ML19308C175
| ML19308C175 | |
| Person / Time | |
|---|---|
| Site: | Crane  |
| Issue date: | 03/21/1977 |
| From: | Rusche B, Volgenau E NRC OFFICE OF INSPECTION & ENFORCEMENT (IE), Office of Nuclear Reactor Regulation |
| To: | Gossick L NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| Shared Package | |
| ML19308C171 | List: |
| References | |
| TASK-TF, TASK-TMR 771230, NUDOCS 8001210510 | |
| Download: ML19308C175 (8) | |
Text
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SG-1 ENCLOSURE p asc D,
UNITE D ST ATEs g-NUCLEAR REGULATORY COMMISSION j.pp)j ;j wassiNgoN, o,c rosss
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MD10RAEDIN FOR: Lee V. Gossick, Executive Director for Operations M Id
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Ben C. Rusche, Director, Of fice of Nuclear Reactor Regulation Ernst volgenau, Director, Of fice of Inspection and Enforcement
SUBJECT:
AGEEEhENT"Off NRR/IE INTERFACE' AND TIVISI'ON OF RESPONSIBILITY The Of fice of Nuclear Reactor Regulation (NRR) and the Of fice of Inspection and Enforcement (IE) are assigied responsibilities which make it necessary for both Of fices to deal directly with licensees on safety, safeguards and environmental matters involving the construction and operation of nuclear power plants and other utilization facilities licensed under 10 CFR Part 50, on matters involving operators licensed under 10 CFR Part 55, and on safeouards matters contained in 10 CFR Part 73.
While there are certain functions i
which are clearly the sole responsibility of one or the other of these Of fices, many of these functions i~eolve an interface between the Of fices.
There are other functions for which
- he assignment of responsibility is shared. The purpose of this memorandum is to document the agreement on the division of responsibility between the Of fices in those areas where interfaces or overlaps exist in the functions assigned to the respective organizations.
The principal responsibilities assigned to NRR are establishment of safety, safeguards, environmental, and antitrust criteria for license issuance, evaluation of license and amendment applications and issuance of licenses and amendments which meet established criteria.
NRR also has responsibility for evaluation of the perfonnance of licensed facilities to establish the adequacy of or need for change in NRC requirements. The principal responsibilities assigned to IE are the inspection of licensed facilities and activities to ascertain compliance with NRC requirements; observation and reporting on the safety of licensed activities; investigation of events reported and allegations received; and effecting enforcement action where non-coopliance with NRC requirements is identified.
IE also has responsibility for evaluating licensee performance with respect to safety and safeguards matters and providing feedback information to NRR. The agreed-upon division of responsibility between NRR and i
IE where their functions interface is as specified below.
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1.
Design Peview/ Inspect _ ion Interf ace i
NRR is responsible for evaluating f acility design and programmatic plans (CA progran, security plan, energency plan, preopertaional and startup test programs), as described in the SAR and other documents f or conformance with NR; requirements.
IE is responsible for in-specting licensee facilities to verify implener.tation of the design and prograuatic plans described in the SAR and other documents.
IE s
will infor.3 f3R of the results of such inspections.
To unhance their understanding of the design connitments described in the SAR, NRR personnel may need to visit f acilities sites. NRR will infonn and/or invite IE to all site visits, thereby f acilitating subsequent followup inspec tion activities by IE.
IE will infonn NRR on a timely basis of any SAR comitments TE believes are not inspectable cr consistent with NRC criteria. NRE will inform IE of special emphasis that should be placed on verifying licensee implementation of SAR commitments.
IE needs current infonr,ation on licensee commitments; therefore NRR will inform IE promptly of any approvals, agreements or proposed actions with licensees by copies of minutes of reetings or other correspondence regarding design, installation, or procedure which dif fer f rom SAR or other ccomitments.
2.
Coordination for Licensing Action NRR has responsibility for all NRC licensing actions related to reactor f acilities licensed under 10 CFR Part 50.
IE has the responsibility for making certain findings with respect to licensee / applicant activities as pre-requisites for some licensing actions and therefore appropriate " hold points" in the licensing procedures are established so that licensing action will not proceed until appropriate findings have been made by IE.
IE will keep NRR informed of progress made toward reaching the required findings and will conduct inspections as necessary to minimize any delays in licensing action.
3.
Coordination for Enforcement Action IE is responsible for effecting enforcement action upon detection of instances where the rules and regulations of the NRC have been violated. Significant enforcement action has a t earing on pending licensing action; therefore, IE will notify NRR of all proposed enforcec.ent ac tions that involve monetary penalties or more severe sanct'ons.
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4.
Quality Assurance 1
NRR nas the responsibility for revie. and acceptance of quality assurance program descriptions presented in SAPS or topical l
reports.
IE has the responsibility for reviewing tne associated inplementing procedures to assure their acceptability witn regard
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to carrying out tne procram description coanitaents and meeting i.
NRC reouirements.
In order to assure proper coordination on 0A matters, IE and i
NRR agree to:
(a) participate jointly in predocket conferences l
with new utility applicants; (b) coordinate prior to completing
.l action on docketing of SARs, acceptance of QA topicals and J
preparations of SERs; (c) provide joint testimony to hearing j
boards when issues involving the adequ3cy of quality assurance j
programs are raised; (d) inform each other regarding matters j
having significant quality assurance implications; and (e) request i
comment on interfacing prograns and activities.
5.
Technical Specifications and License Conditions i
j NRR is responsible for developing and issuing licenses, including i
radiological-safety and environmental technical specifications (TS),
4 for operating facilities and for review and approval of licensee anendments including TS changes.
IE is responsible for enforcing 1
compliance with the TS.
All operating licenses are now being issued with standardized radiological-safety technical specifications (STS),
4 which IE has reviewed and found to be inspectable and enforceable.
I NRR will provide IE the opportunity to review proposed TS which differ significantly from the STS to ascertain whether the specific TS requirements are inspectable and enforceable.
IE will infonn i
NRR of any TS items, in STS or non-standardized TS, requiring revision which are ide.'tified as not inspectable, enforceable, or that need tRR attention as the reruit of IE reviews or IE inspections. NRR 3
agrees to infonn IE regarding the disposition of all such items i
i denti fi ed.
l 6.
10 CFR 50.59 Determinations IE is responsible for reviewing changes to the facility and to procedures that were made and documented in accordance with 10 CFR 50.59 require.aents.
IE is also responsible for forwarding to NRR, information detected during inspections relating to changes made to the facility or the procedures which may involve an unreviewed
'3 safety question as defined by 10 CFR 50.59.
NRR will provide timely s
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SG-4 Lee V. Gossick e feedback to IE indicating whether or not the issues identified by IE constitute an unreviewed safety question and for this reason, or otherwise, require NRR review,
'SR is responsible for review and approval of licensee-requested license amendments or technical specification changes relating to changes to the facility which require prior revien and approval by PR C.
The NM approved changes will serve as the basis for any IE inspection of the change or modification.
IE is responsible for inspecting the approved change / modification to verify that it has been perforned and tested in accordance with commitments, the requirements of the amendments and related safety eval ua tio ns.
IE will verify that appropriate operating procedures have been prepared and that the new or modified system has been completed and is ready for initial operation.
7.
_10 CFR 50.54(p) Determination IE is responsible for reviewing changes to the facilities' security plan that were made by the licensee and considered not to decrease the effectiveness of the security plan and documented in accordance with 10 CFR 50.54(p) recuirements.
If IE disagrees with or questions the validity of the licer. Y s conclusion that effectiveness is not dec reased, IE will refer the matter to NRR for resolution.
IE is also responsible for foraarding to NRR information detected during inspections relating to changes made to the facilities' physical protection systems, security plans or procedures which may decrease the effectiveness of the security plan. NRR will provide timely feedback to IE indicating whether or not the issues identified by IE constitute a decrease in effectiveness of the security plan.
8.
Response to Licensee Event Reports IE is responsible for the initial review of and response to notifi-cation of reportable events received fran reactor licensees.
IE will review each sucn event and make a detennination as to the dCCeptability of the licensee's Corrective action or program for c o r rec tio n.
IE will assure that infonnation regarding significant events is provided to NRR in a timely manner commensurate with the importance of the event.
If the corrective action c3nnot be accomplished und?r the existing license requirements, if an unreviewed safety or safeguards question is identified, or if technical issues rquiring special expertise not available within IE are involved. responsibility for resolving the matter will be O
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formally transferred to NRR.
NRR will inforn IE of the resolution of any such matters.
9.
Response to Other Matters Reportable to IE IE is responsible for the initial review of and response to matters g
reportable to IE under NRC requirements such as 10 CFR 50.55e and 10 CFR Part 21.
IE will review each such report, investigate as appropriate, and make a determination as to the acceptability of the reported corrective action or program for correction.
If the corrective action canno.t be accomplished under existirsg NRC require-ments, if unreviewed safety questions ar e raised, or if technical issues requiring special expertise not available within IE are involved, responsibility for resolving the matter will be formally transferred to NRR.
NRR will inform IE of the resolution of such matters.
10.
Handling of Safety and Safeguards Problems Significant safety and safeguards related problems beyond those
~'s reported formally by licensees may be identified by IE or NRR as 7
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a result of site visits, inspections, allegations, informal
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communications with the licensee, or other sources. The resolu-tion of such matters should normally be achieved through the IE enforcement procedures where possible. When resolution cannot be accomplished in this manner, and neither IE nor NRR have clear responsibility for resolving the matter, responsibility will be formally transferred to NRR.
IE will provide NRR with all available information and may make recommendations to NRR regarding disposition of the matter.
NRR will inform IE of the resolution of such matters and will provide periodic status infonnation for items requiring an extended period of time for resolution,
- 11. ERC Response to Incidents NRR and IE response to incidents will be in accordance with the guidance contained in NRC Manual Chapter 0500.
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IE'isiresponsible7for managing the initial NRC' response,ito' incidents _
r unt11 < the Executive Management: Team.isf avsflable.i;DuringJthis interia
- period,LNRRLw1111 provide: prompt tectirifcallassistanceito IE;wh'en s ' '
' requested. As: soon'as the. Executive Management! Team.isl assembled.
Jit will"adune l full:managementfof;'NRC: incident ruspotiselactivities.
'ThF EDO N il l 'bi k hip t '~ f ul ly i n fo rmed.
IE will notify"NRR~)ro3ptly
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Krs '*' 97 Lee V. Gossick a of known significant f acts pertaining to incidents.
- Likewise, NRR will notify IE promptly when NRR is initially made aware of significant facts involving an incident.
12.
IE Bulletins and Circulars s
IE has the responsibility for issuing Bulletins and Circulars.
Bulletins are issued when a significant safety or safeguards issue is involved, when prompt involvement of licensees is desired, when specific actions are recommended to the licensee and when a response is requested from the; licensee.
Circulars are issued to distribute information of generic interest to licensees, but do not require written response from the licensee.
IE will consider Bulletins or Circulars which may be proposed by any NRC office, but retains ultimate responsibility for the decision regarding issuance.
IE will give NRR an opportunity to comment on all proposed Bulletins or Circulars prior to their issuance, however, IE has the prerogative to accept or reject any comments.
IE will respond to NRR comments not incorporated in substance into a Bulletin or Circular.
If NRR specifically requests that a Bulletin or Circular not be issued as proposed, the matter will be resolved at the Division Director level.
When a proposed Bulletin requests action which could alter existing license requirements, IE will obtain NRR concurrence before issuance of the Bulletin.
IE has responsibility to evaluate licensee responses to Bulletins except when that response alters an existing license condition.
IE will provide a summary of the responses to NRR and if NRR action is required, all responses, togetner with the sunmary and possible recommendations for resolution, will be forwarded to NRR.
13.
NRR Generic letters NRR has the responsibility for requesting inforrotion needed for review of generic issues.
If the issue can be expected to impact on the IE in'.,ection program, NRR will give IE an opportunity to comment prior to issuance of such letters and will inform IE of 9
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E-1577 Lee V. Gossick a all letters issued.
If IE specifically requests that a Generic Letter not be issued as proposed, the matter will be resolved at the Division Director level.
NRR will inform IE of any actions resulting from the review of generic issues.
14.
Operator Licensing L
PRR is responsible for evaluating training programs and requali-fication programs, as described in the SAR and other documents, for conformance with NRC criteria.
Further, NRR is responsible I
for evaluating applications from individuals for operator and senior operator licenses, including those for renewal or amendment of existing licenses. 'Also, NRR reviews f acility examinations administered as part of the licensed operator requalification programs to detennine whether the scope and depth are comparable to the NRC-administered examinations.
NRR will notify IE of any approved changes in a facility licensee's training program.
IE is responsible for verifying that operators are perfonning consistent with the provisions of their license.
IE is also p) responsible for verifying that training and requalification tV programs have been conducted in accordance with commitments made in the SAR, in the license applications, and those requirements established in 10 CFR 55.
IE will provide NRR any infonnation obtained during inspections which may impact on the issuance or renewal of an operator's license and will effect enforcement action, as appropriate.
15.
Meetinos with Licensees J
IE will be notified in advance of all NRR meetings pertaining to licensing actions which could impact on the inspection program.
NRR will be notified in advance of all IE meetings which could have impact on licensing activities.
Such notifications will be made to a single designated point of contact.
For NRR/IE interface matters, the principal points of contact within NRR are the Director, Division of Project flanagement, or his designee, for all matters related to reactor construction projects; and the Director, Division of Operating Reactors, or his designee, for all matters related to operating reactors. Within IE, the principal points of contact are the Director, Division of Reactor Inspection Programs, or his designee, for all safety and environmental matters related to reactors, and the Assistant Director for Safeguards for all matters related to safeguards.
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e SG-8 Lee V. Gossick D I 2 u,7 The matters described above will be reviewed at regular intervals to assure they represent current positions, and NP.R/IE Interface Meetings will be held at approximately monthly intervals to discuss matters involving the two Of fices.
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ben C. Rusche, Director Ernst Volgenau, Director Office of Nuclear Reactor Regulation Of fice of Inspection and Enforcement O
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