ML102510032
| ML102510032 | |
| Person / Time | |
|---|---|
| Site: | Prairie Island  |
| Issue date: | 12/24/2009 |
| From: | NRC/NRR/DIRS/IPAB |
| To: | Atomic Safety and Licensing Board Panel |
| SECY RAS | |
| Shared Package | |
| ML102510004 | List: |
| References | |
| 50-282-LR, 50-306-LR, ASLBP 08-871-01-LR-BD01, RAS 18575 | |
| Download: ML102510032 (5) | |
Text
PIC000007 NRC INSPECTION MANUAL IPAB MANUAL CHAPTER 0305 OPERATING REACTOR ASSESSMENT PROGRAM Issue Date: 12/24/09 0305 Effective Date: 01/01/10
0305-01 PURPOSE 01.01 The Reactor Oversight Process (ROP) integrates the NRCs inspection, assessment, and enforcement programs. The Operating Reactor Assessment Program evaluates the overall safety performance of operating commercial nuclear reactors and communicates those results to licensee management, members of the public, and other government agencies.
01.02 The assessment program collects information from inspections and performance indicators (PIs) in order to enable the agency to arrive at objective conclusions about a licensees safety performance. Based on this assessment information, the NRC determines the appropriate level of agency response, including supplemental inspection and pertinent regulatory actions ranging from management meetings up to and including orders for plant shutdown. The assessment information and agency response are then communicated to the public, except for certain security-related information associated with the security cornerstone that the commission has determined to withhold from public disclosure. Follow-up agency actions, as applicable, are conducted to ensure that the corrective actions designed to address performance weaknesses were effective.
0305-02 OBJECTIVES 02.01 To collect information from inspection findings and PIs.
02.02 To arrive at an objective assessment of licensee safety performance using PIs and inspection findings.
02.03 To assist NRC management in making timely and predictable decisions regarding appropriate agency actions used to oversee, inspect, and assess licensee performance.
02.04 To provide a method for informing the public and soliciting stakeholder feedback on NRCs assessment of licensee performance.
02.05 To provide a process to follow up on areas of concern.
0305-03 APPLICABILITY This inspection manual chapter (IMC) applies to all operating commercial nuclear reactors except those sites that are under IMC 0350, Oversight of Reactor Facilities in Shutdown Condition Due To Significant Performance and/or Operational Concerns.
The contents of this IMC do not restrict the NRC from taking any necessary actions to fulfill its responsibilities under the Atomic Energy Act of 1954 (as amended). Refer to IMC 0320, Operating Reactor Security Assessment Program, for guidance related to the assessment of security-related PIs and inspection findings.
Issue Date: 12/24/09 1 0305 Effective Date: 01/01/10
0305-04 DEFINITIONS 04.01 Annual Assessment Cycle. A 12-month assessment period from January 1 through December 31 of each year.
04.02 Assessment Inputs. As used in this IMC, assessment inputs are the PIs and inspection findings for a particular plant that are combined in the assessment process in order to determine appropriate agency actions. As discussed in section 06.01, traditional enforcement items should be considered when determining the range of agency actions within the appropriate column of the Action Matrix.
04.03 Assessment Period. A rolling 12-month period that contains four quarters of performance indicators and inspection findings. An inspection finding is normally carried forward in the assessment process for a total of four calendar quarters and a performance indicator is recalculated on a quarterly basis.
04.04 Cross-Cutting Area. Fundamental performance attributes that extend across all of the ROP cornerstones of safety. These areas are human performance (HU), problem identification and resolution (PI&R), and safety conscious work environment (SCWE).
04.05 Cross-Cutting Aspect. A performance characteristic that is the most significant contributor to a performance deficiency that resulted in a finding.
04.06 Cross-Cutting Area Component. A component of safety culture that is directly related to one of the cross-cutting areas. The cross-cutting area components in alphabetical order are: Corrective Action Program; Decision-Making; Environment for Raising Concerns; Operating Experience; Preventing, Detecting, and Mitigating Perceptions of Retaliation; Resources; Self and Independent Assessments; Work Control; and Work Practices. [C4]
04.07 Cross-Cutting Theme. For PI&R and HU, a cross-cutting theme exists when multiple inspection findings (i.e., four or more) are assigned the same cross-cutting aspect. The findings should be representative of more than one cornerstone; however, given the significant inspection effort applied to the Mitigating Systems Cornerstone, a cross-cutting theme can exist consisting of inspection findings associated with only this one cornerstone. A cross-cutting theme exists in SCWE if at least one of the following three conditions exists: (1) a finding with a documented cross-cutting aspect in SCWE and the impact on SCWE was not isolated, or (2) the licensee has received a chilling effect letter, or (3) the licensee has received correspondence from the NRC that transmitted an enforcement action with a Severity Level of I, II, or III, and that involved discrimination, or a confirmatory order that involved discrimination. See Section 13 of this IMC for more details.
04.08 Degraded Cornerstone. A cornerstone that has two or more white inputs or one yellow input.
04.09 IMC 0350 Process. An oversight process that oversees licensee performance, inspections, and restart efforts for plants in shutdown conditions with significant performance and/or operational concerns.
Issue Date: 12/24/09 2 0305 Effective Date: 01/01/10
04.10 Multiple Degraded Cornerstones. Two or more cornerstones are degraded in any one quarter.
04.11 Old Design Issue. An inspection finding involving a past design-related problem in the engineering calculations or analyses, the associated operating procedure, or installation of plant equipment that does not reflect a performance deficiency associated with existing licensee programs, policy, or procedures.
04.12 Parallel Performance Indicator Inspection Finding. An inspection finding issued at the same significance level of a safety-significant performance indicator when the supplemental inspection reveals a substantial inadequacy in the licensees evaluation of the root causes of the original performance deficiency, determination of the extent of the performance problems, or the actions taken or planned to correct the issue. See section 12.04.b for more details.
04.13 Plant Performance Summary. A document prepared by the regional offices and used during the mid-cycle review, end-of-cycle review, and Agency Action Review (if applicable) meetings. This document is prepared for those plants that: (1) for any quarter during the assessment period have been in the degraded cornerstone, Multiple/Repetitive degraded cornerstone, or Unacceptable Performance column of the Action Matrix, or (2) have a current substantive cross-cutting issue.
04.14 Repetitive Degraded Cornerstone. A single cornerstone that is degraded for five or more consecutive quarters with at least one of the five quarters having: (1) three or more white inputs, or (2) one yellow and one white input.
04.15 Safety-Conscious Work Environment (SCWE). An environment in which employees feel free to raise safety concerns, both to their management and to the NRC, without fear of retaliation and where such concerns are promptly reviewed, given the proper priority based on their potential safety significance, and appropriately resolved with timely feedback to employees.
04.16 Safety Culture. That assembly of characteristics and attitudes in organizations and individuals which establishes that, as an overriding priority, nuclear plant safety issues receive the attention warranted by their significance.
04.17 Safety Culture Assessment. A comprehensive evaluation of the assembly of characteristics and attitudes related to all of the safety culture components described in Section 13 of this IMC. Individuals performing the evaluation can be qualified through experience and formal training. A licensee independent safety culture assessment is performed by qualified individuals that have no direct authority and have not been responsible for any of the areas being evaluated (for example, staff from another of the licensees facilities, or corporate staff who have no direct authority or direct responsibility for the areas being evaluated). A licensee third-party safety culture assessment is performed by qualified individuals who are not members of the licensees organization or utility operators of the plant (licensee team liaison and support activities are not team membership).
Issue Date: 12/24/09 3 0305 Effective Date: 01/01/10
04.18 Safety-Significant Finding/Performance Indicator. An inspection finding having greater than very low safety significance (green) or a performance indicator that has greater-than-green safety significance.
04.19 Significance Determination Process (SDP). A characterization process that is applied to inspection findings to determine their safety significance. Using the results of the SDP, the overall licensee performance assessment process can compare and evaluate the findings on a significance scale similar (i.e., white, yellow, red) to the performance indicators.
04.20 Substantive Cross-Cutting Issue (SCCI). An SCCI is a cross-cutting theme that has been identified in PI&R, HU, or SCWE about which the NRC staff has a concern with the licensees scope of efforts or progress in addressing the cross-cutting theme.
0305-05 RESPONSIBILITIES AND AUTHORITIES 05.01 Executive Director for Operations (EDO).
- a. Oversees the activities described in this IMC.
- b. Approves all deviations from the Action Matrix. [C1]
- c. Informs the Commission of all approved deviations from the Action Matrix. [C1]
05.02 Director, Office of Nuclear Reactor Regulation (NRR).
- a. Implements the requirements of this IMC within NRR.
- b. Develops assessment program policies and procedures.
- c. Ensures uniform program implementation and effectiveness.
- d. Concurs on regional requests for deviation from the Action Matrix.
05.03 Regional Administrators.
- a. Implements the requirements of this IMC and IMC 0320, Operating Reactor Security Oversight Process, within their respective regions.
- b. Develops and issues assessment letters to each licensee.
- c. Conducts assessment reviews and directs allocation of inspection resources within the regional office based on the Action Matrix.
- d. Establishes a schedule and determines a suitable location for involvement of the public in the discussion of the results of the NRCs annual assessment of the Issue Date: 12/24/09 4 0305 Effective Date: 01/01/10