the capability of the' ultimate heat sink. on-site and off-site emergency preparedness status, access to and from the plant, acceptability of any increased radiological risk to the public and the overall public benefit.
In addition to. items.1-10 above, as appropriate, the licensee must provide:
.9900. N0ED Issue Date: 06/29/99
~
a.
Details of the basis a..d nature of the emergency; potential consequences of forced compliance wi'h the license conditions to the plant and to exacerbation of the emergency situation. The licensee must provide the name, organization and telephone number of the official that made the emergency assessment l
b.
Status, and potential challenges to off-site and on-site power l
)
sources, and the impact of the emergency on plant safety.
l c.
Demonstrated actions taken to avert and/or alleviate the emergency l
situation, including steps taken to avoid being in the noncompliance, as well as efforts to minimize grid instabilities (e.g.. coordinating with other utilities and the load dispatcher organization for buying additional power or for cycling load, shedding i,iterruptible industrial or non-emergency loads).
The request from the licensee should normally be sent by facsimile to the NRR PD and the Regional Projects Division Director. The signed original should be sent to the Document Control Desk. However. if circumstances do not permit time for the written request to be prepared and sent to the NRC, the licensee may make the request orally, describing to the best of its ability the information required by the staff. The licensee's oral request needs to be followed promptly by written documentation (within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />) addressing the appropriate items listed above. In cases where a license amendment is appropriate, the written request for l
the N0ED should be followed within 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> by the licensee's request for a license amendment for NRC staff consideration under the provisions of 10 CFR 50.91. The licensee's amendment request must describe and justify the exigency.
If the request is made orally.
the NRC should have sufficient information to reach the same conclusions as if it had received a written submittal. The follow-up written request should confirm the information that the staff relied upon in arriving at its conclusion to issue the N0ED. If an N0ED is authorized orally but the licensee subsequently determines that no violation of the license will occur and thus the NOED is.not needed, the licensee and staff should still follow up with appropriate documentation. In such cases, the licensee must submit a letter within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />, documenting its oral request, the NRC's oral approval, and the circumstances that led to the determination that the N0ED is no longer needed.
D. STAFF EVALUATION AND DOCUMENTATION Prior to issuance of an NOED. to the extent practicable, the regional Projects Branch Chief and/or the PM should verify the licensee's oral assertions, including root cause and compensatory measures and that the N0ED request is consistent with the staff's policy and guidance. If any of the verifications cannot be made prior to issuance of the N0ED. this should be done subsequently, as soon as time permits. The results of the verification activities are to be documented in a subsequent inspection report. When an N0ED is granted either by the region or NRR. the responsible resident inspector should open an unresolved Item (URI), to facilitate prompt tracking, documentation and closure of inspection, verification and resolution activities, including enforcement action determinations, associated with the NOED.
The staff's letter documenting the NOED should be self-standing address the appropriate items in Section C.4 of this guidance, and demonstrate that issuance i
j of the NOED is consistent with the policy and guidance. The NOED letter should l
also clearly specify which of the licensee's arguments the staff accepted in Issue Date: 06/29/99 9900. NOED
me its decision and the criterion that is' satisfied. The sequence of events how and when the licensee h
.reac ing ff's letter should be clear and include:
first requested the discretion, what the length of the A0T/ surveillance incerv in the sta involved was, when the allowed time would end, when (if applicable) verbal j
discretion was issued, the date of the licensee's follow-up written request (if i
the specific period of discretion starting at the original was made verbally),0ED was terminated before the staff's letter is
{
the end of the ACT and, if the N The
, issued.~ the letter should contain the time the N0ED was actually terminated.
staff should document in the N0ED. letter its verification of the consistency between the licensee's verbal-and written requests. The letter sho identify by name and title.
evaluation and approval and, if applicable, when the licensee's follow-up license amendment request will be or.was submitted.
to permit the licensee not to follow a TS or license
. condition while the staff considers a request for discretion. If tne licensee is It is not acceptable
' unable to provide the staff an adequate basis before the LC0 time ends, the licensee must take the required actions to comply with the TS while endeavoring to provide the staff an adequate basis for granting the N0ED. It is recognized that in cases involving short LC0 times or complex issues, the staff may have to act before all the'information is available. In such cases, if the information presented provides a clear basis that public health and safety is assured and
.that the criteria of the N0E0 policy are satisfied, then an NOED may be granted.
If subsequent information fai's to support the initial issuance of the N0ED. it the time it takes should be terminated, as discussed in Section E. In summary,lieve the licensee for the staff to evaluate the request for an N0E0 does not re from taking appropriate actions _ to comply with the TS.
1 E;
ENFORCEMENT.
1.~ 0 Early Termination of N0E0 If the' NRC decides to terminate the N0ED for any reason before the time specified
'in the N0ED. the staff should verify that the licensee takes steps to achieve the J
appropriate plant status and implement the existing TS-required actions upon notification of the termination by the appropriate NRR PD or Regional Division Director.
Upon notification of ' termination of the NOED. the licensee must inform the N of the proposed course of action to restore the plant to a condition of compliance with the license. The termination of the NOED by the NRC should documented in a letter to the licensee and should address the actions planned by the licensee.Lincluding the time necessary for the licensee to achie the required plant conditions in the most prudent manner t for
. license condition violations during the period the N0E0 was in effect, excep the root causes leading to the noncompliance, as discussed below.
2.0 Consideration of Enforcement.
g t
. The. decision to; exercise enforcement discretion by issuing an N0ED does no change the fact that a violation will occur. nor does it imply that enforcement discretion is being exercised for any violation that inay have i d to the need for the N0ED. In each case where the NRC staff has chosen
' contributed to.the root causes leading to the noncompliance. Such enforcement
<8--
Issue Date: 06/29/99 9900. NOED i
action is intended to emphasize that licensees should not rely on the NRC's NOED process as a routine substitute for compliance or for requesting a license amendment.
NRR-issued N0EDs should be closely coordinated with the appropriate region to ensure that the region considers the need for enforcement action for any root cause violations that led to the N0ED issued by NPR. The staff should follow the guidance in the NRC Enforcement Manual. NUREG\\BR-0195. to determine and process the appropriate enforcement action. OE approval is required for not issuing an enforcement action if a violation is involved. The enforcement action should reference the NOED number. All staff determinations regarding enforcement action associated with the issuance of an N0ED should be documented by the region in the next appropriate inspection report under the URI established to track that N0ED.
regardless of whether or not the determination is to take enforcement action.
If the root cause underlying an N0ED request results in an escalated action. the time during which the N0ED is effective will not be counted in considering the impact of the violation.
F.
DISTRIBUTION Copies of the letter to the licensee shall be distributed according to I
established regional and NRR procedures and shall include the following:
1.
Regional Coordinator. OEDO i
2.
Regional Administrator 3.
Associate Director for Project Licensing and Technical Analysis. NRR 4
Division Director. Division of Licensing Project Management (DLPM). NRR 5.
Director. Office of Enforcement 6.
Public 7.
Technical Assistant. DLPM. NRR l
8.
Electronic copy (Wordperfect file) to E-mail address: NOED 9.
Electronic copy (Wordperfect file) to NRC Internet Webmaster. E-mail:
NRCWEB 10.
Appropriate Branch Chiefs (Region and NRR) i 11.
Appropriate NRR PD and Section Chief I
12.
Appropriate NRR PMa 13.
Appropriate Senior Resident Inspector Further, the issuing office should ensure that the licensee's request is also placed in the Public Document Room and that electronic copies of N0EDs are prepared in accordance with Attachment C.
NRR will post the staff's N0ED a) proval or denial letter on the NRC public web page. The NOED will remain on
~ tie bulletin board for 6 months for easy public access. The Technical Assist. ant (TA). DLPH. NRR. will maintain a file of all N0EDs. Also, for NRR-issued N0EDs.
l the PM should send an electronic copy of the letter issuing the follow-up license amendment to the E-mail address: N0ED.
G.
TRACKING OF NOTICES OF ENFORCEMENT DISCRETION The NRR PM should open e NHieal hsignment Control (TAC) number under Licensing Action code LD for any N0ED action involving NRR resources.
i l
Each NOED will be assigned a number to permit tracking. The issuing office 1
(region or NRR) will assign a number consisting of six digits. The first two f
digits indicate the year, the third digit indicates the number of the region (or Issue Date: 06/29/99 9900, N0ED L
~
6 for MRR), and the last three digits are the stquential number of the NOED f ar
' the issuing office. For example.- N0E0 98-3-02 is the 2 (N0E0 98-3-02). The TA. DLPM. NRR will l subject line for the N0EO for example: assign numbers for all NRR accordance with regional procedures.
Each office (region or NRR) is responsible for tracking t region will be responsible for inspection. follow-up, and enforcement for all
.NOEDs issued. including those issued by NRR. for plants in that region.
l On a semi-annual basis. the TA. DLPM will request the regions to provide u database information regarding follow-up actions to previously issued N0EDs.
This should include reference documents and dates for verification o oral assertions in the N0ED requests, the determination to take or to not take enforcement action for any violations that may have led to corrective actions.
H.
NOED CHECKLIST
. An N0ED checklist is provided in Attachment D as an aid to the staff in assuring It's use is discretionary and it is a companion, not adherence to this guidance.
a substitute, for the detailed guidance.
I.
REFERENCE NUREG-1600
' General Statement of Policy and Procedures for NRC Enforcement Actions..Section VII C. ' Exercise of Discretion for an Operating Facility"'
END Attachments:
A.
Sample Letter for N0ED Issuance Sample Letter for Notification to the Comission Regarding Issuance of N0EDs B.
for Severe Weather or Other Natural Events.
of N0ED Approval /
- C. File Format for Electronic Copy (Wordperfect file)
Disapproval Letters.
D. N0ED Checklist
, Issue Date: 06/29/99 9900, NOED
p Attachmer,t B SAMPLE MEMORANDUM FOR NOTIFICATION OF N0ED FOR SEVERE WEATHER OR OTHER NATURAL EVENT (Date) 0FFICE OF NUCLEAR REACTOR REGULATION NnTIFICATION OF ISSUANCE OF AN NOED FOR SEVERE WEATHER OR OTHER NATURAL EVENT Licensee: '(Name of Licensee)
Facility:
Docket No:
N0ED No.
To:
Chairman and Commissioners
SUBJECT:
ISSUANCE OF AN NOED FOR [Be specific: SEVERE WEATHER OR OTHER NATURAL EVENT]
-This is to inform the Commission that a Notice of Enforcement Discretion (N0ED) as a result of [ severe weather.or other natural events] was issued on
[date] to [ licensee name and facility).
This action is based on the licensee's request on [date] for an N0ED. This is an information memorandum and requires no Comission action.
[ Describe in sumary form: the name, organization and telephone number of the official that made the emergency assessment. Details of the basis and nature of the emergency: consequences of forced compliance with the license conditions to the plant and to exacerbation of the emergency situation:
status, and potential challenges'to off-site and on-site power sources, and the impact of the emergency on plant safety: demonstrated actions taken.to avert and/or alleviate the emergency situation, including steps taken to avoid being in the noncompliance, as well as efforts to minimize grid instabilities (e.g., coordinating with other utilities and the load dispatcher organization for buying additional power or for cycling load, shedding interruptible industrial or non emergency loads).
Contact:
(name). NRR. 415-XXXX 01stribution:
l Regional Administrators-Director. NRR Cognizant PM/PD l
Issue Date: 06/29/99 B-1 9900. N0ED Attachment B
Attachment C FILE FORMAT FOR ELECTRONIC COPY (WORDPERFECT FILE) 0F N0E0 APPROVAL / DISAPPROVAL LETTER 1.
Replace the Wordperfect Letterhead Paper Size with Standard Paper Size 1
and include typed letter heading. and letter issue date, as follows:
l UNITED STATES NUCLEAR REGULATORY COMMISSION Washington. D.C. 20555-0001 I
October 5. 1998 or for a Region UNITED STATES NUCLEAR REGULATORY COMMISSION REGION 11
)
U.S. Nuclear Regulatory Commission 61 Forsyth Street. SW.. Suite 23T85 Atlanta, GA 30303-3415
{
October 5. 1995 2.
Remove the concurrence page and any attached internal distribution list.
3.
Include the following above the letter author's name:
/ original signed by (identify oerson who sianed letter)/
4.
Save the Wordperfect file with the following filename: NEyyrser.wpd where the number of the NOED is yy-r-ser for example. N0ED 98 001 for the first N0ED issued by Region 1 in 1998. (WPD just tells users that it is a Wordperfect 6 document.)
5.
E-mail Wordperfect file to NRCWEB and N0ED.
Issue Date: 06/29/99 C-1 9900. N0ED, Attachment C
)
[,
Attachment D f
N0ED CHECKLIST
)
NOTE, This is an aid to the staff in assurina adherence to this auidance.
It's use is 1
discretionary and it is a comDanion. not a substitute. for the detailed auidance.
j Oral Request Date:
TAC No.
NOED No.
NRC NOED Letter Date
{
l
- 1. APPLICABILITY j
1 ltem Check l Guidance 1.
NorwsTpnance related to non-power or Yes Stop. NOED is not applicable.
permanently shutdown power reactors 2.
Nonempliance with TS or license condition Yes No Stop. NOED is not applicable.
3.
NOED is for short duration (not exceed 14 Yes Regronal responsibility l
/
days), one-time situations 4.
Non-compliance related to severe weather or Yes NRR responsibility. NOED per Section B3. Review other natural events that require balancing of justification per Section C 4, item 11. Inform the overall public health and safety.
Commission of the NOED issuance expedrhously.
No J
5.
NOED request is caused by licensee failing Yes Carefully scrutinize to preclude abuse of NOED process.
to apply for an amendment in a timely Evaluate critena for an exigent amendment per 10 CFR manner, i e., Poor planning.
50.91.
No 6.
AOT has expired prior to staff approval of Yes Stop. Licensee must comply with TS.
NOED l
No I
7.
Do any of the following apply:
Yes NOED approval requires closer scrutiny.
- a. TS has been violated I
I
- b. Poor planning No
- c. Repeated NOEDs for same reasons Issue Date: 06/29/99 D-1 9900, N0ED, Attachment D
i l
l II SAFETY CONSIDERATIONS l
Guidance Item Check 1.
NOED is for an operating plant Yes item ia or 1b, must be satisfied.
No Proceed to item 2.
a) NOED is for avoiding undesirable plant Yes transient, i.e., shutdown.
No item ia or ib, must be satisfied b) NOED would eliminate testing, inspection or Yes j
system realignment that is inappropriate for No particular plant conditions.
2.
Is the plant in a shutdown condition?
Yes item 2a must be satisfied.
No Skip 2a and proceed to item 3.
a.
NOED would reduce shutdown risk by Yes avoiding testing, inspection or system realignment that is inappropnate for particular No NOED is not allowed.
plant conditions?
3.
Is the plant in a startup condition?
Yes item 3a. 3b or 3c must be settsfied No a) the equipment or system does not perform a safety funcbon in the mode in which operation is to occur, or b) equipment or system safety function is of only marginal safety benefit.
Item 3a,3b or 3c must be satisfied E!d remaining in the current mode increases the likelihood of an unnecessary plant transient, or c) test, inspection or system realignment is inappropnate for the particular plant conditions because it does not provide a safety benefit, or may be detnmental to safety 9900, NOED, Attachment D D-2 Issue Date: 06/29/99
e -
Ill. PROCESS Item Chk Guidance 1.
Licensee's request 1.
May be oral. Arrange licensee-staff telephone discussions thru the recorded line (301) 816-5100.
2.
Wntten request within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />. Address items in Section C.4.
3.
Submit follow-up license amendment within 48 hrs.
2.
TAC number assigned Licensing Action Code: LD.
3.
Venfication Region project's Branch Chief / NRR PM - Venfy licensee's oral assertions to the extent practical.
NRR-issued: Requires regional Divisional Director of Reactor Projects' and cognizant NRR technical branch chief (s) concurrence.
4, Issuing authonty Region: Regional Administrator or designee NRR: Project Director j
5.
NOED number NRR:
Obtain from TA,. DLPM.
Region:
Per Region guidance 6.
NOED granting May be oral, to be followed by NOED letter within 2 working days.
7.
Specify maximum pened for Region: Maximum 14 days q
which NOED is in effect NRR: Until the issuance of amendment (4 weeks maximum).
8.
NOED letter 1.
Follow sample (See Attachment A).
2.
If subsequent to oral granting of an NOED, the licensee determines that no violation of the license will occur and thus the NOED is not needed, the licensee and staff should still followup with appropriate documentation.
3.
Document consistency between the oral ar.d wntten requests.
- 4. Cite and demonstrate how the specrfic NOED criteria satisfied 5.
Identify by name and title principal staff participants in the NOED approval.
6.
Evaluate and document applicable items in Section C.4 7.
Specify time period for which NOED will be in effect..
9.
Follow-up license amendment 1.
Issue exigent amendment within 4 weeks. If not, justify (NRR) promptly by a memo to. Associate Director for Project Licensing and Technical Analysis, NRR.
2.
Send a copy of the amendment letter to email.NOED
- 10. Root cause violations Determination made. NRR coordinate with the regions
- 11. Inspection Report Region to document root cause violation determination, NOED approval basis, results of venfication activities to close URI.
- 12. Enforcement action Coord;nate with OE. For all NOEDs, Region to open an URI and document determinations in the next appropnate inspection report.
13.1.inensee LER Required even if NOED is issued (if otherwise required).
- 14. Distnbution See Part 9900. Note: Electronic copy of Word Perfect fi!e to Email addresses: NOED and NRCVEB IV. LICENSEE REQUEST FOR ENFORCEMENT DISCRETION Issue Date: 06/29/99 D-3 9900. NOED. Attachment D I
1 0
w Chk Remarks item 1.
The TS or other license conditions that will be violated-2.
The circumstances surrounding the situation, induding root causes, the need for prompt schon and identrfication of any relevant historical events.
The safety basis for the request, induding an evaluation of the 3.
safety significance and potential consequences of the proposed course of schon.
The basis for the licensee's condusion that the noncompliance 4.
will not be of potential detnment to the public health and safety and that a significant hazard consideration is involved.
5.
The basis for the Ikensee's condusion that the noncompliance will not involve adverse consequences to the environment.
6.
Any proposed compensatory measure (s).
7.
The justfication for the duration of the noncompliance.
A statement that the request has been approved by the facility 8.
organization that normally reviews safety issues (Plant Onsite I
Review Committee, or its equivalent).
9.
The request must specifically address which of the entena spednad in Sa-tinn 8 is satisfied and how.
{
- 10. If a follow-up license amendment is required, the request must indude marked-up TS pages showing the proposed TS changes. and a mm.en to submit the actual license amendment request within 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br />.
- 11. For NOEDs involving severe weather or other natural events, the licensee must provide:
details of the basis and nature of the emergency; potential a.
esc 65 consequences of forced compliance with the license w to the plant and to exacerbation of the emergency situation.
The licensee must provide the name, organization and telephone number of the official that made the emergency assessment b.
status, and potential challenges to offsite and onsite power sources, and the impact of the emergency on plant safe *y.
demonstrated actions taken to avett and/or alleviate the c.
emergency situation, induding steps taken to avoid being in the l
noncor7 ance, as well as efforts to minimize grid instabihties 4i (e.g., cwie.iding with other utilities and the load dispatcher organizabon for buying additional power or for cyding load, shedding interruptible industrial or non-emergency loads).
9900, NOED, Attachment D D-4 Issue Date: 06/29/99 l
1
x t,,-
AL 95-05, Rev. 2 July 27,1999 Page 1 of 1 LIST OF RECENTLY ISSUED NRC ADMINISTRATIVE LETTERS Administrative Date of Letter No.'
Subject Issuance issued to 95-03 Rev. 2 Availability of the Reactor Vessel 7/26/99 All holders of operating licenses Integrity Database, Version 2 for nuclear power reactors 99-02 Operating Reactor Licensing 6/3/99 All power reactor licensees
~
Action Estimates 99-01 Reorganization of the Office 4/9/99 All holders of operating licenses of Nuclear Reactor Regulation or construction permits for reactor facilities 95-05, Rev.1 Revisions to Staff Guidance for 2/19/99 All holders of operating licenses implementing NRC Policy on for nuclear reactors Enforcement Discretion 98-10 Dispositioning of Technical 12/29/98 All holders of operating licenses Specifications That Are Insufficient To Assure Plant Safety 98-09 Priority for NRR Review of 10/30/98 All holders of operating licenses Risk-Informed Licensing Actions for nuclear power reactors 98-08 Availability of Revised NRC 10/09/98 All NRC licensees Form 3," Notice to Employees" and Closure of NRC Walnut Creek Field Office 98-07 Interim Suspension of the 10/02/98 All holders of operating licenses Systematic Assessment of for nuclear power reactors Licensee Performance (SALP)
Program OL.= Operating License CP = Construction Permit
.