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RP 0400K REGION III MANUAL I
REGIONAL PROCEDURE 0400K NON-CITED VIOLATIONS Scope The purpose of this procedure is to provide guidance for the documentation and tracking of non i.ited violations (NCV) provided for in Title 10, Code of Federal Regulations Part 2, Appendix C, Policy and Procedure for Enforcement Actions.
- References The following Regionr.I Procedures must be used in conjunction with this procedure:
RP 0535A, Preparation of NRC Forms 766/766A RP 1201A, Outstanding Items Lists Procedure The Enforcement Policy provides ttre Staff with the flexibility and discretion not to issue a Notice of Violation for (1) inspection findings which involve an isolated Severity Level V violation regardless of who identified it; and (2) licensee identified Severity Level IV violations which meet the criteria of Section V.G of the Enforcement Policy.
In either case, action (s) necessary to correct the violation must be underway prior to the end of the inspection.
The following administrative steps will be taken to insure that non-cited violations are documented and tracked.
1.
Licensee identified Severity Level IV and V violations referenced in an inspection report or official field note (NMSS), and should be identified with the prefix "NCV", followed by a tracking number consistent with other cited violations and unresolved items. The inspection report should state "...the violation is not being cited because the criteria specified in Section V.G of the Enforcement Policy were satisfied" for l
Severity Level IV or V violations identified by the licensee.
In those cases where the NRC identified a Severity Level V violation that is not cited, the inspection report should state "...the violation is not being cited because the criteria specified in Section V.A. of the Enforcement Policy were satisfied." In all cases, the licensee's corrective action must be discussed in the inspection report.
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Contact:
John A. Grobe, Director Enforcement and Investigation Coordination Staff 2/14/90 l
9309140343 930830 PDR STeRG ESGGEN Mx 3-enn
RP 0400K s
2.
For the purpose of closing out findings of NCVs pursuant to Manual Chapter 0610.0704, further closecut is not required since the corrective actions have been previously considered in the inspection report discussing the NCV.
3.
For the. purpose of considering recurrence of NCVs, they may be removed from the tracking systems two years after the inspection report is issued.
However, those items which are on a triennial or longer inspection cycle will not be removed until such time as the newer cycle has been completed.
4.
NCVs will be referenced in the cover letter to the insper. tion report in order to highlight those issues for management and to a1d inspectors in preparing for inspections.
5.
NCVs should be identified in the inspection report's summary of findings, in the same manner as cited violations and unresolved items.
For example..."The following non-cited violations (NCV) were identified and reviewed during this inspection period..."
6.
NCVs should be documented in the current 766 system.
A maximum of six lines of text will be used to document the NCV in the 766 system.
The 766 Severity Level field has been modified to accept "H" for NCVs.
7.
When the 766 is replaced, the new system will continue to track NCVs.
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2/14/90 2
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September 27, 1990 MEMORANDUM FOR:
Those on Attached List f fj/_'
FROM:
Glen L. Sjoblom, Deputy Director Division of Industrial and Medical Nuclear Safety, HMSS
SUBJECT:
FINAL NMSS P 'IONAL PR0 GRAM REVIEW REPORTS FDR 1990 The HMSS reports providing final documentation of the results of the National Program Review for 1990 have been completed, following incorporation of suggestions from the Regions.
The results had been shared by the NMSS teams during their earlier visits to the Regions.
This report is for infonnation and record purposes and a response is thus not necessary.
Glen L. Sjoblom, Deputy Director Division of Industrial and Medical Nuclear Safety, NMS
Enclosure:
As stated DISTRIBUTION:
IMNS r/f NHSS r/f INNS D/D r/f J. Glenn J. Hickey G. Deegan w/ enclosures C. Haughney c0 /
IFC :IMN i
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ATE :9d 90 0FFICIAL RECORD COPY FINAL i r-/ __
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MEMORANDUM FOR THOSE ON THE ATTACHED LIST Dated: 9/27/90 Malcolm Knapp, Director Division of Radiation Safety and Safeguards, RI J. Philip Stohr, Director
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Division of Radiation Safety and Safeguards, RII Charles E. Norelius, Director Division of Radiation Safety and Safeguards, RIII Arthur B. Beach, Director Division of Radiation Safety and Safeguards, RIV Ross A. Scarano, Director Division of Radiation Safety and Safeguards, RV i
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UNITED STATES NUCLEAR REGULATORY COMMISSION o
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.,E WASHING TON, D. C. 20555 September 27, 1990 MEMORANDUM FOR:
Those on Attached List i
FROM:
Glen L. Sjoblom, Deputy Director.
Division of Industrial. and Medical Nuclear Safety, NMSS
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SUBJECT:
FINAL NMSS NATIONAL PROGRAM REVIEW REPORTS FOR 1990 The NMSS reports providing final documentation of the results of the National Program Review for 1990 have been completed, following incorporation of suggestions from the Regions.
The results had been shared by the NMSS teams during their earlier visits to the Regions. This report is for inforination and record purposes and.a response is thus not necessary.
y-en L. Sjobl Deputy Director
. Division of In ustrial and' Medical Nuclear Safety, HMS 1
Enclosure:
As stated
REPORT OF NMSS NATIONAL PROGRAM REVIEW AT NRC REGION IV, MARCH 1-2, 1990 1 BACKGROUND AND PURPOSE This report provides the results of the Office of Nuclear Material Safety and Safeguards (NMSS) review of Region IV programs under the Headquarters responsi-bility of NMSS.
The Headquarters team participating in this review consisted of one person from the Office of Enforcement, three persons from the Division of Industrial and Medical Nuclear Safety of NMSS, one from the Division of Low Level Waste and Decommissioning, one from the Program Management, Policy Develop-ment and Analysis Staff, and one from the Division of Safeguards and Transpor-tation.
In addition, one person from Region I was a member of the team (Attach-ment 1). Additional input from other elements of NMSS and the Office of Enforce-ment was used in the preparation of this report. The principal regional acti-vities are primarily under the responsibility of the Region IV Division of Radiation Safety and Safeguards (DRSS).
The DRSS organization chart is shown on Attachment 2.
A January 8,1990 memorandum from Richard Cunningham listed the areas to be covered and transmitted a questionnaire to the regions.
Region IV responses to the questionnaire are shown on Attachment 3.
The National Program Review (NPR) is based not only on the visit to the Region, but also on the collective Regional / Headquarters interfaces throughout the year, through review of some licensing casework, inspection reports, accompaniments of region-based inspectors, review of casework and inspection statistics, resource utilization, technical assistance and coordination, and the question-naire.
It is intended to provide a review of effectiveness of both the Region and Headquarters activities insofar as they relate to Region IV activities and to identify suggestions for improving the effectiveness of the joint efforts of NMSS, OE and Region IV. The emphasis relates to achieving two goals:
technical quality and timely completion of licensing casework and inspections, on the basis that both elements contribute to assuring the safety of operations involving NRC licensed activities.
t The report is organized so as to present an integrated summary in each of the following areas:
1.
Background and Purpose 2.
Licensing 3.
Inspections 4
4.
Enforcement 5.
-Training 6.
Initiatives 7.
Interfaces of Region / Headquarters 8.
Resource Utilization 9.
Recommendations / Suggestions i
2 LICENSING 2.1 Materials Safety i
In FY89, Region IV completed 613 licensing actions, as compared against an Operating Plan Target of 510 (120 percent).
They received 567 cases during this timeframe. Through May 31, 1990, the Region had completed 359 cases, or 70 percent of the adjusted FY90 goal, ahead of the 66% expected.
The Region has made a special effort to complete old cases.
This effort was complicated by the return of several well logging and radiography renewals from
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NMSS in September.
Overall, the number of backlogged cases has remained fairly constant at about 30 cases.
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The new licensing reviewer in the medical area and Licensing Assistant hired last year have greatly improved the section's ability to complete casework in a timely manner; both these individuals are well on their way to full performance.
In addition, the Region implemented a policy of cross-training licensing reviewers and inspectors. This greatly improves flexibility and efficiency in the materials area.
It has had a positive effect on interaction and comunication.
Inspectors call license reviewers from the field as necessary to clarify ques-tions raised by licensees.
The Headquarters staff reviewed a fraction of completed material licensing actions prior to the visit. The licensing actions are in accordance with Standard Review Plans and other guidance documents.
Headquarters staff notes that regional reviewers contact Headquarters technical staff to obtain guidance on technical issues.
This greatly reduces the time required to formally respond to technical assistance requests.
The Region has continued its program to improve licensing procedures to increase the efficiency of licensing activities. Examples include (1) pre-screening applications to ensure efficient distribution of the caseload, (2) improved com-munication between licensing and inspection personnel, and (3) more tutorial comunication between licensing personnel and applicants. These improvements
were begun in 1989 and are continued.
Region IV uses telephone contacts for minor deficiencies in applications.
The region's pre-licensing visit program for new materials applicants assures early identification of potential problems.
It may be favorably compared to Region I's two-step licensing program.
2.2 Uranium Recovery URF0 completed 104 Uranium Recovery Licensing actions compared to 75 budgeted for FY89. This exceeded the budgeted amount by 39 percent.
Through May 31, 1990, URF0 completed 63 new amendment and renewal actions, or 97 percent of the FY90 budgeted goal.
Region IV and URF0 established a high priority to complete reclamation plan reviews for the active mills and initiated a quarterly review of activities for major licensees to assure license performance is adequate. Region IV and URF0 also set a high priority on establishing priorities for New Mexico mills.
In addition, URF0 reviewed 120 monitoring reports submitted by licensees in FY89 which was 11 percent below the goal. Through May 31, 1990, URF0 has completed 43 monitoring reports which is 52 percent below the projected budget goal.
The shortfall is a result of staff losses and may result in an adjustment to the current goal in the FY90 operating plan. Completion dates for Title I licensing actions have been delayed due to the staff shortages as well.
During the year, Region IV restructured the URF0 organization to reduce management overhead and URF0 established use of a lead project management concept and phone system which has greatly improved staff morale. URF0 staff initiated increased efforts, including use of overtime, to make sure all critical work was completed and to begin to reduce the developing backlog.
URF0 also initiated efforts to obtain technical assistance from ORNL.
URF0 has continued efforts to actively recruit and hire new staff to fill vacancies.
The experience and caliber of the individuals hired will be an assistance to the program.
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4 Previously, one of the major guidance areas identified where more definitive guidance was required related to erosion protection reviews for reclamation plans.
URF0 and headquarters staff worked cooperatively over the past year in the development of an erosion protection position for use by staff.
During this review, staff identified the ground water protection area as an area requiring increased staff interaction over the next year to ensure necessary guidance is in place or identified for future development and to ensure consistency in approaches.
URF0 and LLWM staff will also explore the use of rotational assignments in this areas to help ensure close coordination on groundwater issues.
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2 3 INSPECTIONS 3.1 Materials Inspections 2
In FY89, 355 materials safety inspections were completed compared to a goal of 320. Through April 1990, the Region had completed 193 inspections. The annual goal is 350, so the Region is on schedule to achieve the goal.
The Region has an aggressive program to identify and complete late inspections and has only 3 overdue as of May 1990.
Headquarters' review of inspection notices of violation indicated no problems with the quality and documentation of inspections. The region has implemented a program of following each medical inspection with a letter to the licensee administrator; no NRC 591's are used. The Region hopes that this will heighten licensees' attention to NRC's regulatory program. Telephone calls are used to collect information from individuals who are not available during the inspec-tion.
Overall, internal communications in the Region appears to be excellent.
The inspectors seemed well informed of Regional goals and generic issues such as implementation of enhanced medical inspections and the medical quality assurance questionnaire.
However, some inspectors and license reviewers indicated that memoranda concerning policy were not always shared by managers with staff in a timely manner.
The Region is encouraging safety-oriented, performance-oriented inspections that audit the licensees' implementation of safety program rather than stressing a detailed review of compliance items.
In particular, inspectors are instructed to assure that the enforcement letter addresses all safety concerns whether included in an NOV or not. Although inspectors had a clear understanding of management initiatives to make inspection findings relevant to safety.and licensee performance, inspectors indicated a desire for more frequent communications regarding the balance between workload and effectiveness of the inspection process.
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W Region IV conducted a workshop for its medical licensees in Oklahoma City during FY89. Licensees were informed of current regulatory requirements and proposed rulemaking in the areas of quality assurance and preparation of radio-pharmaceuticals. The Region is considering holding a similar workshop in the northern portions of the Region later this year.
Region IV has proposed that the section c'hief for materials inspection participate in a rotation at NMSS.
Possible times and assignments were discussed but final arrangements are pending.
3.2 Uranium Recovery Inspections In FY89, 37 uranium recovery inspections were completed, which exceeded the goal of 35 by 6 percent. Through May 1990, URF0 had completed 21 inspections and.had proposed a schedule to accomplish the budgeted number of inspections by the end of FY90.
3.3 Fuel. Cycle Inspection The Uranium Recovery Field Office (URFO) of Region IV was responsible for the inspection function at Sequoyah Fuels Corporation (SFC) facility (the single fuel cycle facility under the Region's purview, excluding uranium recovery operations until the end of calendar year 1989). Starting January 1,1990 the Region IV Administrator transferred this function back to Region IV in order to balance workload and better utilize resources.
This overall inspection program remains at an effective level with good management oversight.
HMSS licensing staff members accomp'anied or participated in several inspections during the appraisal period and found the inspections to be complete and consistent with NRC policy and guidance.
Both the Region and NMSS consider the NMSS participation in inspections to be beneficial and worthwhile.
A review of inspection reports during FY89 determined that the inspection reports communicated well the results of the inspection and were in accordance with Manual Chapter 0610. The 21 day calendar day goal for issuing inspection reports after the last day of the inspection was met on the majority of the inspection reports reviewed.
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1 3.4 Transportation Safety Inspection Program 3.4.1 Materials Inspections All of the field note formats in use by Region IV were noted to continue to be consistent with the prescribed formats of MC 87100.
Randomly selected completed field notes of 12 materials inspections were examined and found to be thorough and complete in every case.
Headquarters has continued to review routine in-spection reports and NOV's distributed in the RIDS system.
The quality of these reports continues to be very high.
During the past year, the former Licensing / Inspection Section Chiefs have switched positions.
Of 355 inspec-tions, transportation module 86740 was credited 241 times, usually ranging from 0-1 hours expended per inspection.
In these inspections, 31 Severity Level IV and 19 Severity Level V were noted.
(During FY88, 61 violations were noted during the 184 inspections credited to module 86740).
3.4.2 Fuel Facilities Responsibility for inspection of the one major fuel facility in Region IV, e.g.,
Sequoyah Fuels Corporation (SFC) was transferred from URF0 to Region IV.
It is currently assigned to the Security and E.P. Section, with B. Spitzberg as the assigned inspector.
However, upon the hiring of a new fuel facility inspector, yet to be selected in the Nuclear Materials Licensing Section, the responsibi-lity for SFC will be shifted to that section.
In November 1989, the Senior Transportation Specialist, Headquarters, accompanied an URF0 inspector to SFC during the transportation /LLW portion of the inspection.
It was noted that all of the required and applicable elements of procedure 86740 were adequately covered by the inspector.
3.4.3 Reactor Inspections Based on the ongoing routine review of inspection reports, excellent coverage of the inspection of transportation activities at reactor facilities continued in FY89. Transportation was examined using Core Inspection procedure 83750 at all facilities in the Region in accordance with the SALP cycle rating of each facility. Twenty units were inspected using Procedure 83750 with very few vio-lations noted.
Region IV has continued to feel it necessary to supplement the 3-3
i Core Program effort with additional regional initiative effort.
In this regard, Basic Module 86721 was covered one time and supplemental procedure 86740 three times in FY89.
It was noted that in addition to developing unique inspection field notes for each of the two core modules applicable to the Facilities Radiation Protection Section (83750 and 84750), the Chief FRPS has developed and implemented the use of an " Inspection Status Sheet."
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l 4 ENFORCEMENT 4.1 Background and Purpose This report provides the results of the Office of Enforcement's (DE) participation in the NMSS National program Review.
OE's review involved pri-marily the Region's treatment of recurring violations, exercise of discretion under V.G.1 of the Enforcement Policy and Severity Level V violations, f
4.2 Treatment of Recurring Violations In response to the Office of Inspector General (OIG) recommendations, in a draft report on the enforcement process, the Director of Enforcement requested among other things in a memo dated August 2, 1989 and made final by a memo dated August 30, 1989, that each region prepare written instructions to assure that Severity Level IV and V violations for material licensees are properly reviewed to determine whether they represent a significant management breakdown (Severity Level III problem) or are repetitions and, if so, appropriate enforcement actions are considered. The regional instructions were to be prepared and submitted to OE within 90 days along with plans for training of regional personnel within six months of issuance of the regional instructions.
Written instructions were prepared and submitted to OE October 5, 1989 (Regional Office Policy Guide (0558) Similar Violations).
Formal training was provided on these instructions during FY89 in conjunction with a resident inspector's meeting by the Enforcement Officer.
Discussions with materials inspectors and the Chief of the Materials Inspection Section indicated that licensee's inspection history is reviewed prior to inspec-tion. Should repeat violations be identified during the inspection, they are emphasized and discussed with the licensee at the close of the inspection.
Upon return to the Region, the violations identified and any repeat violations are discussed with the Section Chief and brought to the Division Directors' attention in determining the enforcement strategy.
Repeat violations are documented in 4-1
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draft field notes or formal inspection reports.
Inspection letters and Notices of Violation (NOVs) sent to licensees identify those violations which are repeats. There is. no computerized system to track outstanding violations and flag repeat violations other than the inspector's field notes, inspection letters, and NOV's, which are kept in the licensee's docket file.
OE's review of inspection letters since O'ctober 5, 1989 indicated that repeat violations are being identified. Regional Office Policy Guide (0558) Similar Violations is being followed.
(The Regional Office Policy Guide is enclosed as Attachment 4.)
Region IV has not issued any civil penalties at the Severity Levre) !Y for repeat violations. There is, however, one case pending enforcement action which involves the third identification of a similar violation (Osage Wireline.)
4.3 Enforcement Discretion V.G.I-and Severity level V Violation Written instructions regarding this topic are found in Regional Office Policy Guide (0557) Documenting Violations for Which No Citation is Issued (Non-Cited Violations or NCV's) dated July 20, 1989.
Formal training focusing on this subject was given during FY89 in conjunction with a resident inspector meeting.
Discussions with the materials inspectors indicated that they are aware of and have used enforcement discretion during inspections in accordance with the regional guide and the Enforcement Policy. Non-cited violations are documented in inspection reports or in the inspector's field notes. There is no formal ecmputerized tracking system for NCV's, however, inspectors do review the inspectors' field notes or inspection reports from the previous inspection and consider the safety significance of the NCVs should they recur.
Inspectors' field notes are maintained in the licensee's docket files.
4.4 Other Topics Reviewed Permanent vs. temporary job sites in radiography Qualifications of authorized users, R50s, physicians, teletherapy physicists, radiographers, etc.
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Manual Chapter 0610 Changes in citations on escalated packages l
35.999 Model citations During the course of the review the following proposals were made:
OE should Continue monitoring inspection letters to assure appropriateness of violations cited and identification of repetitive violations in letters and NOVs.
Region IV should send OE copies of the next five inspection field notes in which enforcement discussions occur to assure instructions in Regional Guide (0559) are followed.
The Region requested that DE put a high priority on issuance of Model Citations for Parts 19, 20, 30, 31-39, 40, 70, 71 and other Parts of 10 CFR affecting materials licensees which have been reviewed and found acceptable to OGC and part of the new Enforcement Manual.
The DRSS Division Director requested that any communications regarding inspection letters containing NOVs for which OE has found inconsistancies or has questions as to the citations be directed to him.
OE should develop a more formal audit prog ~ ram for review of regional inspection letters containing NOVs with Severity Level IV and V violations.
The use cf the computer in establishing a tracking system for outstanding violations, non-cited violations and repeat violations should be investigated.
The next program review should cover the Escalated Enforcement Process as well as topics covered during this initial OE participation in the NMSS National Program Review.
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l 5 TRAINING The region has encouraged an aggressive training program for its two new reaterials inspectors, one new license reviewer, and licensing assistant.
The technical staff is being cross-traine6 ooth in inspection and licensing, which is commendable. These employees expressed appreciation for the Region's dedication to staff development.
Region IV has been particularly successful in recruiting staff with prior training and experience in materials activities.
Each new employee has a written training plan and is given a written delegation of authority or interim certification when determined to be capable of signing licenses or performing independent inspections for various types of licenses. The training plan provides for rapid completion of required courses and early scheduling of oral qualification boards.
The Licensing Assistant has been trained to perform licensing reviews and has played an important part in the high completion rate of the licensing actions.
Completed on-the-job training has enabled the Licensing Assistant to review and evaluate varied programs in licensing.
In February 1990, Licensing Assitant Billie Gruszynski was delegated authority with close oversight to review all program codes.
In addition, she previously reviewed gauge licenses with little supervision. She primarily reviews licenses and a small percentage of her time is left for administrative support effort to process mail into LTS, dispatch licenses and deficiency letters, and answer phone calls from-the public and headquarters.
The LA's licensing work is closely monitored by the licensing Section Chief and a senior reviewer. This aids in her learning process and also provides a quality control for her licenses. The representative from Region I suggested that the LA could perform more efficiently if provided a sequencing numbering stamp for controlling actions and a means for entering data directly onto LMS screens.
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4 All inspectors in Region IV currently assigned to inspect transportation have received Transportation Course, H-308.
During the coming year, however, the inspectors who are expected to be hired to fill the vacancies in DRSS will need to be provided with this training.
URF0 has also encouraged an agressive training program and staff development by requiring all employees to develop a training journal for course and training completion.
URF0 is working with NMSS/LLWM staff to arrange rotational assignments for one supervisor and two technical staff members.
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6 INITIATIVES BY THE REGION The following Region IV initiatives were underway throughout the year:
Inspectors were required to include a paragraph focusing on safety issues in each enforcement letter as an extension of the use of performance evaluation factors.
The Region provides extensive and comprehensive assistance to Agreement-States when mutual problems were identified. For example, the Region identified and worked closely with the Agreement States in the uranium recovery groundwater area. After identifying the area as one requiring increased interaction, Region IV hosted a meeting of NRC and Agreement State Staff to discuss the importance of the States establishing and carrying out more aggressive groundwater protection programs. As follow-on to this meeting, URF0 staff has provided directed assistance to States for specific ground water protection reviews.
The Region had an aggressive program to identify potentially incompetent or untrustworthy applicants. This included researching the true legal identity of applicants.
TheRegionwasparticular'li'effecitiveinalertingapplicintTa'ndexisting licensees to the problems associated with disposal of sources containing greater than Class C (defined in Part 61) quantities of radioactive materials.
The Region has sought out licensees who will be affected by the decommis-sioning rule and encouraged actions to revise licenses to reduce liability or to begin preparation of funding plans.
The Region continued its effort to inform licensees and applicants of Department of Transportation requirements for shipping radioactive materials.
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f The Region has been effective in using personal computers to improve effectiveness and efficiency in both licensing and inspection.
A medical workshop was held in Oklahoma City -- a second workshop is planned in the northern part of the Region in FY90.
The Region developed an " Inspection Status Sheet to track effort in the various activity areas of Code Inspection Modules 83750 and 84750.
The Region continued to make effective use of the telephone for application deficiencies and supplemental inspection follow-up.
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J 7 HEADQUARTERS / REGION IV INTERACTIONS Both NMSS and Region IV believe that interactions have been useful and effective in all the areas in inspection and licensing.
Region IV has been very respon-sive to NMSS requests for information or short term requests for special inspec-ions and responsive to new initiatives from NMSS, such as in the medical quality assurance questionnaire.
Regional staff identified a need for more Headquarters attention to responding to telephone inquiries.
Materials licensing and inspection staff and NMSS personnel were well represen-ted at workshops and seminars conducted during the past year.
1 The interaction between Headquarters and Region IV staff continues to be excellent with respect to transportation matters.
URF0 and NMSS staff interaction has been excellent.
URF0 and NMSS staff have weekly telephone contact and plan to consider a rotational assignments.
This will also be supplemented by a workshop for URF0 and NMSS staff to discuss ground water protection and restoration issues.
Communications between the respective staffs of Region IV and NMSS in such matters as licensing reviews, inspections, and program improvements has been good.
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i 8 RESOURCE UTILIZATION ThetablelistedbelowshowsFullTimeEquivalent(FTE)allocationsforFY89 and FY90 through May 1990.
Region IV overhead costs typically exceed the budgeted allocation to support the URF0 Office. To efficiently manage available resources Region IV abolished all Branch Chief positions. This organization structure appears to be working well with no impact on the Region's ability to meet programmatic goals.
In FY89, the Region exceeded the budgeted allotment for materials licensing by.
100 percent, and did not fully expend its budgeted allotment for materials inspections. The realignment of resources for materials licensing was attributed to the effort dedicated to reducing the backlog and the additional effort required to complete several difficult and old cases.
In FY90 through May 1990, staff effort for material licensing and inspections essentially aligns with the budget allocation.
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Fuel Facility Inspections were significant low (73 percent) during FY89 and (37 percent) below the budget through May 1990. The reduced effort is a result of assistance by URF0 staff that was not recorded.
DuringFYB9,URF0 expended 2hfewerFTE(19 percent)thanbudgetedwhichwas attributed to the loss of 4 staff. As of April 30, 1990 URF0 attained full strength agaist the FY90 staffing plan as a result of placing recruitment as a top priority. Also to minimize the impact of the staffing shortages URF0 management encouraged staff to work approximately 10 percent overtime a pay period.
For FY90, URF0' staff expenditures will be approximately 2.0 FTE below-the budget allocation.
The Region was encouraged.to include overhire positions'in its staffing for NMSS programs. Despite aggressive recruitment efforts to achieve full 8-1
staffing, the region has failed to expend resources for NMSS activities at the budgeted rate. The use of overhire positions in the staffing plan has not been applied to NMSS activities. The Region also note the large amount of materials inspection time spent on escalated enforcement, assistance to the Office of Investigations and resolving allegations.
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t REGION IV RESOURCE UTILIZATION The following table shows FTE allocations and expenditures for the review period
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.FY90-FY89 ANNUAL BUDGET EXPENDED PROGRAM ACTIVITY BUDGET EXPENDED BUDGET OCT-MAY OCT-MAY Materials Licensing-1.7 3.4 200 2.3 1.5 1.5 100 Materials Inspection 6.9 5.7 83 6.95 4.6 3.2 70 Fuel Facilty Inspection 0.9 0.24 27 1.2 0.8 0.5 63 Event Evaluation 0.5 0
0 1.2 0.8 0.8 100 SG Fuel Facility Lic.
0.02 0
0 0.02 0.01 0
SG Fuel Facility Insp.
_0 0
0 0
0 0
SG Transportation Insp.
0.04 0
0 0.04 0.03 0
LLW Inspection 0.15 0
0.15 0.1 0
Reactor Decomm.
0.1 0
0.1-0.06 0
Material Fac. Decomm.
0.1 0
0 0.1 0.06 0.04 67 Uranium Recovery Lic.
7.5 7.4 99 6.2 4.1 3.4 83
+
UMTRAP 2.0 0
1.5 1.0 0.7 70 Uranium Recovery Insp.
1.9 1.8 95 1.9 1.3 0.6 46 TOTAL 21.8 18.5 85 21.7 15.5 12.1
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FY89 expenditures' from regional input provided in response to FYP/ Green Book i
update in 12/89.
The following table shows program support funds allocations and obligations for the review perod.
FY89
. FY90 PROGRAM ACTIVITY BUDGET OBLIGATED %
BUDGET OBLIGAItD %
Uranium Rec. Lic.
100 100 100 100 100 100 NOTE:
FY90 funds obligation as of 05/30/90.
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l 9 RECOMMENDATIONS / SUGGESTIONS 9.1 For NMSS:
1.
Continue support for training courses for inspectors and reviewers and support more frequent offering of courses.
2.
Provide additional training and assistance in reviewing the financial aspects of decommissioning. Consider what role the Regional Counsel should take.
3.
Control monthly conference calls to focus on truly generic issues.
4.
Develop method to include qualitative comments in NMSS review of inspection program as well as numbers.
5.
Provide guidance on how much attention to focus on matters considered for 01 investigation. Where in the NRC organization is the proper person to determine whether an issue is "a big deal?"
6.
Reconsider resource needs for enforcement activities.
9.2 For OE:
1.
Provide standard violation fornats for notice of violation.
2.
Develop a more formal audit program for review of inspection correspondence.
9.3 For Region IV:
1.
Consider overhire position (s) in DRSS to avoid under expenditure of budgeted resources.
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Continue consideration of rotational assignments, among other regions and NMSS.
3.
Assure that information sent from NMSS to Region IV management gets promptly transmitted to staff.
4.
Management should consider more frequent communication to staff on quality of work.
Re-enforce perceptions about the appropriate balance the region is trying to achieve between number of actions and the effectiveness of actions.
s 5.
Improve efficiency of Licensing Assistant by providing a sequencing numbering stamp for controlling actions and providing means for direct entry into LMS screens.
6.
Consider establishing a computer based tracking system for outstanding items, non-cited violations and repeat violations.
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l Headauarters. Review Team John Glenn, Chief, Medical, Academic and Commercial Use Safety Branch, Divsion of Industrial and Medical Nuclear Safety, NMSS
- Paul Lohaus, Chief, Operations Branch, Division of Low Level Waste Management, NMSS John W. N. Hickey, Chief, Operations Branch, Division of Industrial and Medical Nuclear Safety, NMSS Norman L. McElroy, Section Leader, Medical and Academic Section, Medical, Academic and Commercial Use Safety Branch, Division of Industrial and Medical Nuclear Safety, NMSS Alfred Grella, Senior Transportation Specialist, Requirement and Oversight Inspection Section, Domestic Safeguards and Regional Oversight Branch, Division of Safeguards and Transportation.
Claire DeFino, Program Analyst, Program Analysis Branch, Program Management, Policy Development and Analysis Staff, NMSS Jenny Johansen, Senior Enforcement Officer, Office of Enforcement Region I Team Member Doris Foster, Chief, Licensing Assistance Section, Nuclear Materials Safety Branch, Division of Radiation Safety and Safeguards, Region I Team Leader at Region IV
- Team Leader at URF0 A-1
}
September 27, 1990
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MEMORANDUM FOR:
Those on Attached List FROM:
Glen L. Sjoblom, Deputy Director Division of Industrial and Medical Nuclear Safety, NMSS
SUBJECT:
FINAL NMSS NATIONAL PROGRAM REVIEW The NMSS reports providing final documentation of the res lt National Program Review for 1990 have been completed u s of the of suggestions from the Regions.
, following incorporation during their earlier visits to the RegionsThe results had be This report is for information and record purposes and a response is thus not necessary Glen L. Sjoblom, Deputy Director Division of Industrial and Medical Nuclear Safety, NMS
Enclosure:
As stated DISTRIBUTION:
IMNS r/f NMSS r/f IMNS D/D r/f J. Glenn J. Hickey G. Deegan w/ enclosures C. Haughney
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September 27, 1990
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MEMORANDUM FOR:
Those on Attached List
.FROM:
Glen L. Sjoblom, Deputy Director Division of Industrial.and Medical Nuclear Safety, HMSS
SUBJECT:
FINAL NMSS NATIONAL PROGRAM REVIEW REPORTS FOR.1990 The NMSS reports providing final documentation of the results of the National Program Review for 1990 have been completed, following incorporation of suggestions from the Regions. The results had been shared by the NMSS teams during their earlier visits to the Regions. This report is for information and record purposes and a response is thus not necessary, y,
en L. Sjobl Deputy Director 4
Division of In ustrial and Medical Nuclear Safety, HMS
Enclosure:
j As stated 4
I
e MEMORAllDUM FOR THOSE ON THE ATTACHED LIST Dated: 9/27/90 Malcolm Knapp, Director Division of Radiation Safety and Safeguards, RI J. Philip Stohr, Director Division of Radiation Safety and Safeguards, RII Charles E. Norelius, Director Division of Radiation Safety and Safeguards, RIII Arthur B. Beach, Director Division of Radiation Safety and Safeguards, RIV Ross A. Scarano, Director Division of Radiation Safety and Safeguards, RV c
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REPORT OF NMSS NATIONAL PROGRAM REVIEW AT NRC REGION V, FEBRUARY 27-28, 1990 1 BACKGROUND AND PURPOSE This report provides the results of the Office of Nuclear Material Safety and Safeguards (NMSS) review of Region V programs under the Headquarters responsi-bility of NMSS.
The Headquarters team participating in this review consisted of three persons from the Division of Industrial and Medical Nuclear Safety of NMSS and one from the Division of Safeguards and Transportation who visited Region V two weeks earlier (Attachment 1). Additional input from other elements of NMSS and the Office of Enforcement was used in the preparation of this report.
The principal regional activities are primarily under the responsibility of the Region V Division of Radiation Safety and Safeguards (DRSS).
The DRSS organization chart is shown on Attachment 2.
A January 8,1990 memorandum from Richard Cunningham listed the areas to be covered and transmitted a questionnaire to the regions.
Region V responses to the questionnaire are shown on Attachment 3.
The National Program Review (NPR) is based not only on the visit to ',he Region, but also on the collective Regional / Headquarters interfaces throughiut the year, through review of some licensing casework, inspection reports, accompaniments of region-based inspectors, casework and inspection statistics, resource utilization, technical assistance and coordination, and the questionnaire.
The NPR is intended to provide a review of effectiveness of both the Region and Headquarters activities insofar as they relate.to Region V activities and to identify suggestions for improving the effectiveness of the joint efforts of NMSS, OE and Region V.
The emphasis relates to achieving two goals:
technical quality and timely completion of licensing casework and inspections, on the basis that both elements contribute to assuring the safety of operations involving NRC licensed activities.
The report is organized so as to present an integrated summary in each of the following areas:
1
1.
Background and Purpose 2.
Licensing 3.
Inspections 4.
Enforcement 5.
Training 6.
Initiatives 7.
Interfaces of Region / Headquarters 8.
Resource Utilization 9.
Recommendations / Suggestions 2
2 LICENSING a.
Materials Safety Region V currently regulates approximately 300 byproduct materials licensees.
In FY89, they completed 217 licensing actions, as compared against an Operating Plan Target of 206 (105 percent).
They received 219 cases during this timeframe.
Through 6/30/90, the Region had completed 175 cases, or 92 percent of the adjusted FY90 goal.
The Region has always maintained a low rig, but over the last year they made a special effort to complete old cases.
In the past twelve months, the backlog was reduced from 12 cases to zero.
The Region has completed cross qualifying two reviewers to support the materials licensing program.
These people split their effort as reviewers and inspectors and reduced the burden on the primary license reviewer.
In addition, the Licen-sing Assistant performs some reviews of the more routine types of licensing casework.
The Headquarters staff reviews a fraction of completed materials licensing actions and inspection reports as they are completed by the Regions.
Both licensing and inspection actions are in accordance with Standard Review Plans, Inspection Manual Chapters, and other guidance documents.
Region V staff has sought guidance via telephone or technical assistance requests on matters that are technically complex or may have policy implications.
They have suggested that Headquarters upgrade certain reviewer guides, license conditions and model licenses.
The Region is using telephone contacts for minor deficiencies in licensing submissions. This has resulted in improved turnaround time and some resource savings.
One item of concern to the regional staff relates to the apparent shortage of qualified Radiation Safety Officers for Veterans Administration licensees, and their reduced access to top management at certain hospitals.
Region V and Headquarters agreed to monitor this item closely.
3
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. + -+ + + +A a
-.a s_,._m The Region recommended several actions for NMSS consideration:
o NHSS should assure that adequate guidance and assistance is provided to the Region for implementation of the decommissioning rule.
NMSS managers should discuss which inspection program items need to be o
tracked with their regional counterparts at the next Executive Seminar.
NHSS should continue to study the proposed two-step licensing process, o
under which final licenses are issued after a site visit by the licensing staff.
This process is most appropriate for medical use licenses, due to their complexity, but may also be suitable for other categories of licensees.
NMSS should update the Service and Training Information System.
o b.
Safeguards Licensing Region V completed five 10 CFR 70.32 case reviews during FY89.
These reviews were performed in a sound technical manner and were consistent with NRC policy and guidance.
Region V utilizes the NMSS Operating Plan casework statistics Report #41 to inform Headquarters of the licensing casework status on a monthly basis.
4
1 i
3 INSPECTIONS a.
Materials Inspections l
l In FY89, 180 materials safety inspections were completed compared to a goal of 127.
This figure includes 31 inspections of the Department of Agriculture, U.S. Air Force and U.S. Navy permittees, which are licensed by other regions.
Through June 1990, the Region had completed 90 inspections.
The annual goal is 125, so the Region was somewhat behind, but they had no overdue inspections.
Fewer inspections have been performed as a direct result of the resource demands associated with the escalated enforcement activities with U.S. Testing.
During the visit, the Region assured NMSS that it would continue to pursue the target of 125 inspections, and in the months following the visit, they have virtually caught up.
NMSS performed six inspection accompaniments with materials inspectors in 1989.
In all cases, the inspectors were conscientious and thorough, with a professional rapport with licensee personnel, and with effective use of exit meetings with licensees' management. There was also an awareness of NHSS guidance concerning inspection frequency and recently issued Information Notices, indicating that Region V keeps its inspectors well informed.
The Region is encouraging safety-oriented, performance-oriented inspections that emphasize the licensees' implementation of safety programs rather than paperwork.
As further evidence of Region V's close contact with its licensees, they held a workshop for San Francisco Bay Area medical licensees in FY89 to discuss the regulatory requirements of 10 CFR 35 and the proposed quality assurance rule.
This workshop was well received and another is planned in Hawaii later this year.
During the review visit, the Region requested guidance on whether it was acceptable to record uncited violations on the Form 591 for easy reference.
NMSS agreed to discuss the issue with the Office of Enforcement.
5
b.
Safeguards Inspections Region V met the inspection goals established in the FY89 Operating Plan and Mr. Burnett's memorandum of August 15, 1988.
The physical security inspections and five Material Control and Accounting (MC&A) inspections were completed during FY89.
It should be noted that as of February 15, 1989, the MC&A inspection function was transferred to Headquarters.
The region contributed valuable assistance to this transfer and one of their inspectors was assigned to Headquarters.
Copies of all inspection reports are sent to Headquarters.
Review of these reports shows that they are thorough and technically competent.
c.
Safeguards Transportation Inspection Program Region V completed three safeguards transportation inspections in FY89.
In addition, one route survey was performed at the request of Headquarters.
d.
Fuel Cycle Inspections The Emergency Preparedness and Radiological Protection Branch was assigned responsibility for fuel cycle inspections in 1985 with a new lead inspector.
The new inspector has been given a mandate to take a " fresh look" at the approach used in his-inspections, and suggest impravements that he thinks are appropriate.
This change, along with the reduced levels of licensee operations at most Region V facilities, allowed the Region to realign its regulatory attention accordingly.
The new inspector has developed an improved schedule for inspecting the facilities in accordance with Inspection Manual Chapter 2600, and was assuring that the regional files of formerly-licensed sites were complete and in order.
He made effective use of HQ specialists to supplement his expertise.
At the same time, he has been actively monitoring the progress of ongoing hearings related to his facilities.
The inspector recommended that he' participate in a fuel facility inspection at another region to gain another perspective.
NHSS agrees and also suggests that he invite other inspectors to accompany him during certain Region V facility inspections.
The inspector also requested that Head-quarters develop an inspection module for shutdown of possession-only licensees.
6 j
Although the Region did not fully expend its budgeted resources in the fuel cycle program, there was no program impact.
Because of this, NMSS recommends the possible transfer of some fuel cycle inspection effort to the materials inspection program.
A review of inspection reports during FY89 determined that the inspection reports generally communicated well the results of the inspection and were in accordance with Manual Chapter 0610 The 21 day calendar day goal for issuing inspection reports after the last day of the inspection was met on the majority of the inspection reports reviewed.
NMSS licensing staff members accompanied or participated in three inspections during the appraisal period and found the regional inspectors to be conscientious and thorough and well prepared for the inspections.
In addition, the inspections were complete and consistent with NRC policy and guidance.
Both the Region and NMSS consider the NHSS participation in inspections to be beneficial and worthwhile.
e.
Transportation Safety Inspections Materials Inspection Program-During FY89, transportation inspection goals within the regional master plan were exceeded.
In the materials program, 97 inspections were performed against module 86740 in FY89 (127 materials inspections had been projected and 180 were actually performed).
Twenty-six violations were noted, none of which were escalated.
(During FY88, there were 108 inspections using module 86740, with 34 violations observed).
All of the field note formats noted to be in use by RV are consistent with MC 87100.
Completed field notes for eight recent inspections were audited and found to be complete in every case.
Headquarters' ongoing review of formal inspection reports, 591's, and RNOV'S from the RIDS system indicates that the reports continue to be of high quality.
The materials inspection acting Sectivr.
Chief is new to Region V, having recently transferred from Region IV, where he was a Senior Inspector.
He has, however, already been on two accompaniments with his inspectors.
7
Fuel Facilities-All of the licensed fuel facilities in the region were inspected at least once against module 86740 in FY89.
Inspection reports of the fuels facilities inspections have been reviewed on an ongoing basis by Headquarters and they are noted to continue to be of very high quality.
The fuel facilities inspector is new to his position.
However, he is a very experienced inspector, having been reassigned from the Facilities Radiation Protection Section in late 1989 upon the retirement of the former Fuel Facilities Inspector.
Reactors-During FY89, transportation activities were inspected at all operating reactors at least once, using either the Core Inspection procedure 83750, or the 86721 or 86740 modules, with the latter two modules being as regional initiative effort and 83750 as the Core Inspection Program.
Inspection reports continue to be reviewed on an ongoing basis and continue to be of very high quality.
The Section Chief for the Facilities Radiation Protection Section was on rotational assignment for much of the FY, however, the former Branch Chief has now assumed that position after having returned from a one year assignment to the IAEA in mid-1989.
Research Reactors-Inspections of transportation activities using module 86740 were performed at 8 of the 11 research reactors in Region V during FY89, with the other 3 having been completed in early FY90.
The average effort in j
these inspections is approximately five hours per inspection.
l Core Inspection Program-Region V management feels that Core Inspection module 83750 has been providing an adequate level of inspection effort on transportation.
They do not have precise data to indicate the exact percentage of time in that module which is actually devoted to transportation.
However, they estimate that it is probably between 15-20 percent, based on general experience.
As stated above, however, Region V has also been i
performing either the basic module 86721 or supplemental module 86740 at its facilities.
For FYB9, Core Procedure 83750 was performed at four facilities, 86721 at three facilities, and 86740 at five facilities.
The hours expended to the radiological contrpls modules was the greatest for the one SALP-3 category facility, Palo Verde, with lesser time correspondingly for the SALP-2 and SALP-1 facilities.
In general, Region V feels that the transportation programs at the operating reactors in their region have been going quite well during the past several years.
8
4 ENFORCEMENT This section provides the results of the Office of Enforcement's (OE) review of the region's answer to the OE questionnaire involving the region's treatment of recurring violations and their exercising discretion under V.G.I of the Enforcement Policy and Severity Level V violations.
This questionnaire was part of OE's participation in the NMSS National Program Review.
Treatment of Recurring Violations The Director of Enforcement has requested that each region prepare written instructions to assure Severity Level IV and V violations for material licensees are properly reviewed to determine whether they represent a significant management breakdown (Severity Level III problem) or repetitions, and, if sc, appropriate enforcement actions are considered.
The region indicated that training was provided on repetitive violations and enforcement discretion to all members of the staff in October and December 1989.
In addition, repetitive violations are being identified to the licensee during inspection closecut interviews and to the Section Chief upon return to the region.
Repeat violations are documented in the inspectors' field notes and the region has standard wording that is used in cover letters to document repeat violations.
The region evaluates repeat violations for safety significance and to determine whether an enforcement conference is required on a case-by-case basis in accordance with Regional Policy 0201.
OE reviewed several non-escalated enforcement cover letters and NOV's from October 1989 to February of 1990 and confirmed:that the region did identify repeat violations in the cover letters to the licensees.
Enforcement Discretion Training on Enforcement Discretion was given in October and December 1989.
The region has formal guidance written in Region V Policy 0201.
The region uses the 766 and the region outstanding items tracking system for repeat and 9
4 non-cited violations (NCVs) in the Safeguards and Fuel Facility Sections.
There is no' tracking system in the materials section other than the inspector's documentation in the field notes of the inspection.
The Region proposed that Form 591 be used to record NCVs for easy reference.
10 l
l
m 5 TRAINING The five individuals responsible for regulating materials licensees have completed nearly all the required training listed in Inspection Manual Chapter 1245.
Based on a matrix provided by the Region, a few inspectors need to complete the Radiotherapy and Brachytherapy course (H-313).
Overall, the training program is working well and all inspectors have completed the Trans-portation and Low-level Waste course.
(Two Region V inspectors completed the course in October 1989.) One very recent new hire, Laban Coblentz, in the Facilities Radiation Protection Section will need to be provided with this training.
All Region V physical security inspectors and their Section Chief completed the NMSS-sponsored Technology Transfer course at Sandia Laboratories.
Other newer courses have not been easily available to Region V staff, but efforts should be made for inspectors to attend the courses at their earliest opportuni-ties.
These courses include the redesigned Sampling and Analysis course (H-310) and the OSHA Orientation course (H-107).
The OSHA course is being scheduled several times in the future and Region V should try to schedule their inspectors (both materials and fuel cycle) at the most convenient time and location.
The Region deserves credit for its series of self-initiated training seminars.
In the past year, the Region has offered its staff training from industry experts and regional specialists on the following topics:
emergency preparedness and radiation protection explosive detectors radioactive waste internal dosimetry below regulatory concern protective action decision-making technical writing computer utilization In addition, outside supplemental course work is encouraged, and supported to the extent allowed by resources.
11
Based upon discussions between Region V and NHSS, it was recommended that NMSS consider developing supplemental courses on nuclear pharmacies, quality assurance philosophy, theory and practice, brachytherapy science and technology, and human factors.
The medical community may also benefit from NRC's human factors work.
.u, 12
O 4
6 INITIATIVES BY THE REGION The following Region V initiatives were underway throughout the year:
the materials licensing backlog has been eliminated in Region V inspectors were encouraged to spend more time on performance based licensee activities a checklist was being developed for radiography and portable gauge license renewals to identify their Part 71 QA procedures for transportation activities performance evaluation factors were being used to identify weaknesses in licensee programs a medical workshop was conducted in the Bay Area in 1989 a second workshop is being scheduled in Hawaii in 1990 the fuel cycle inspection program has been restructured commensurate with the level of activity at each fuel facility an alternate safeguards inspector has been trained contacts have been made with categories of licensees most likely to be affected by the decommissioning rule a SAFESTOR and Part 61 radioactive waste management inspection was conducted at Humboldt Bay.
Also six Part 61 inspections were conducted at power reactors.
As we stated last year, Region V continues to spend time discussing NRC's regulatory program with the licensees to ensure there is a full understanding of the regulatory policy and practice, new regulations, and interpretations.
The Region believes that this. encourages development of a cooperative interac-tion between the NRC and the licensee, rather than an adversarial relationship.
In FY89, the Region V initiated and completed the goal of providing an alternate certified inspector for the fuel facility physical sec'urity inspections.
13
7 HEADQUARTERS / REGION V INTERACTIONS I
Both NMSS and Region V believe that interactions have been useful and in all the areas in inspection and licensing.
effective to NMSS requests for information or short-term requests for sRegion V pecial inspections and responsive to new initiatives from NMSS, such as the medical qualit assurance questionnaire.
y The interaction between the Region V fuel cycle inspector and H licensing staff was considered excellent.
eadquarters The inspector received technical support from a fire protection specialist and help on uranium bioas one of his inspections.
says during The counterpart calls also worked out well.
Materials licensing and inspection staff have been well repr and seminars conducted during the past year.
esented at workshops The Region requested that NMSS Safeguards personnel particip t NRR/ regional safeguards conference calls.
a e in the periodic
}
guards issues.
These may also address generic safe-Specific safeguards issues have been effectively discussed o i
an individual basis over the telephone by Region V and NMSS staff n
t The interaction between Headquarters and Region V staff conti j
with respect to transportation matters.
nues to be excellent review visit, an informal training session was held with about tat th 1
to discuss transportation regulation interpretations en of the inspectors l
, future changes, etc.
l 14
~ ~ ~
~
8 RESOURCE UTILIZATION The table on the following page shows Full Time Equivalent (FTE) allocations for FY89 and FY90 through January 1990.
Because Region V has the fewest materials licensees, only about 300, it has the fewest resources allocated to support NMSS activities.
These limited resources were reduced further with the transfer of the material control and accounting inspection function to Headquarters in mid FY89.
This makes it essential for the Region to maintain full staffing for each of its budgeted positions and to assure that cross-training has occurred for functions performed primarily by one person.
To the Region's credit, this cross-training approach is working well.
The primary materials license reviewer is receiving some support from two other individuals who are usually inspectors, and from a third individual, the Licen-sing Assistant. The new fuel facility inspector received good support from other technical specialists in the Branch and from his licensing counterparts at Headquarters.
The safeguards inspector also has a qualified backup.
The Region is aware of reduced levels of licensee operations at several of its fuel facilities.
It has realigned its inspection effort accorvingly.
Therefore, it did not fully expend its budgeted allotment in FY89 and is not expected to do so in FY90.
These resources were transferred to the materials inspections pro-gram last year and a similar reprogramming decision looks'to be ipprbpfiate this
~
year, particularly because of.the extra resources the staff has had to dedicate to the escalated enforcement activities for U.S. Testing.
HMSS recommends that resources be reprogrammed in this fashion to allow the Region to complete the 125 materials licensee inspections required in the FY90 Operating Plan.
NMSS mentioned the proposed increase of 0.5 FTE in resources for the FY91 materials program.
This could create a new positien for another materials inspector.
The Region V DRMA staff agreed to monitor this situation during the FY92 budget cycle.
15
O The only existing Region V vacancies are two Section Leader positions.
One is in the Nuclear Materials Safety Section.
This position is being filled on an acting basis by a former inspector with considerable experience from Region IV.
The other vacancy is in the Emergency Preparedness Section.
The Branch Chief was serving as an acting Section Chief during the time of the review.
The Region has good clerical support and a conscientious Licensing Assistant.
This helped them eliminate their small licensing backlog at the time of the review.
REGION V RESOURCE UTILIZATION The following table shows FTE allocations and expenditures for the review period FY90 FY89 ANNUAL BUDGET EXPENDED PROGRAM ACTIVITY BUDGET EXPENDED BUDGET OCT-JAN.
OCT-JAN.
1 Fuel Facility Licensing 0
0 0
0 0
Fuel Facility Inspection 2.3 1.23 53 2.0 0.66
.40 61 Materials Licensing 1.5 1.7 113 2.0 0.66
.59 89 i
Materials Inspections
- 3. 5 4.63 132 3.2 1.07
.84 79 Event Evaluation 0.3 0.29 97 0.6 0.2
.65 325 Transportation Insp.
0.2 0.12 60 0.18 0.06
.00 0
SG Fuel Facility Lic.
0.2 0.13 65 0.12 0.04
.01 25 SG Fuel Facility Insp.
2.0 0.9 45 0.2 0.07
.13 186 Low-Level Waste
- 0. 2 0.04 20 0.15 0.05
.04 80 Decommissioning 0.1 0
0 0
0 0
Reactor Oecomm.
0 0
- 0. 2 0.07
.01 14 Materials Oecomm.
0 0
0.1 0.03
.01 33 NHS Section Supr.
- 0. 7 1.34 191 1.0 0.33
.40 121 l
NKIS Section Supr.
0.1 0.1 100
_ 0 TOTAL 11.1 10.48 94 9.75 3.24 3.08 95 NOTE:
l FY89 expenditures from Regional input provided in response to FYP/ Green Book I
update in 12/89.
16 i
9 RECOMMENDATIONS / SUGGESTIONS a.
For NMSS:
1.
Discuss the key inspection items NHSS wishes the Region to track at the next Executive Seminar.
2.
Clarify the lines of responsibility between NRR and NMSS with respect to reactor decommissioning activities.
3.
Consider increased resource needs for enforcement activities.
4.
Consider participating in NRR/ regional monthly conference calls on safeguards issues.
5.
Continue to provide updated reviewer guides, license conditions and model licenses.
6.
Continue to study the two step licensing process for new materials licenses.
7.
Consider developing a shutdown inspection module for " possession only" fuel cycle licensees.
8.
Update the Service and Training Information System.
9.
Consider developing or revising training in areas such as nuclear pharmacy, brachytherapy, quality assurance, and human factors.
b.
For OE:
1.
Provide guidance to the Regions on listing uncited violations on Form 591.
Specifically, how can.we track repeat offenders?
2.
Continue monitoring inspection letters to assure appropriateness of violations cited and identification of repeat violations in letters and NOVs.
3.
Develop a more formal audit program to give regions feedback on Severity Level IV and V violations.
17
c.
For R.wion V:
- 1. Monitor the materials inspection program to complete the required 125 inspections for FY90.
- 2. Arrange for the new fuel facility inspector to participate in at least one inspection at a similar facility in another region.
- 3. Invite other inspectors to participate in Region V fuel facility inspections.
- 4. Continue to make an effort to have materials inspectors complete the required courses in Inspection Manual Chapter 1245.
Most of the required training has already been completed, but a few inspectors still need to take training to complete certain requirements, particularly the new OSHA Orientation Course.
- 5. Following the FY92 budget cycle, coordinate recruitment efforts to assure that NMSS programs remain fully staffed.
(This is important because growth is forecast in FY91).
- 6. Ensure that licensing and inspection staff promptly receive all Headquarters to Regions and Headq;arters to licensee mailings that discuss agency policy, programs, and ter,nical matters.
- 7. Continue to ensure that the written quality of documents is high while not requiring multiple revisions that do not change technical content.
Writing quality is a matter of interest to the Commission and the EDO.
18
9 Neadquarters Review Team
- John W. N. Hickey, Chief, Operations Branch, Division of Industrial and Medical Nuclear Safety, NHSS Norman L. McElroy, Section Leader, Medical and Academic Section, Medical, Academic and Commercial Use Safety Branch, Division of Industrial and Medical Nuclear Safety, HMSS George J. Deegan, Sr. Program Analyst, Operations Branch, Division of Industrial and Medical Nuclear Safety, NMSS Alfred Gre11a, Sr. Transportation Specialist, Domestic Safeguards and Regional Oversight Branch, Division of Safeguards and Transportation, NMSS i
- Team Leader I
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