June 30, 2007

EGM-07-004

MEMORANDUM TO: Samuel J. Collins, Regional Administrator, Region I

William D. Travers, Regional Administrator, Region II

James L. Caldwell, Regional Administrator, Region III

Bruce S. Mallett, Regional Administrator, Region IV

James E. Dyer, Director, Office of Nuclear Reactor Regulation

R. William Borchardt, Director, Office of New Reactors

Charles L. Miller, Director Office of Federal and State Materials and 

 Environmental Management Programs

Michael F. Weber, Director, Office of Nuclear Material Safety 

 and Safeguards

Roy P. Zimmerman, Director, Office of Nuclear Security and 

 Incident Response

FROM: Cynthia A. Carpenter, Director/RA/

Office of Enforcement

SUBJECT: ENFORCEMENT GUIDANCE MEMORANDUM 07-004

ENFORCEMENT DISCRETION FOR POST-FIRE MANUAL 

ACTIONS USED AS COMPENSATORY MEASURES FOR FIRE

INDUCED CIRCUIT FAILURES

Purpose:

The purpose of this Enforcement Guidance Memorandum (EGM) is twofold: (1) to define

September 6, 2007, as the end date for licensees to initiate corrective actions and to implement

compensatory measures for noncompliances related to post-fire operator manual actions,

except those operator manual actions that are relied upon as the mitigating mechanism for fire

induced multiple-spurious actuations and (2) to emphasize that March 6, 2009, is the date for

the completion of corrective actions associated with noncompliances involving operator manual

actions. 

Background:

In the 1990's, the Office of Nuclear Reactor Regulation (NRR) staff and regional inspectors

found plant specific problems related to fire-induced circuit analysis issues. In 1998, the NRC

staff began interacting with stakeholders to understand the problem and develop a solution to

the circuit analysis issue. About the same time, the NRC staff issued enforcement discretion

CONTACTS: Doug, Starkey, OE

(301) 415-3456

David Solorio, OE

(301) 415-0149
Multiple Addressees 2 EGM-07-004

1

On March 7, 2005, as documented in the Federal Register (70 FR 10901, Section IV,

Interim Enforcement Discretion Policy) on the proposed rule for post-fire operator manual

actions, the Commission approved the use of EGM 98-02 to provide enforcement discretion for

post-fire operator manual actions used as compensatory measures for fire induced circuit

failures.

guidance in EGM 98-0021

 for fire-induced circuit failure issues to provide a process for treating

inspection findings while the circuit analysis issues were being resolved. In 2000, the NRC staff

temporarily suspended fire protection inspections of associated circuits because stakeholders

had different interpretations of the regulations. 

While the circuits issues were being addressed in 2000, the NRC regional inspectors, during

baseline triennial fire protection inspections, also began to find problems with the non-compliant

use of post-fire operator manual actions. Inspectors determined that licensees were

inappropriately relying on post-fire operator manual actions to address fire-induced circuit

failures in lieu of the protection requirements of 10 CFR 50, Appendix R, section III.G, Fire

protection of safe shutdown capability. Consequently, the Commission approved the NRC staff

proposal to develop rulemaking to address the non-compliant use of operator manual actions. 

In 2005, after reviewing public comments on the proposed rule regarding the use of operator

manual actions, the NRC staff recommended withdrawal of the rulemaking. The Commission

approved the staff’s recommendation and the rulemaking was withdrawn on March 6, 2006 

(71 FR 11169). As noted in the Federal Register notice withdrawing the proposed rule, the

Commission approved an enforcement discretion time period to allow licensees to bring

themselves back into compliance with the existing regulations. The enforcement discretion for

non-compliant operator manual actions provided an initial 6-month time period which ended (but

was later extended as explained below) on September 6, 2006, for licensees to initiate

corrective actions and implement compensatory measures, and provided for an overall 3-year

time period, ending on March 6, 2009, to complete the corrective actions. 

Although the Federal Register notice (71 FR 11169) was issued in response to the NRC

decision to withdraw the rulemaking on operator manual actions, the NRC recognized that

some licensees may be relying on operator manual actions as a mitigating strategy for multiple

spurious actuations. Since the staff was nearing the issuance of a generic letter on the issue of

multiple spurious actuations, the Federal Register notice informed licensees of NRC’s intent to

terminate EGM 98-002 at the end of the 6-month time period, i.e., September 6, 2006. 

However, when the Commission deliberations began with respect to draft GL 2006-XX, the staff

recognized that draft GL 2006-XX could not be issued by September 6, 2006, and therefore, on

September 6, 2006, the staff issued EGM 98-002, Revision 2, Supplement 1, (ML062480380)

to extend the EGM. Specifically the 6-month time period which ended on September 6, 2006,

was extended until the Commission approved draft GL 2006-XX. 

The Commission subsequently disapproved the draft GL in SRM-SECY-06-0196, dated

December 15, 2006. As a result of the Commission’s disapproval, the 6-month end date

defined in EGM-98-002, Revision 2, Supplement 1, became open-ended. Consequently, on

February 16, 2007, the staff issued EGM 98-002, Revision 2, Supplement 2, (ML070300520) to

further extend the 6-month time period until such time as the staff could establish a new end
Multiple Addressees 3 EGM-07-004

date for the 6-month time period. This EGM accomplishes the staff objective to establish an

end date for the 6-month time period that does not rely on the issuance of the generic letter and

thus closes the current open-ended date for licensees to initiate corrective actions and

implement compensatory measures for noncompliant operator manual actions.

Action:

This EGM establishes September 6, 2007, as the date by which licensees must initiate

corrective actions and implement compensatory measures in order to receive enforcement

discretion for all noncompliances involving operator manual actions associated with fire induced

circuit failures. Noncompliances involving operator manual actions that are relied upon as the

mitigating mechanism for fire induced multiple-spurious actuations are not addressed by this

EGM and will be addressed by separate enforcement discretion guidance. The corrective

actions for noncompliances involving operator manual actions could involve compliance with

10 CFR Part 50, Appendix R, Sections III.G.2 or III.G.3; adoption of National Fire Protection

Association Standard 805 (NFPA-805), through 10 CFR 50.48(c); or submission of exemption

requests or license amendments. 

This EGM also emphasizes that March 6, 2009, or the end date consistent with the licensee’s

NFPA-805 transition schedule, is the date by which the licensee must complete corrective

actions associated with noncompliances involving operator manual actions in order to receive

enforcement discretion. These completion dates for corrective actions are consistent with the

Commission’s direction provided in the Federal Register notice (71 FR 11169).

This EGM supercedes Supplements 1 and 2 of EGM 98-002, Revision 2 (ML062480380 and

ML070300520). Enforcement discretion related to other circuit failure issues, specifically,

multiple spurious actuations, will continue to be addressed under EGM 98-002, Revision 2

(ML003710123), until the Commission approves a new enforcement discretion policy for 

these issues. 

cc: L. Reyes, EDO

M. Virgilio, DEDMRT

W. Kane, DEDR

V. Ordaz, OEDO

B. Boger, NRR

G. Tracy, NRO

SECY
Multiple Addressees 3 EGM-07-004

end date for the 6-month time period that does not rely on the issuance of the generic letter and

thus closes the current open-ended date for licensees to initiate corrective actions and

implement compensatory measures for noncompliant operator manual actions.

Action:

This EGM establishes September 6, 2007, as the date by which licensees must initiate

corrective actions and implement compensatory measures in order to receive enforcement

discretion for all noncompliances involving operator manual actions associated with fire induced

circuit failures. Noncompliances involving operator manual actions that are relied upon as the

mitigating mechanism for fire induced multiple-spurious actuations are not addressed by this

EGM and will be addressed by separate enforcement discretion guidance. The corrective

actions for noncompliances involving operator manual actions could involve compliance with

10 CFR Part 50, Appendix R, Sections III.G.2 or III.G.3; adoption of National Fire Protection

Association Standard 805 (NFPA-805), through 10 CFR 50.48(c); or submission of exemption

requests or license amendments. 

This EGM also emphasizes that March 6, 2009, or the end date consistent with the licensee’s

NFPA-805 transition schedule, is the date by which the licensee must complete corrective

actions associated with noncompliances involving operator manual actions in order to receive

enforcement discretion. These completion dates for corrective actions are consistent with the

Commission’s direction provided in the Federal Register notice (71 FR 11169).

This EGM supercedes Supplements 1 and 2 of EGM 98-002, Revision 2 (ML062480380 and

ML070300520). Enforcement discretion related to other circuit failure issues, specifically,

multiple spurious actuations, will continue to be addressed under EGM 98-002, Revision 2

(ML003710123), until the Commission approves a new enforcement discretion policy for 

these issues. 

cc: L. Reyes, EDO

SECY

M. Virgilio, DEDMRT

W. Kane, DEDR

V. Ordaz, OEDO

B. Boger, NRR

G. Tracy, NRO

DISTRIBUTION:

OE r/f Mary Ann Ashley, NRR

EGM File OE staff (electronic)

RidsEDOMailCenter

OEWeb (3 days after issuance)

ADAMS/PUBLIC (3 days after issuance)

Enf. Coord: RI, RII, RIII, RIV, NRR, NMSS, and NSIR

ML071830345

  Publicly Available  Non-Sensitive

OFFICE ES:OE NRR SC:OE DD:OE D:OE

NAME DStarkey SWeerakkody DSolorio SMagruder CCarpenter

DATE 6/13/07 6/15/07 6/28/07 6/30/07 6/30/07

OFFICIAL RECORD COPY