ML031530723

April 18, 2003 - RIC 2003 Presentation - F3 - Ellis W. Merschoff - Region IV Breakout

ML031530723
Person / Time
Site:	Palo Verde
Issue date:	04/18/2003
From:	Kane W, Merschoff E, Overbeck G Arizona Public Service Co, NRC/EDO, NRC Region 4
To:
References
Download: ML031530723 (23)

Text

RIC 2003 Region IV Breakout Session F3 NRC Decision Making Process April 18, 2003 Ellis W. Merschoff Regional Administrator, Region IV USNRC William F. Kane, Deputy Executive Director for Reactor Programs Executive Director for Operations USNRC Gregg Overbeck, Senior Vice President Arizona Public Power Company

Industry and Public Participation NRC Decision-Making Process Event Response Significance Determination Process (SDP)

Non-SDP Escalated Enforcement Notice of Enforcement Discretion (NOED)

Substantive Cross-Cutting Issues Technical Specification Changes 10 CFR 10.109 (Backfits)

Generic Communications Region Specific Topics April 18, 2003 Page 2

Event Response Special Inspections, Supplemental Inspections, Augmented Team Inspections, Incident Investigations NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 3

Significance Determination Process (SDP)

Reactor Oversite Process Safety Significance NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 4

Non-SDP Escalated Enforcement 10 CFR 50.7, 50.9, et. al NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 5

NOTICE OF ENFORCEMENT DISCRETION (NOED)

NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 6

SUBSTANTIVE CROSS-CUTTING ISSUES Reactor Oversite Process NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 7

Technical Specification Changes NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 8

10 CFR 50.109 Backfit Rule NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 9

GENERIC COMMUNICATIONS NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 10

REGION-SPECIFIC TOPICS NRC Process Licensee Involvement Public Involvement April 18, 2003 Page 11

Significance Determination Process (SDP)

Reactor Oversite Process Safety Significance NRC Process

< Initial Problem Identification (Licensee, Resident, Regional Inspector)

< Phase One Assessment (Inspector)

< Phase Two Assessment (Inspector with SRA Assistance)

< SRA Assessment

< Phase Three Assessment (SRA with NRR Assistance)

< Significance and Enforcement Review Panel (Region, OE, NRR)

< Regulatory Conference

< Final Significance Determination

< Follow-up Inspection for Corrective Action Effectiveness Licensee Involvement

< Initial Assessment per Corrective Action Program

< Continual Interaction for Technical Accuracy during Phases One, Two and Three

< Exit Report Feedback Mechanisms

< Regulatory Conference

< Regulatory Performance Meeting Public Involvement

< Publicly Docketed Interactions Requests for Additional Information Docketed Risk Assessments NRC Inspection Reports Meeting Summaries

< Public Meetings Regulatory Conference Regulatory Performance Meeting Annual Assessment Meeting April 18, 2003 Page 12

SDP Background Information NRC References

1. MC 0305

1. MC 0608

1. MC 0609

1. MC 0612 Key Points of Interaction

1. Technical Interaction between Licensee and NRC throughout Phases One, Two and Three

• Technical Adequacy of Risk Tools (Licensee and NRC)

• Consideration of External Risk Effects

• Consideration of Common Cause Implications

• Integration of Regional and NRR Risk Assessments

• SERP

• Regulatory Meeting April 18, 2003 Page 13

Non-SDP Escalated Enforcement 10 CFR 50.7, 50.9, et. al NRC Process

< Traditional Enforcement Process

< Finding beyond the scope of the ROP or identified from OI

< Licensee Notification (Letter or Inspection Report)

< Preliminary Decision (Weekly Conference with Program Office and OE)

< Enforcement Conference

< Final Resolution (Collaborative decision between Region, HQ, OE)

Licensee Involvement

< Initial Notification (Inspection Finding, Chilling Effect Letter, OI Referral)

< Fact Finding (Inspection or Investigation)

< Enforcement Conference Public Involvement

< Publicly Docketed Interactions Requests for Additional Information NRC Inspection Reports Meeting Summaries Public Meetings Enforcement Conference April 18, 2003 Page 14

Non-SDP Escalated Enforcement Background Information NRC References

1. MC 0305

1. MC 0612

1. Enforcement Manual and Policy Key Points of Interaction

1. Initial Notification - NRC to Licensee (especially if a potentially chilling environment concern)

1. OI Investigation

1. Communication Findings (Inspection or Investigation)

1. Enforcement Conference April 18, 2003 Page 15

Notice of Enforcement Discretion (NOED)

NRC Process

< Notification of Condition (Resident Inspector, Regional Oversight, Licensee)

< Initial Assessment of Risk (SRA with Licensee)

< Internal Review of Condition (Regional or HQ NOED)

< Request by Licensee Written Submission, if possible Telephonic Conference with Region and NRR

• Basis for Request

• Risk Neutrality

• Compensatory Measures

< Confirmation of NOED Authorization Authority

< Granting/Denial of NOED (Verbal)

< Written Submission by Licensee

< Written Response by NRC

< Inspection Follow-up Licensee Involvement

< Daily Operational Communications (Anticipating Potential Need)

< Preliminary Conference Calls Understanding Condition and Basis for Request Clarifying Risk Neutrality Compensatory Measures

< Operations during NOED Conditions

< Written Submission

< Follow-up Inspection Public Involvement ALL AFTER THE FACT

< Licensee Written Request for NOED

< NRC Approval

< Inspection Follow-up (Report)

April 18, 2003 Page 16

NOED Background Information NRC References

1. MC Part 9900

1. MC 0609

1. MC 0612 Key Points of Interaction

1. Initial Notification of Condition

• Early Understanding of Potential Need for an NOED

• Early Clarification of Risk Significance

• Early Understanding of the Technical Challenges Facing the Licensee

1. Telephone Conference Call Requesting NOED

• Following the NOED Checklist

• Risk Neutrality

• Not a previous pass on STS Amendment

• Compensatory Measures During NOED Condition

• Increased Startup Threshold

1. Follow-up Inspection April 18, 2003 Page 17

Substantive Cross-Cutting Issues Reactor Oversite Process Findings NRC Process

< BOTH of the Following Must Be Met

< Multiple Documented Findings Human Performance Problem Identification and Resolution, or Safety Conscious Work Environment

< Common Theme

< Documented in Mid-Cycle or Annual Assessment Letter

< Issue Discussed During Annual Public Meeting

< Follow-up Inspection Baseline Procedure, or Problem Identification And Resolution Inspection Licensee Involvement

< Issue MUST be Entered into the Corrective Action Program

< Discussion during Annual Public Meeting Public Involvement

< Docketed Correspondence Inspection Reports Mid-Cycle Review Letters Annual Assessment Letter

< Annual Public Meeting (Comment or Question)

April 18, 2003 Page 18

Substantive Cross-Cutting Issues Background Information NRC References

1. MD 8.13

1. MD 8.19

1. MC 0305

1. MC 0612

1. IP 71152 Key Points of Interaction

1. Continuous Resident Inspector Oversight and Evaluation

1. Region Reactor Projects Division Interactions

1. Mid-Cycle or Annual Assessment Letters

• Discusses Closure, if the Issue has been Resolved

• Discusses Progress, if the Issues has not been Resolved April 18, 2003 Page 19

Technical Specification Changes NRC Process

< Written Submittal Licensee Generated Request NSSS Developed Topicals Generic Issues Developed Positions

< Staff Manager Review NRR Project Manager NRR Technical Staff

< Requests for Additional Information

< Technical Resolutions

< Posting in Federal Register

< Resolution of Formal Comments

< Issuance of Amendment/Licensing Actions Licensee Involvement

< Development of Initial Request

< Licensee Engineering/Regulatory Affairs Organizations

< Participation on NSSS Committees

< Resolution of Technical Issues from the Staff Written Responses to RAIs Technical Meetings with the Staff

< Development of Implementing Strategies and Procedures New Procedures Transition Training

< Transition Operations Public Involvement

< Docketed Technical Correspondence Initial Licensing Request RAIs and Responses

< Public Comment Period FR Notice

< Hearing Request April 18, 2003 Page 20

Tech Spec Change Background Information NRC References

1. 10 CFR 50.

1. Standard Review Plans

1. Project Managers Task Manual Key Points of Interaction

1. Planning and Prioritization Process by Licensee

• Allows for Adequate Resource Planning by the Staff

• Ensures Efficient Handling of Licensee Request

1. RAI Request and Resolution Process

1. Transition from OLD TS to NEW TS

• Develop New Procedures

• Conduct Just-in-Time Training

• Conduct On-Going Continuing Training April 18, 2003 Page 21

10 CFR 50.109 Backfit Rule NRC Process

< Identification of Backfit Potential Letter from Licensee Allegation Process NRC Self-Identification

< Acknowledgement of Entering Backfit Process Letter to Licensee Memo to OEDO

< Panel Review of Backfit Claim

< Communication of Decision Letter to Licensee Memo to OEDO

< Cost/Benefit Analysis if Backfit Decision is Affirmed

< Appeals Process for Denied Backfit Licensee Involvement

< Submission of Backfit Claim

< Responses to Requests for Additional Information (RAI)

< Appeals, as considered necessary

< Technical Submissions for Cost/Benefit Analyses Public Involvement

< Docketed Correspondence Only April 18, 2003 Page 22

Backfit Rule Background Information NRC References

1. 10 CFR 50.109

1. MD 8.4 Key Points of Interaction

1. Technical Information Exchange

• During Submission and Panel Review Process

• During Cost/Benefit Analyses

• During Appeals Process

1. Enforcement Process (After the Final Decision)

NOTE: THESE ACTIVITIES ARE ALMOST ALWAYS CONTROVERSIAL April 18, 2003 Page 23