ML031530723
| 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
April 18, 2003 Page 2 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
Generic Communications
Region Specific Topics
April 18, 2003 Page 3 Event Response Special Inspections, Supplemental Inspections, Augmented Team Inspections, Incident Investigations NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 4 Significance Determination Process (SDP)
Reactor Oversite Process Safety Significance NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 5 Non-SDP Escalated Enforcement 10 CFR 50.7, 50.9, et. al NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 6 NOTICE OF ENFORCEMENT DISCRETION (NOED)
NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 7 SUBSTANTIVE CROSS-CUTTING ISSUES Reactor Oversite Process NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 8 Technical Specification Changes NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 9 10 CFR 50.109 Backfit Rule NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 10 GENERIC COMMUNICATIONS NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 11 REGION-SPECIFIC TOPICS NRC Process Licensee Involvement Public Involvement
April 18, 2003 Page 12 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)
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 Performance Meeting Public Involvement
Publicly Docketed Interactions
Requests for Additional Information
Docketed Risk Assessments
NRC Inspection Reports
Meeting Summaries
Public Meetings
Regulatory Performance Meeting
Annual Assessment Meeting
April 18, 2003 Page 13 SDP Background Information
NRC References MC 0305 MC 0608 MC 0609 MC 0612
Key Points of Interaction 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 14 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 15 Non-SDP Escalated Enforcement Background Information
NRC References MC 0305 MC 0612 Enforcement Manual and Policy
Key Points of Interaction Initial Notification - NRC to Licensee (especially if a potentially chilling environment concern)
OI Investigation Communication Findings (Inspection or Investigation)
Enforcement Conference
April 18, 2003 Page 16 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 17 NOED Background Information
NRC References MC Part 9900 MC 0609 MC 0612
Key Points of Interaction 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 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 Follow-up Inspection
April 18, 2003 Page 18 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 19 Substantive Cross-Cutting Issues Background Information
NRC References MD 8.13 MD 8.19 MC 0305 MC 0612 IP 71152
Key Points of Interaction Continuous Resident Inspector Oversight and Evaluation Region Reactor Projects Division Interactions 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 20 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 21 Tech Spec Change Background Information
NRC References 10 CFR 50.
Standard Review Plans Project Managers Task Manual
Key Points of Interaction Planning and Prioritization Process by Licensee Allows for Adequate Resource Planning by the Staff Ensures Efficient Handling of Licensee Request RAI Request and Resolution Process Transition from OLD TS to NEW TS Develop New Procedures Conduct Just-in-Time Training Conduct On-Going Continuing Training
April 18, 2003 Page 22 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 23 Backfit Rule Background Information
NRC References 10 CFR 50.109 MD 8.4
Key Points of Interaction Technical Information Exchange During Submission and Panel Review Process During Cost/Benefit Analyses During Appeals Process Enforcement Process (After the Final Decision)
NOTE:
THESE ACTIVITIES ARE ALMOST ALWAYS CONTROVERSIAL