ML20101R591

Methodology and Findings of the NRCs Materials Licensing Process Redesign

ML20101R591
Person / Time
Issue date:	04/30/1996
From:	Brown K, Madera J, Moriarty M, John Pelchat, Rathbun P, Usilton W, Vacca P, Whitten J NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS)
To:
References
NUREG-1539, NUDOCS 9604160379
Download: ML20101R591 (82)

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[Qpp. Mg. :,yy sp.m.: m my4tlm.q{m.mg:w.n we w :wa :n,; my n :u :.; %:m p:: NUREG-1539 Methodology and Findings of the NRC's Materials Licensing Process Redesign Manuscript Completed: April 1996 Date Published: April 1996 i P. A. Rathbun, K. D.13rown, J. R. Madera, M. Moriarty, J. M. Pelchat, W. K. Usilton, J. E. Whitten, P. C. Vacca i J Division ofIndustrial and Medical Nuclear Safety Office of Nuclear Material Safety and Safeguards U.S. Nuclear Regulatory Commission Washington, DC 20555-0001 p>** "*%, k, l ABSTRACT l This report describes the work and vision of the team chartered to redesign the process for licensing users of nuclear materials. The Business Process Redesign team was chartered to improve the speed of the existing licensing process while maintaining or improving public safety and to achieve required resource levels. The report describes the team's l methods for acquiring and analyzing information about the existing materials licensing l process and the steps necessary to radically change this process to the envisioned future l process. i l l l l l i i i iii NUREG - 1539 i I l Table of Contents bra Abstraet..................................................................................................................................,lll A c k n o w l e d g e m e n t s................................................................................................................ i x Abbreviations..........................................................................................................................xl I 1 Introduction......................................................................................................................1-1 i 1.1 Purpose... ...........1-1 l 1.2 Background... ...1-1 i 1.3 Scope.. .1-2 2 Background.......................................................................................................................2-1 2.1 Business Process Redesign. ... 2-1 2.2 Project Operation and Management... .........2-2 f 3 Req uired Eleme nts fo r La rge.S cale C hange..................................................................... 3-1 3.1 Overcoming inertia.. ...........................3-1 3.2 NRC's Case for Action.. .3-2 3.3 Collection of NMSS Licensing Process Data. .3-3 l 4 Findings.............................................................................................................................4-1 i 4.1 Analysis Methodology. ..4-1 4.2 Major Findings..... ..4-2 4.2.1 Process Findings.... ... 4-2 4.2.2 Information Technology Findings... ...... 4-4 4.2.3 Jobs, Skills, and Organization Findings.. ...... 4-5 4.2.4 Management and Controls Findings. ....................4-7 4.2.5 NRC Values and Beliefs Findings. .... 4-6 4.3 Redesign Ideas........................ .4-9 l 5 G u l d e t o A c ti o n................................................................................................................. 5-1 5.1 NMSS Licensing Vision..... ......... 5-1 5.2 Project Approach.. .... 5-1 5.2.1 Develop an 'As Is" Process Model........... .... 5-1 5.2.2 Develop New Process Designs..... .5-2 l 5.2.3 Develop Vision of the Future and New Designs.. ... 5-2 l 5.2.4 Management Presentation..... ... 5-2 l 6 B a sell n i n g t h e P ro c e s s.......................................................................... ............. 6 -1 6.1 Introduction.. .6-1 6.1.1 Licensee satisfaction with NRC licensing system service.. ..6-1 6.1.2 Players and hand-offs: The number of distinct players ;nvolved in the process and the number of hand-offs among the players.. .6-4 6.1.3 Processing time: Total work time required to complete each step. .6-6 2 6.1.4 Cycle time: Total elapsed time required to complete each step.. .6-6 6.1.5 Accessibility of Information.. .6-6

6.1.6 Rework

Unnecessary feedback loops....

.... 6-7 v

NUREG - 1539

CONTENTS 7 B e s t P ra e t i c e s................................................................................................................... 7 -1 7.1 Introdudion...

.7-1 7.2 Background..............

.7-1 7.3 Scope.,.

... 7-1 7.4 Steps of Best Practice.......

...... 7-1 7.4.1 Determine Best Practice Categories...

.7-1 7.4.2 Research Best Practice Articles.

........... 7-2 7.4.3 Visit Best Practice Sites..

.7-3 7.4.4 Analyze Site Visit........

.7-3 7.4.5 Develop Major Findings...

.7-4 7.4.6 Document All Research and Site Visit Findings.

.7-4 7.5 Best Practices Research....

.7-4 7.5.1 Materials Licensing Process.

........ 7-4 7.5.2 information Technology: Client / Server Infrastructure...

..7-7 7.5.3 Jobs, Skills, and Organization.

.7-8 7.5.4 Management and Controls: Change Management and Leadership.

...... 7-9 7.5.5 Values and Beliefs: Customer Service...........

... 7-10 7.5.6 Regulatory Product Deve!opment.

.7-10

. 7-11 7.5.7 Risk Assessment..

8 Vision of the Futu re Materials Lice n sing Proces s........................................................... 8-1 8.1 Introduction..

.8-1 8.2 Visioning Process....

..... 8-1 8.3 Business Diamond Area Requirements and PotentialImpacts.

..8-7 8.3.1 Major Process Requirements and PotentialImpacts.

..8-7 8.3.2 Information and Technology Requirements and PotentialImpacts........

.... 8-8 8.3.3 Jobs, Skills, and Organization.

... 8-10 8.3.4 Management and Control Requirements and Impacts...

.. 8-11 8.3.5 NRC Values and Beliefs Requirements and Impacts.

.................8-12 9 Summary..........................................................................................................................9-1 a

i i

i NUREG - 1539 vi

comurs Appendices A

Materials Licensing BPR Core Team Project Charter B

Conceptual Picture of the Current Materials Licensing Process C

Actual NMSS Materials Licensing Process D

Current Technical Assistance Request Process Tables Page 4.1. Process Findings.

.4-3 4.2. Information Technology Findings.

..4-5 4.3 Jobs, Skills, and Organization Findings..

..4-6 4.4. Management and Controls Findings..

..4-8 4.5. Values and Beliefs Findings..

... 4-9 4.6 Redesign Ideas...

.. 4-13 7.1 Best Practice Sites and Key Area of Focus.

.7-3 7.3 Site Visit Relevance to Best Practice Categories...

.75 Figures Page 2.1 Management Model for NMSS Materials Licensing BPR Project.

..2-3 3.1. Three Elements Required for Rapid Organization Change..

.3-2 3.2 NRC's Materials Licensing Case for Action.

.3-3 3.3 NMSS Materials Licensing BPR Team Data Collection Process...

.3-5 4.1 The Process Diamond..

.4-1 6.1 Players and Hand-offs in Step 1 of the Former Materials Licensing Process.

.65 8.1 New Materials Licensing Process Vision.

.8-2 vii NUREG - 1539

i CONnwrs 1

Figures (continued) 1 8.2 License Granting Paths...

........................................8-3 8.3 MEL Concept..

..............8-4 8.4 Accelerated Regulatory Product Set Development...............

..........................8-5 8.5 Product Development Team Operations and Flow........

.... 8-6 l

1 i

1 i

i i

NUREG - 1539 viii

i-l Acknowledgment The Business Process Redesign (BPR) team thanks the individuals listed on the next page for participating in the data collection phase of the Nuclear Materials Safety and l

Safeguards (NMSS) materials licensing BPR project. All of these participants provided valuable insights and candid observations about the current materials licensing process and the diverse environments in which the process must operate.

In addition, the team thanks Dr. Carl J. Paperiello, Dr. Donald A. Cool, and Mr.

l Frederick C. Combs for their valuable technical comments, as well as for providing the management support required for success in this endeavor.

Finally, the team thanks Veronica M. Bellone, David Greenwald, Karl Leatham, Alyce J.

l Martin, and Pamela Miller from Computer Sciences Corporation for their major l

contributions to the production of this document.

l l

l l

4 4

ix NUREG - 1539 i

I j

ACKNoWLEDoMENT l

1 The Participants NRC Headquarters Perkins, Mike Region IV Bangert, Richard Shankman, Susan Arlington Office and Bernero, Robert Villar, Sheryl Walnut Creek Field Office Bird, Paul Ullrich, Betsy Bacon, Debby Brach, E.W.

Brown, Bob Bradford, Jay Region 11 Burks, Jackie Combs, Fred Ennis, Jerry Callan, L.J.

Cranford, Gerald Fuller, Mike Campbell, Vivian Cyr, Karen Heim, Diane Chaney, Dean Dandois, Diane Henson, Jay Fisher, Bill 1

Funches, Jesse Hosey, Chuck Garcia, Joan Q.

Glenn, John Mallet, Bruce Gruszynski, Billie Howe, Donna-Beth Pelchat, John Hernandez, Christi Jackson, Glenda Potter, John Howell, Linda Levin, Moe Reyes, Luis Montgomery, James L.

Lohaus, Paul Stohr, J. P.

Montgomery, John M.

Moriarty, Maureen Whitt, Nancy Phillips, Michael Olmstead, Bill Wright, Earl G Frange, Beth A.

Pangburn, George Rettig, Jayallen Paperiello, Carl Region ill Scarano, Ross Schneider, Kathy Ariano, Carol Shaffer, Mark Scroggins, Ronald Axelson, William Talbot, Jody Smith, Phyllis Caniano, Roy Whitten, Jack Vacca, Patricia Casey, Colleen Carol Weiss, Doug Grobe, Jack Holt, B. J.

Region I Hueter, Loren J.

Brown, Keith Kerlin, Martin Bellamy, Ron Lynn, Linda Brown, Rebecca Madera, John Costello, Frank Martin, John B.

Gross, Bob McCann, George (Mike)

Hehl, Bill Meenan, Marianne Henderson, Pam Miller, H.J.

Kane, William Mullauer, James Kinneman, John Pelke, Patricia Lee, Kim Piskura, Deborah A.

Martin, Thomas Vacherlon, Patricia Martinson, Paul Watson, Gidget McGrath, John O'Daniell, Cindy NUREG - 1539 x

ABBREVIATIONS Abbreviations ACMUI Advisory Committee on the Medical Uses ofIsotopes AEOD Office for Analysis and Evaluation of Operational Data AS Agreement State BPR Business Process Redesign CFA Case for action COTS Commercial, Off-the Shelf DTP Desk top publishing EDO Office of the Executive Director for Operations FY Fiscal Year GUI Graphical User Interface IRM Office ofInformation Resources Management IT Information Technology JSO Jobs, Skills, and Organization LANs Local Area Networks LTS License Tracking System MEL Materials Electronic Library MHO Maximum Number of Hand-offs NMSS Nuclear Materials Safety and Safeguards NRC Nuclear Regulatory Commission NUDOCS Nuclear Document System OC Office of the Controller OGC Office of the General Counsel OSP Office of State Programs xi NUREG - 1539

ABBREVIATIONS Abbreviations (continued)

RDI Review Downtime Index RGN-1 Region I RGN-2 Region II RGN-3 Region III RGN-4 Region IV RHO Routine Number of Hand-offs RITS Regulatory Information Tracking System 1

SMWT(s)

Self-managed Work Team (s)

TAR (s)

Technical Assistance Request (s)

TTC Technical Training Center WANs Wide Area Networks WCFO Walnut Creek Field Office I

NUREG - 1539 xii

1 Introduction 1.1 Purpose This document describes the methodology and approach taken by the United States i

Nuclear Regulatory Commission (NRC) staff to fundamentally redesign the current materials licensing process.

1.2 Background

l l

The project's objectives were established by the NRC Office of Nuclear Materials Safety j

and Safeguards (NMSS), the project's originator. The Business Process Redesign (BPR) l team's charter (Appendix A) was approved by the NRC Office of the Executive Director for Operations (EDO).

The project's initial objectives were as follows:

Conduct an analysis of the materials licensing process workflow to determine how the NRC processes an application from receipt to issuance.

The long-term goal is to establish more efficient and potentially automated processing of material license and amendment requests. The project will determine ways to streamline, automate, and avoid duplication of effort in l

processing the license request, provide cost saving in resources in NRC's materials licensing process, and improve communication with materials licensees.

After the initial objectives and BPR management model were established, very specific goals for the project and directions to the redesign BPR core team were defined. In brief, these goals were to examine NRC's current materials licensing process and develop a new materials licensing process design that-maintains or raises the current level of public safety, improves the overall speed of the licensing process by an order of magnitude, exploits modern information technology as a fundamental part of the new process, and reduces resources to meet 1998-1999 staffing levels.

i l-1 NUREG - 1539

IMTRoDUCTloM 4

The core team was directed to-examine all related and supporting processes, look outside NRC for best practices and ideas, determine licensee readiness for change and consider licensee-provided redesign ideas to meet licensees' present and future requirements, use the charter's governance model to report issues and recommendations, a

be available full time during periods when the BPR core team meets, a

present early high-payoff changes that can be implemented, and a

present a new NMSS licensing process that can be implemented.

a The NRC established a charter goal of an order of magnitude improvement in materials licensing speed and efficiency. This aggressive goal necessarily required the BPR team to examine and challenge all assumptions that underlie both the current process and the closely related processes that have an impact on materials licensing timeliness and efficiency.

The end product of the team's efforts is a proposed new materials license process design that can be approved by NRC's senior management and substantially implemented within a relatively short period.

1.3 Scope The remainder of this report is organized as follows: Section 2 describes the background for this project; Section 3 describes BPR in the context of the NRC's materials licensing process; Section 4 presents the BPR team's data collection methodology and findings; and Section 5 then describes the steps that the core team followed to derive a new materials licensing process vision. Section 6 presents the baseline metrics for measuring the performance of both the current and future NMSS licensing process. Section 7 describes the "best practices" approach and results obtained by the core team. Section 8 presents the new licensing process vision defined by the team.

NUREG - 1539 12 l

2 Background

2.1 Business Process Redesign The NMSS licensing project used a BPR methodological approach to making large-scale change. To improve process efficiency and effectiveness, BPR applies principles ofchange management to coreprocesses.

What is BPR?

BPR is a methodology for accomplishing rapid, large-scale, fundamental changes to core processes. Specifically, BPR is defmed to be--

l the concept of fundamentally changing the way work is perfomted in order to achieve radical performance improvements in speed, cost, and quality; and the process of making a " big change-fast."

l Several parts of the dermition are key to understanding BPR. First, BPR seeks to make fundamental changes to core business processes. Second, BPR seeks radial, not incremental, performance improvements in speed, cost, and quality. Finally, BPR l

implements a big change-fast-to core processes.

l What are the principles involved in BPR7 The team used well-proven BPR principles, especially the following:

examining the licensing process from both an outside and cross-functional point of

view, setting ambitious goals for the redesign, a

challenging old beliefs and old ways of performing the licensing process, and i

exploiting an innovative thinking approach that focuses on the outcomes to be achieved.

What are the BPR goals?

l The BPR team targeted an order of magnitude improvement in licensing process speed, l

efficiency, and quality. Achieving this very aggressive goal required the BPR team to develop and recommend fundamental, rapid, and large-scale changes to the way materials licensing work is performed.

I i

2-1 NUREG - 1539 I

_~

BACKGROUND How will it be done?

Successful BPR efforts require continuous change management to move the affected organization along a redesign journey.

The BPR team defined the following specific changes required to support the new NMSS licensing process:

new uses ofinformation technology, redesignedjobs and skills, a

new management and controls, and changes to licensing staff values and beliefs.

a A key part of the redesigned licensing process is a set of performance measures that report performance of the new process in real time. Early in the redesign effort, the BPR team agreed upon and reported to the Steering and Executive Committees, what these measures were and why it is important to track license process performance in terms of speed, quality, customer satisfaction, and public health and safety. These agreed-upon measures formed the basis for more detailed process subdesigns that would occur in the prototyping stage of process implementation and would ensure that the new process, when fully implemented, would meet performance expectations.

How was management involved?

The BPR approach realized a large measure ofits success owing to the use of a strong management model that involved senior NRC management in all key decisions regarding the BPR. The next section describes that model.

2.2 Project Operation and Management The NMSS licensing BPR project was organized into three levels: core team, steermg committee, and executive committee. Each level had a key role in the overallproject operation and management.

The licensing BPR project management model in Figure 2.1 shows the relationships between each of the three levels. The core team made use ofits own cross-functional makeup and outside expertise to perform its primary role of defining a new materials licensing process. The core team reported issues as they occurred and reported team results to the steering committee. Similarly, the steering committee reported issues as they occurred and reported major core team results to the executive committee at key milestones. Roles and makeup of each group are described below.

NUREG - 1539 2-2

)

.d BACKGROUND 4

Resolve legislatival cross-organizational Executive issues Committee -I Provide resources; accountable for Improvements and Steering Meets at Key MMom issue resolution Committee Define, plan, manage new proceos implementation Core Team i

Meets 3 Days / Week se i

vm=

l j

menn As Required j

inspectors l

vauda vmw l

j veue<=

l y,u,,,

l OC 1

OGC Research ogp j

Region Reps 1

Figure 2.1 Management Model for NMSS Materials Licensing BPR Project. The 1

steering and executive committees provide efective management oversight ofthe NMSS BPRproject.

l Executive Committee The BPR executive committee represented the agency stakeholders and provided executive oversight of the materials licensing process. The executive committee provided agencywide management and integration of cross-organizational issues, a channel for policy and legislative issues, and mediation of unresolved turfissues and disagreements.

Although there have been changes to the Executive Committee, the original members are listed below.

23 NUREG - 1539

BACKGROUND Members:

EDO Ilugh L. Thompson, Jr. (Chair)

AEOD Edward L. Jordan NMSS Robert Bemero RGN-1 Thomas T. Martin IRM Gerald F. Cranford RGN-2 Stewart D. Ebneter OC Ronald M. Scroggins RGN-3 John B. Martin OGC William J. Olmstead RGN-4 Leonard Joe Callan i

OSP Richard L. Bangart Executive Committee Reporting:

i The BPR Steering Committee Chair, assisted by designated core team members, reported the completion and results of key milestones and issues to the BPR Executive Ccmmittee and reported executive committee-level issues as they occurred.

l Steering Committee The BPR Steering Committee represented and supported the people responsible for managing and overseeing the materials licensing and related processes. The steering committee's resolution ofissues identified by the BPR team demonstrated NMSS's visible ownership of and commitment to the BPR team's efforts. Other important roles included accepting accountability for improving the licensing process and related processes and selecting, supporting, and providing resources for the BPR core team.

Although there have been changes to the Steering Committee, the original members are listed below.

Members:

1 l

NMSS Carl J. Paperiello (Chair)

EDO Lynn B. Scattolini/

E. William Brach Newton (King) Stablein Margaret V. Federline RON-1 Susan F. Shankman Frederick C. Combs RGN-2 Bruce S. Mallett IRM Charles E. Fitzgerald RGN-3 William L. Axelson OC Jesse L. Funches RON-4 Samuel J. Collins OSP Paul H. Lohaus l

Steering Committee Reporting:

The core team reported results to the steering committee and reported issues as they occurred.

NUREG - 1539 24

-=-

BACKGROUND Core Team The BPR core team represented the facilitators of the effort to redesign the materials licensing process. The BPR core team defined, planned, managed, and executed the BPR. Responsibilities included meeting the EDO's charter for licensing process improvement goals, exploiting specialized NRC staff skills during new process development, and providing team results to the steering and executive committees as required by the management model. Although there have been changes to the core team, the original members are listed below.

Members:

NMSS Patricia A. Rathbun RGN-1 Keith D. Brown (Team Leader)

RGN-2 John M. Pelchat Maureen Moriarty RGN-3 John R. Madera Patricia C. Vacca RGN-4 Jack E. Whitten IRM William K. Usilton Subject Matter Adjunct Members:

OC Shelly L. Creed /Glenda C. Jackson OSP Kathleen Schneider issue Resolution Often, the core team presented issues to both the executive and steering committees for resolution. As these issues arose, the NRC BPR Team Leader reported them to the steering committee. Because the core team's schedule was very compressed, issues had to be resolved rapidly and proactively. The baseline rule was that-Issues raised to the steering committee will be resolved within 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> or will be elevated by the steering committee chair to the executive committee. Similarly, the executive committee will have 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> following notification of an issue to give guidance on how the issue is to be resolved.

2-5 NUREG - 1539 i

l 3

Required Elements for Large-Scale Change 3.1 Overcoming Inertia Organizations that successfully undertake and complete large-scale change must have a compelling casefor action, a willingness toface the truth about the present, and a powerful vision of where they want their organization to be in thefuture.

I The inertia factor Organizations and the people who work in them, unless conditioned otherwise, normally resist rapid change-particularly large-scale change. Organizations are intended to achieve stability over time. This long-term stability allows an organization to establish core processes that achieve its purpose and to create implementing procedures.

Such is the case at NRC with the agency's mandate to protect public health and safety with stable, effective controls on radioactive materials. The existing licensing process developed to comply with that mandate and its effective, but not necessarily efficient, procedures are well-established and do, in fact, protect public health and safety.

Operational "habitforce," vested interests, culture, and risk aversion can all powerfully inhibit needed change. These forces that oppose change remain in effect until other, more powerful forces act on them, as shown in Figure 3.1.

How can inertia be byercome?

Large-scale changes are never accidental. BPR creates them systematically, first by demonstrating to members of the affected organization that they can no longer stay where they are ("Have a Compelling Case for Action") and, then that they must face the fact that today's process no longer ser';es the organization and must be scrapped ("Tell the Truth About Today"). These first two mindset changes combine to both " loosen" the forces hciding the organization in place and " lever" it in the direction of change.

The third change is achieved by the " pull" created by a new and powerful vision of the future.

Only when these three required elements are in place could NRC's licensing community be induced to move rapidly to a new and better licensing process.

3-1 NUREG - 1539

REQUIRED ELEMENTS

1. Have a Compelling

2. Tell the Truth About Today Case for Action Forces Resisting Change

• Operational Habitforce

= Vested Interests f

4

• Organizational Culture Risk Aversion

3. Create a Powerful Vision of the Future

}SCurrent T

s'

' State ~

~

inerna Figure 3.1. Three Elements Required for Rapid Organization Change. A compelling casefor action and a powerfbl vision ofthefuture can combine to quickly move an organization to afundamentally new state, but only when the organi:ation is willing to admit that the old way ofdoing business no longer works.

.y' Section 3.2 presents the NRC materials licensing case for action as initially defined.

Section 3.3 then discusses how the BPR team collected data to objectively assess the current state of the materials licensing process.

i 3.2 NRC's Case for Action NRC's case for action (CFA) was driven by escalating fees and decreasing numbers of licenses. The CFA had its origins in the 100-percent fee recovery rule mandated by Congress. NRC staffidentified fees as a factor in the declining number oflicensees that was first noted in 1989. liard numbers on fee escalation and license decline, as depicted in Figure 3.2, presented a compelling case to dramatically change the licensing process.

NUREG - 1539 3-2

I~

l l

l REQUIRED ELEMENTS Number of Licenses ( 25% in 6 Years) 9000 - -

l 8000 - -

l 7000 - -

I 6000 -

sies (pmr.ct.o) 5000 - -

Cost per License (Avg of +20% per year) 4000 - -

3000 - -

2000 -

1988 1h90 1992 1994 1996 Figure 3.2 NRC's Materials Licensing Case for Action. By the end of1996, iftrends continue, the combined impact ofa shrinking licensee base and rapidly escalatingfees mayplace insupportable burdens on remaining licensees.

One manager stated that the average cost of an NRC-administered license has escalated at 20 percent per year. Meanwhile, the total number of active licenses has dropped dramatically, from 8,214 in September 1988 to 6,666 in September 1994. This is a decrease of about 19 percent. If Massachusetts becomes an Agreement State, it will further reduce the number oflicenses NRC administers by about 500, down to 6,166. The 100-percent fee recovery rule would force these 6,166 licensees to bear the fmancial burden of the NMSS support organization required to administer licenses.

3.3 Collection of NMSS Licensing Process Data To collect relevant data on the current licensing processfrom allsignificant stakeholder groups, the NMSS licensing BPR team used a defined data collection plan with tailoredinterview guides.

How the data was collected The NMSS licensing BPR team collected data using the method shown in Figure 3.3.

Initially, the NRC BPR Team Leader identified the significant stakeholder groups to be interviewed. These were divided into two principal group: those who manage the l

licensing process and those who perform the process. A data collection plan was then developed to schedule and interview individuals within these groups. Interview guides were developed for interviewing individuals in each major stakeholder group.

3-3 NUREG - 1539

REQUIRED ELEMENTS Sections 1 through 4 of this report are the end products ofinterviewing more than 80 NRC employees. The acknowledgments page at the beginning of this report lists these individuals by organizational location.

Expansion of the original interview population As interviews proceeded, particularly in Regions I and II, it became apparent that the licensee populations differ in very important ways among regions and that information from each region was needed to have a balanced set ofinterview data. Visits were, therefore, scheduled in all regions to capture these regional differences. Within NRC headquarters, additional interviews were scheduled with the Office of State Programs to further clarify the Agreement State perspective.

Data collected from individual interviews was consolidated, and a content analysis was performed on the data to abstract the interview findings and consequences. This is presented in Section 4 of this report. The specific methodology used to perform the current state analysis is derribed in Section 4.1.

NUREG - 1539 34

j REQUIRED ELEMENTS i

l NRC BPR Team Leader Patricia Rathbun Review and l

Approve Data J

Co.gec on Governe Conduct and Inum Forme Beste of inwrview Preceu P"'"*'Y Core Team Members Conduct Interviews intom

Purpos, and Documents Results

• Gather data to evaluate current M

material licensing process

• NMS3 Ofnce Repe Identify areas to be automated

• IRM OfRce Reps 4

in e onow period

• OC N %

Data Collection Process

[

Based on current internal agexy Mcensing

• OSP Contactor Project Manager F*******

• Regiona l. IV, and WCFO

• Elaborate on maior slope in licensing approval process Include area wisignincent procedural delays Assese replacing LTS wI other sources of Redh informa6cn surrendy used in metedal Econsing 4

approval process g

1 Team Leader Rev6ew and Comment Draft I"'""*'Y Results in hM

,2 Report 2,

• Technical pae6e for Mgmt Briennge integrates

• Detalte action plan

• Data for 6mprovement

• Andyste a Fbdinge Figure 3.3 NMSS Materials Licensing BPR Team Data Collection Process.

Afembers ofthe NRC core team and the contractor used the defined NAfSS licensing data collection process to interview major licensing stakeholder groups and gain their perspectives.

3-5 NUREG - 1539

i l

4 Findings 4.1 Analysis Methodology The materials licensing BPR team used a three-step, comprehensive approach to develop a robust description of the current licensing process.

The Process Diamond Approach The BPR team examined the materials licensing process from the viewpoint of the process diamond shown in Figure 4.1. The process diamond represents a useful framework to model various aspects of a given organization. A process consists both of its steps (see Appendix B) for a depiction of the current licensing process) and its supporting information technology; jobs, skills, and organization of the staff; management and controls; and the values and beliefs of the agency. Changing any part of the process diamond affects all other parts as indicated by the double headed arrows.

Hence any major change, like the change that was contemplated for the NMSS licensing BPR project, would have major impacts in all areas of the process diamond.

l i

Information and WW Q,

/ tN-Jobs, Skills.

Materials NRC and U nsing Values and Organization Promas Beliefs Nt

/

u,nagement cf and Controls The process diamond provides an overall view of the total impact of change on an organization.

Eigure 4.1 The Process Diamond. Changing anypart oftheprocess diamondaffects all otherparts.

l 4-1 NUREG - 1539

FINDINGS Building the Model The findings, based on the process diamond shown in Figure 4.1, were developed from information about the current state of-l l

the materials licensing process, Information Resources Management (IRM),

human resources, a

NRC management systems and controls, and NRC values and beliefs.

l l

In addition to analyzing " current state" information, the interviewers and the team sought information about redesign possibilities (i.e., ways to make the materials licensing process fundamentally effective and efficient, as well as responsive to current licensee needs). Interview guides were developed to assess each of these areas.

Analysis BPR team members analyzed the interview responses by using content analysis procedures to categorize the data and relate it to the major topics of the process diamond.

4.2 Major Findings The materials licensing BPR project data collection process identified 22 major findings that together comprehensively describe the currentprocess.

4.2.1 Process Findings The old process was characterized by an " apprenticeship" approach. It was generally

" manual, individual, and subjective." A technical reviewer had full authority to issue or deny a license without his or her decision being subjected to formal group review. Such autonomy, coupled with regionalization, has led to some inconsistencies in license issuance.

Escalating fees, licensee confusion, and outdated standards were ranked next as staff concems. Most, if not all interviewees, agreed that fees for materials licenses have sky-rocketed in the last several years and made some licensees go out of business. The licensing process bewilders many licensees. In addition, because they resubmit their applications multiple times, licensees find outdated guidance a hindrance.

1

\\

l NUREG - 1539 42 l

FINDEGs Finding 1 - Standard core materials licensing processes are largely undefined at the organizationallevel and unsynchronized with Agreement States.

Finding 2 - Most interviewees perceive the escalating fee structure as unfair and unrealistic.

Finding 3 - Guidance is outdated, too general, and unconsolidated.

Finding 4 - Many licensees are bewildered by the process.

Finding 5 - Rulemaking is time consuming.

See Table 4.1 for the potential consequences of these findings.

Table 4.1. Process Findings Finding Potential Consequence Standard core materials licensing processes

" Hand-crafting" licenses caused are largely undefined at the organizational inconsistencies, inefficiencies, and level and unsynchronized with Agreement frustration among reviewers and licensees.

States.

Most interviewees perceived the escalating NRC's base of materials licenses was fee structure as unfair and unrealistic.

continually eroding.

Guidance was outdated, too general, and Multiple submissions were required, unconsolidated.

further delaying license issuance.

Many licensees were bewildered by the License application became error prone, process.

time consuming, and, to a large extent, costly.

Rulemaking is time consuming.

Guidance quickly became obsolete because of advances in technology and/or changes in business environments.

t 1

4-3 NUREG - 1539

FINDINGS G

0s, Jobs, Skills Materials NRC and Licensing Values and Organizatio.-

Process Beliefs

/

~

1. 0r, Management 9

and Controls 4.2.2 Information Technology Findings NRC's old information technology (IT) was characterized by a proliferation of applications that were antiquated, disjointed, and redundant. As a result, many of these applications fell short of expectations. For example, the License Tracking System (LTS) did not capture some important licensee information. Other suppc rt tools, such as the Wordperfect macros for license generation, were not integrated wi h LTS and resulted in data redundancies. Most if not all reviewers found that LTS did not help them perform theirjobs better. They viewed the applications more as a hindrance than as a tool.

Finding 1 -

Supporting IT applications, particularly LTS, were antiquated, disjointed, and redundant.

Finding 2 -

Modern IT was mismatched with personnel skills.

Finding 3 -

Information Resources Management and its customers interacted adversarily and/or defensively.

See Table 4.2 for the potential consequences of these findings.

\\

NUREG 1539 44

FINDINGS Table 4.2. Information Technology Findings Finding Potential Consequence Supporting IT applications, particularly Integrity or validity of data was suspect.

LTS, were antiquated, disjointed, and redundant.

Modern IT was mismatched with personnel NRC return on investment could be skills.

limited.

IRM and its customers interacted Stafflacked confidence in support and adversarily and/or defensively.

delivery of services.

Information and Technology 04 Materials NRC Licensing Values and Process Behefs M

[f o

/

6 Management g

and Controls 4.2.3 Jobs, Skills, and Organization Findings The existing jobs, skills, and organizational characteristics (JSO) of NRC materials licensing staff were characterized by well-educated professionals, a mix of experienced and inexperienced license reviewers, and in some cases, staff members who do not yet possess the degree of computer knowledge to do their work as efficiently as possible or the belief that such knowledge is needed. In addition, the organization of the staff was inconsistent: Some regions had combined the license review and inspection function; others kept these separate as two distinct groups of staff.

Finding 1 - Technical reviewers met with inexperienced licensees.

Finding 2 - Technical staff had full authority and responsibility to decide technical issues.

Finding 3 - Technical reviewers received only informal training.

L Finding 4 - Skills and job requirements were often mismatched.

4-5 NUREG - 1539

FINDINGS Finding 5 - NRC lacked a formalized mechanism to track materials technology advances See Table 4.3 for the potential consequences of these findings.

Table 4.3 Jobs, Skills, and Organization Findings Finding Potential Consequence Technical reviewers met with inexperienced The fewer the personal interactions, the more licensees.

problems and delays in completing applications.

Technical staff had full authority and The burdensome administrative process responsibility to decide technical issues.

undermined reviewers' primary role.

Technical reviewers received only informal Time was lost in reconciling inconsistent training.

licensing decisions.

Skills and job requirements were often Significant work delays often lowered mismatched.

quality or timeliness.

NRC lacked a formalized mechanism to In some cases, licensees had more advanced track materials technology advances.

knowledge than NRC reviewers.

Jobs, skills, and organization findings indicated that traiaing and information exchange could be significantly improved and that the staff had a strong desire to turn the informal training, staffinteraction, and licensee interaction into more formal learning programs.

The burdensome process interfered with both training and i:ommunication. Training changes could shorten cycle times, heighten morale, and improve license quality.

NUREG - 1539 4-6

FINDINGS information and Technology O

/=

s-Jobs. Skills Materials NRC and Licensing Values and Organization Process Beliefs 4.2.4 Management and Controls Findings Management and controls were characterized by differing missions and customers in headquarters and regions. lleadquarters (NMSS) sometimes had to make decisions to satisfy external clients, such as Congress and the public. Regions sometimes had to implement these decisions with little knowledge of their basis. Other issues that many reviewers believed impaired their day-to-day job performance and satisfaction were interruptions, prescriptive-driven goals, and technical assistance requests (TARS).

Finding 1 -IIcadquarters and regions have different and often conflicting missions and customers.

Finding 2 - Reviewers are frequently interrupted with other tasks.

Finding 3 - Numbers-oriented measurements ignore crucial performance goals.

Finding 4 - TAR rulings are untimely and generally inaccessible.

Finding 5 - Empowered, self-directed teams are essential.

See Table 4.4 for the potential consequences of these findings.

l l

4-7 NUREG - 1539

FINDINGS Table 4.4. Management and Controls Findings Finding Potential Consequence lleadquarters and regions have different lleadquarters policy decisions sometimes and often conflicting missions and displease reviewers and licensees.

customers.

Reviewers are frequently interrupted with Reworks are a major source of inefficiency.

other tasks.

Numbers-oriented measurements ignore Little or no focus is put on process crucial performance goals.

improvements.

TAR rulings are untimely and generally Reviewers and licensees are confused and inaccessible.

frustrated.

Empowered, self-directed teams are Self-managed teams have raised essential.

productivity, quality, and job satisfaction.

Information and

[

Technology O

G M

Gro Jobs. Skills Materials and Licensing Organization Process M

1. 0r, Managernent g

and Controls 4.2.5 NRC Values and Beliefs Findings NRC values and beliefs were characterized by the following contrasts:

a strong focus on public safety, but little emphasis on the licensee as a " customer",

a desire to make changes, but a skepticism that changes will happen, and a

an excellent track record for safety, but recognition ofintense public fear of radioactive materials.

Finding 1 - Most NRC staff were ready for change; inertia was the biggest barrier.

Finding 2 -Inspections were required to be part oflicensing.

Finding 3 - Public safety was a core value; licensee satisfaction was not.

NUREG - 1539 4-8

FINDINGS i

Finding 4 - The public demonstrates intense fear of radioactive materials; the i

agency was incident driven.

See Table 4.5 for the potential consequences of these findings.

Table 4.5. Values and Beliefs Findings Finding Potential Consequence Mo;t NRC staff were ready for change; Inertia overcame readiness, resulting in inertia was the biggest barrier.

incremental, not dramatic, change.

Inspections were required to be part of Technical reviewer's lack ofinspection licensing.

perspective lowered license quality and increased inspector workload.

Public safety was a core value; licensee Departing or dissatisfied " customers" meant satisfaction was not.

inefficiency.

The public demonstrates fear of radioactive Time was lost in resolving relatively minor materials; the agency was incident driven.

incidents and preventing their recurrence.

The public should be given the opportunity to understand the actual as well as the perceived risk of the use of radioactive materials. Values and beliefs findings indicated that more education could greatly contribute toward decreasing the need for incident-triggered rules and regulations.

4.3 Redesign Ideas During the data collection process, NRC headquarters and regional managers and staff identified many excellent ways in which the licensing process could be redesigned.

Mary of these redesign ideas would be easy to implement and could rapidly and signi3cantly improve the materials licensing process.

Major rdesign ideas are summarized next. These are examples of what the redesign could include.

Redesign idea 1 - Simplify and standardize processing for routine categories of licenses.

Discussion: NRC and its licensees know much more about radioactive materials than they did 30 years ago. Some categories of radioactive materials, such as gauges, are now established as predictable, safe to use, and oflow risk to public health and safety.

However, the licensing process for these relatively simple categories remains highly complex.

i i

4-9 NUREG - 1539

FINDIN(6 This redesign idea proposed to dramatically simplify the processing of these low-risk materials categories. In many cases, control and quality inspection at the source manufacturer, combined with clear and graphic instruction in using the device, could potentially preclude NRC's need to strongly regulate the device's users.

Implementation result: Because this redesign idea would be relatively easy to implement, it could be assigned an early implementation priority. This idea would free up technical staff to focus on redesign ideas that take up more of the staft's time, such as issuing better guides and learning more about emerging materials technologies.

Redesign idea 2 - Extend license duration and/or cancel renewals.

Discussion: NRC staff generally believes that requiring five-year renewals for all categories oflicenses is unnecessary, whether for health or safety.

Many said that simple licensing categories could be exempted from the renewal requirement or that the requirement could be dropped altogether. Larger, more experienced licensees, such as large hospitals and universities, have technical experts to monitor and manage their program. Licensees who demonstrated their competency in safe use of materials could be granted a longer license of 10 or 15 years or more. Some staff members advocated dropping the renewal requirement altogether, moving NMSS from licensing and inspection to an auditing role.

Implementation result: The beneficial consequences of extending license renewals or dropping them altogether should have the same far-reaching effect as Redesign Idea 1.

Redesign Idea 3 - Heighten interaction among inspectors, reviewers, and licensees.

Discussion: Some staff redesign ideas centered on increasing interaction with the licensee, especially during the first three steps of the licensing process. In the early stages of the process, improving a licensee's understanding and providing guidance i

should result in fewer deficiencies and a quicker turnaround of Step 5 of a technical review (see current licensing process, shown in Appendix C).

Other ideas for increasing NRC interaction with the licensee follow:

Increase training for staff who screen incoming phone calls.

Channel a caller to the right staff person via a voice response system.

Send applicants an understandable application kit.

A second area ofinteraction centered on the inspector. Especially in the case of renewals and amendments, increasing inspector communications with the licensee and the license NUREG - 1539 4-10

FINDINGS reviewer should heighten understanding and speed all aspects of Step 5 of a technical

review, i

Implementation result: Besides establishing a better relationship with the licensee, this redesign idea should produce fewer application errors and better inspection results.

Redesign idea 4 - Redefine staff job descriptions and formalize training programs.

Discussion: Some redesign ideas were in the area ofjob descriptions. As part of the strongly held belief that inspection and review go hand in hand, several NRC staff members advocated cross-training in these two disciplines. Many also proposed making work hours and places more flexible.

Other staffmg redesign ideas focused on staff training, both in technical areas and in computer literacy. Because less experienced technical staff have been hired recently, many "long-timers" believed that formalized training was essential. Training redesign ideas extended to computer literacy, as discussed in Sections 4.2.2 and 4.2.3.

Implementation result: Reviewers would write each license category more consistently.

Reviews would be faster. Staff would be used more effectively in their areas of trained expertise and licensees would benefit from the staff's increased knowledge and skills.

Redesign idea 5 - Replace LTS with a document-imaging distributed database.

Discussion: Many staff members were blunt in expressing their suggestions for LTS, such as " junk it" and " kill it," and would replace it with a state-of-the-art central database.

Some were more specific, stating the need for a Graphical User Interface (GUI) front-end in a UNIX based client / server system.

All believed that the separate computer applications, especially LTS and Regulatoiy Information Tracking System (RITS), should be integrated. Some felt the integration must include the Wordperfect-based license. Many other ideas from the NRC staff fell within this general redesign idea as follows:

Give licensees access to an on-line copy of rules and guides via, for example, Intemet or FEDWORLD.

Use more laptops in the field and transmit reports to the central database via phone modems.

Develop all forms on-line in a fill-in-the-blank electronic format, especially the license itself, eliminating the need for printed forms.

4 11 NUREG - 1539

FINDINGS Most significantly, staff suggested including a document-imaging capability in the central database. Document imaging would-allow instant access to an electronic copy of all documents, such as the license application and subsequent letters, hold an electronic copy of all NRC staff-generated correspondence and the Wordperfect-generated license in the same electronic folder, so that word searches could be made, dramatically lower requirements for printing and distributing hard copy reports and license copies, and allow anyone instant access at any time to the current status of the processing of a license, the license itself, and even the entire docket file.

Implementation result: A central database with document imaging accessible anytime by any NRC staff person would-greatly shorten the time a licensee had to wait on the phone for status checks, eliminate the cumbersome milestone tracking within LTS, and eliminate untold staff hours consumed in looking for checked-out or misplaced docket files.

Most importantly, a state-of-the-art client server imaging database would dramatically streamline and simplify the entire licensing process.

Redesign Idea 6 - Consolidate and cross-link rules, guides, policy, and TARS in an on-line hyper-text repository.

Discussion: Interviewees agreed that a major revision to the existing body of regulatory and licensing information would significantly improve efficiency and accuracy. Several managers said that the key to such an undertaking is climinating the serial nature of changes to a license, in which the reviewer must go back through the entire folder, page by page, to ensure all exceptions and contingencies are considered in any change to the license.

The new documentation should be modular, should allow cross-functional references, and should reduce redundancies. License reviewers must know that they are seeing the most current version of a rule, guide, or policy. Many said that changes to rules and guides must be immediately accessible to anyone. Some staff said that the consolidated documentation must also include " tie-downs." One regional staff member added the requirement that the consolidation should provide for quicker response from headquarters on all TARS.

The second-most-important aspect of consolidating the rules, guides, and policy is creating a single electronic repository that permits full-text search and one hyper-linked NUREG - 1539 4-12

i l

l l

FINDINGS presentation of all documents for a given licensing category. This " hyper-text" technology is readily available today and is in widespread use in both the public and private sectors, such as in groupware applications.

l Implementation result: Consolidating the rules, guides, and policies and making them L

available in a hyper-text on-line application would significantly increase the reviewers' comprehensiveness and accuracy in making technical decisions.

Table 4.6 Redesign Ideas i

i l

Idea implementation Result Simplify and standardize processing for Technical staff freed to focus on better routine categories oflicenses.

guides and better understanding of materials technology.

Extend license duration and/or cancel Technical staff freed to focus on public and renewals.

licensee education.

lleighten interaction between inspectors, Fewer application errors and better reviewers, and licensees.

inspection results.

Redefine staffjob descriptions and Staff deployed more effectively; licensees formalize training programs.

would benefit from staff's increased skill in and knowledge of materials industry and IT.

Replace LTS with a document-imaging Licensing process dramatically streamlined distributed database.

and simplified.

Consolidate and cross-link rules, guides, Significant increase in comprehensiveness policy, and TARS in an on-line hyper-text and accuracy of rulings made by all repository technical staff.

i l

4 13 NUREG - 1539 l

5 Guide to Action 5.1 NMSS Licensing Vision The materials licensing vision is to have a materials licensingprocess that maintains or raises the current level ofpublic safety andperforms an order ofmagnitudefaster than today'sprocess.

What is a vision?

A vision is a clearly articulated set of outcomes and performance goals that solves the problems identined in the NRC's case for action. The vision evolved, becoming clearly denned as the BPR project progressed.

Why is a vision needed in BPR projects?

In denning the future NMSS licensing state, the BPR core team established performance measures to demonstrate achievements and challenging performance goals to stimulate creative thinking and new approaches.

In short, a vision-is a motivating " rallying cry",

describes the strategic intent of the change process, is a vehicle for management consensus and alignment on the change campaign, and provides direction as the organization progresses to goals.

a 5.2 Project Approach The rest of the projectfollowed the BPR methodology to arrive at a proposed new materials licensingprocess that management could approve in logically relatedpieces.

The immediate next steps were denned and described below:

5.2.1 Develop an "As is" Process Model The NRC BPR core team validated the high-level "as-is" model, spending sufficient time to adequately capture a common set of key metrics and measures that described the old process or that will be used to ensure desired performance in the redesigned process, or both.

The key deliverables from this task were measures that captured the time, cost, and quality of the old process and that could be compared with those of the redesigned process.

5-1 NUREG - 1539

GUlos To ACTION 5.2.2 Develop New Process Designs Best-practices research expanded BPR core team thinking beyond theirformer operational domain andprepared the team to create the vision ofthefuture licensing.

Developing new design altematives was an iterative process that involved the BPR core team in a series of sessions. This task, ollen called "best practice" research, showed the BPR core team what was technically possible with current technology and what other similar organizations are doing or are about to do. With this expanded perspective, the BPR core team thought creatively about possible new solutions to the licensing process that would achieve the desired performance objective.

5.2.3 Develop Vision of the Future and New Designs The new materials licensingprocess isfidly documented with appropriate high-level models, cost-benefit descriptions, and required changes.

This task developed and documented the vision and supporting products associated with a new materials licensing process. A fundamentally new process can be quickly accepted only if affected individuals and organizations take part in defming the process.

5.2.4 Management Presentation The BPR team 's recommendations were documented and then presented to NRC's senior management using the management model.

A key part of the management report was the BPR team recommendations for" chunking" proposed changes into logically related, implementable pieces. These followed naturally from a detailed analysis of the contemplated changes and their resulting impacts. The BPR team recommended two or three " waves of change" containing these chunks that would meet the charter goals.

NUREG - 1539 5-2

6 Baselining the Process 6.1 Introduction Metrics are an essential baselinefor measuring theperformance ofboth the old and new NMSSlicensingprocess.

The project's charter goal was to improve the speed of the former licensing process while maintaining or improving public safety. The baseline metrics presented in this section are the common set of key measures against which the old and new materials licensing processes would be compared.

6.1.1 Licensee satisfaction with NRC licensing system service This measure was derived from licensee responses to the NMSS Regulatory hnpact Survey of materials licensees regarding the effect of NRC's regulatory activities on their licensed operation. This comprehensive survey used 46 questions comprising several question types and response scales. Of the 46 question areas, the following 10 relate directly to licensee satisfaction:

level of regulation cost of NRC regulation licensee understanding of review process guidance enabling licensees to file efficiently reviewer evaluations timeliness how delays afTected the licensee facility a

how a licensee resolves disagreements with a license reviewer licensee perception of freedom to notify management about disagreement with license a

reviewer usefulness of regulatory guides Basis of Former Process Value The survey sought licensee views on the value of NRC regulations and policies, the licensing process, the inspection process, reporting requirements, and enforcement. The specific purpose of the section on materials licensing was to determine how effectively and efficiently NRC performed its licensing functions. A stratified random sample of 6-1 NUREG - 1539

BAsELINING Tile PRCCEss 600 NMSS materials licensees received questionnaires. Of these,371 licensees responded as follows:

Eighty percent believed that NRC regulation had increased; twenty percent believed that the level of regulation had remained the same.

Fifly-eight percent felt free to notify management if they disagreed with a reviewer; twenty-seven perce- " ' not; fifteen percent did not respond to this question.

Ninety percent belicuo that the cost of complying with NRC regulations had increased over the past three years; ten percent believe that the cost of complying had remained the same.

This table presents the percentage oflicensees who believed that they understood the review process the NRC used to issue, renew, or amend a license.

License Actioc Percent Understand Issue (new) 44 Renew 47 Amend 51 This table presents licensee perceptions of timeliness for various actions.

License Action Percent Timely Percent Not Timely Issue (new) 17 18 Renew 29 37 Amend 35 29 This table presents licensee pemeptions of delays on their operations.

Scale of Problem Percent Agree Serious or moderate 27 problem Minor operational 22 problems No operational problems 22 l

This table shows how licensees resolved differences with license reviewers.

Action Taken Percent Called reviewer 62 Wrote to reviewer 37 Never agreed 36 Took no action 12 Contacted management 9

Met with reviewer 8

NUREG - 1539 6-2

BAsEL!NINo THE process i

The licensees were asked a series of questions regarding various aspects of reviewer behavior and level of technical knowledge; their responses are presented in the following table. In general, these evaluations were very positive, t

l Evaluation Area Percent Agree Percent Percent Disagree or or Strongly Neutral Strongly Disagree Agree l

Professional 71 19 3.5 l

Helpful 61 22 9

i Asked clear questions 56 21 13 Technically competent 54 27 14 Asked reasonable questions 54 25 14 i

Consistently applied 52 25 15 regulations Asked only for relevant 48 25 17 information Sufficient knowledge of 46 25 16 licensee operation This table presents the percentage oflicensees who agreed that NRC guidance enabled

)

them to file new licenses, amendments, or renewals efficiently. In addition,43 percent l

expressed confidence that NRC guidance would enable them to submit information acceptable to an NRC license reviewer.

License Action Percent Agree l

Issue (new) 34 Renew 44 Amend 49 l

In addition to these responses, the team recognized the need to receive additional licensee feedback before implementing any new process. For example, licensee readiness to l

implement the new automated systems should be determined.

l In addition, the team knew that implementation of BPR-recorr.mc nded changes may not directly change licensee perceptions. Dramatic improvements ir. licensing process speed and efficiency and lower costs may not be reflected accurately in licensee perceptions.

l Opinions and beliefs are always influenced by many external factors, and the NRC l

licensing process is no exception. However, the team recommended that some type of systematic licensee feedback should accompany any changes to the materials licensing process.

1 6-3 NUREG - 1539

BAsELINING Tile PRCcESS 6.1.2 Players and hand-offs: The number of distinct players involved in the process and the number of hand-offs among the players lland-offs (IIOs)are a major deterrent to efficiency of any process. Because interactions among players take time, particularly when interactions occur serially rather than in parallel, the more players and hand-offs, the slower the process.

The former eight step materials licensing process averaged 52 players and 54 hand-offs (see Appendix C). In the worst case,94 hand-offs can occur among the 52 players. The technical assistance request (TAR) process (see Appendix D) had 19 players and an average of 55 hand-offs. In the worst case, a TAR could involve 69 hand-offs.

These very high numbers of players and hand-offs were a major part of the delays encountered with the former process. Because different people managed the individual steps, each step was performed reasonably efficiently (given the work that had to be done in that step). Ilowever, no one person managed the overall process.

Definitions Player: Individual or entity with a defined, significant role.

Hand-off A point in a process step where work passes from one player to another. The maximum number ofhand-offr (MHO) is the number of hand-offs in the worst case scenario. The routine number ofhand-offs (RilO) is the number of hand-offs in a routine licensing action.

Basis of Former Process Value The team examined the old eight-step current process model in detail, breaking each step down into its components. The team first determined the players in each step, then how each player interacted with other players in that step. Players are not always people. A player can be an entity, such as a system License Tracking System (LTS), a contractor running a system (NUDOCS), or a physical place (mail room).

The team then examined the interactions between players and noted where hand-offs occurred. The players (circles) and hand-offs (arrows) for Step 1 in the former materials licensing process are shown in Figure 6.1.

NUREG - 1539 6-4

I BAsELINING THE PRCCEss l

SSD Reception 1

Pm L censee Package Licensee Phone Licensing Assistant I

Hg Tech Reviewer Fees f

Reg Tech Reviewer Figure 6.1 Players and Iland-offs in Step 1 of the Former Materials Licensing Process. Not counting the licensees ' (or applicants ' call tofees, seven players andjive

)

hand-ofs occurred in Step 1 before the licensee application package was sent to the licensee.

The team used this approach to document the number of players and hand-offs in-1 cach of the eight steps in the licensing process and a

the TAR process.

The results of this effort are shown on the two large diagrams, NMSS Materials Licensing Process chart and TAR Processing chart, in Appendices C and D, respectively, l

In some cases, multiple hand-offs occur among players in a given step. The team developed both a RIIO and a MHO sub-metric to capture the average and worst cases.

l i

l 6-5 NUREG - 1539 i

-u

BAsELININo THE PRCCEss 6:1.3 Processing time: Total work time required to complete each step Definition Processing Time: The actual work time required to complete each step in the old eight-step materials licensing process. This metric is also known as touch time.

Basis of Current Process Value The team used its individual and collective experience with the process to estimate the processing times for steps 1,3,4,5,6, and 8. The team excluded steps 2 and 7 because data was not available. The former processing time was 1.8 days.

)

6.1.4 Cycle time: Total elapsed time required to complete each step Definition Cycle time: The total elapsed or calendar time required to complete each step in the eight-step materials licensing process. Cycle time is equal to processing time plus dead time, in an ideal circumstance, dead time is close or equal to rero.

Basis of Former Process Value The team derived most values for this metric from an Fiscal Year (FY) 94'LTS milestones report for all categories oflicensing types (new, amendment, and renewal).

He team used its individual and collective experience with the process to estimate the values for Steps 1 and 8. The former cycle time for licenses was 84 days, and for TARS, it was 52 days.

6.1.5 Accessibility of Information Many people-both the licensees and other external stakeholders, as well as NRC personnel--need many kinds of NRC information at many levels of detail. This infonnation is contained in several NRC materials licensing databases and in such other sources as the local area network, LTS, regulatory guides, and licensing information.

This metric measures how quickly such information can be obtained and how complete and accurate it is.

Definition This measure has two components:

a quantitative measure of the actual time needed to access required information and a qualitative measure of the information's accuracy and completeness.

NUREG - 1539 6-6

a-d.

.m 6.1 A

1 4b-.e+4

+_

w 4-e.

Lie _

BASEUNING Tile PROCESS l

Hasis of Former Process Value The team used its individual and collective experience with the process to estimate the time necessary to access individual databases, to provide requested information to individuals, and to provide general information to interested parties. The team then estimated the quality ofinformation obtained, assigning it a value from 1 (very complete and accurate) to 5 (neither complete nor accurate).

Note: Design of the new process took into account that elements of the former process such as LTS are valuable as part ofthe enterprise data model as well as being process components.

6.1.6 Rework

Unnecessary feedback loops L

The rework measure consists of the following components:

Review Downtime Index (RDI) per Action and Corrected Copies Rate Definition l

l Review Downtime Index: The total time an action is available to be worked on by a l

technical reviewer, but is not being worked on because of other duties. The review downtime index is equal to the total cycle time, minus the total time awaiting deficiency responses, minus the total process time.

l This indicator increases or decreases as interruptions increase or decrease during a license i

review. Reviewers interrupted during a review must often revisit parts of the application because they cannot recall the details of what they read before they were interrupted.

This indicator thus correlates to rework in technical reviews.

Basis of Former Process Value RDI per action is equal to the average cycle time per licensing action, minus the average time spent reviewing each licensing action and the average time spent waiting for licensee responses to deficiency letters or telephone calls. The team used data from LTS to determine the total number oflicensing actions.

wed and the average cycle time for each licensing action during FY 94.

The team used LTS data to determine the average number of days spent awaiting deficiency responses from licensees per action: average days per deficiency response, multiplied by the number of deficiencies, and divided by the total number oflicensing actions for the fiscal year. They used RITS data to determine the average review time per 4

6-7 NUREG - 1539

BAsELINING Tile process l

l licensing action: total technical hours expended on all FY 94 licensing actions, divided by the total number of FY 94 licensing actions.

Definition Corrected Copies Rate: The percentage oflicensing actions for which a corrected l

version of the action is issued for any reason.

l l

NRC corrects errors made in producing a materials license by producing a corrected copy l

of the license. The rate at which such corrected copies are issued measures expenditures of staff time outside the normal process.

Basis of Former Process Value The team limited its sample to Region I and Region 11 and computed the number of corrected copies per licensing action by examining the number of corrected copies and the number of total licensing actions generated during FY 94.

l Because Region l's files contained only copies oflicensing prior licensing actions, bvut l

not the last action, some actions and some corrected copies issued during the year were i

omitted from the calculations. The files in Regions I and II contained a total of 145 l

corrected copies. The corresponding number of actions issued was 2109, a corrected copy rate of 6.9%.

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NUREG - 1539 6-8

7 Best Practices 7.1 Introduction "Bestpractice" research and site visits showed the BPR core team practical examples of what other organizations were doing or were about to do with current technology and organizationalinnovations. The team used this expandedperspective to create the vision ofthefuture and to develop new design alternatins.

7.2 Background

Observing and researching the best practices described in this section expanded core team thinking beyond its current operational domain. The core team reviewed over 57 research articles and visited 10 sites. During the vision and design phases, the team defined a new materials licensing process derived in part from these "best practice" findings.

7.3 Scope The team organized its research in a balanced set of categories that it derived from the five parts of the " business process diamond"(refer to Section 4 for the discussion of the process diamond). To these five categories, the team added two categories specific to the NRC mission. The sections that follow describe the research. The team focused on practical examples of whct other organizations were doing or were about to do with current technology and organizational innovations.

'7.4 Steps of Best Practice The team conducted its research and arrived at findings in the following six steps:

Determine best practice categories.

Research best practice articles.

Visit best practice sites.

Analyze site visits.

Develop major findings.

Document all research and site visit findings.

7.4.1 Determine Best Practice Categories The team derived categories by reviewing current articles and news reports for each part of the " business process diamond" model: materials licensing process; jobs, skills, and organization: management and control; values and beliefs; and information technology.

To these five categories were added two categories that were specific to NRC's mission:

7-1 NUREG - 1539

\\

f I

BEsT PRAC11CEs regulatory product development and risk assessment. In all, the team developed the following best practice categories:

Husiness Diamond:

Materials Licensing Process (Section 7.5.1).

Groupware Document Management Document Publication Information Technology (Section 7.5.2)

Client / Server Infrastructure Jobs, Skills, and Organization (Section 7.5.3)

Alternate Work Groups Learning Organization Management and Controls (Section 7.5.4)

Change Management and Leadership Values and Beliefs (Section 7.5.5)

Customer Service a

NRC Mission-Specifie Regulatory Product Development (Section 7.5.6)

Risk Assessment (Section 7.5.7) 7.4.2 Research Best Practice Articles Core team researchers surveyed hardcopy and on-line repositories of news articles and journal publications for current descriptions of examples of each best practice category, both theoretical and practical. The team found 57 relevant articles.

Everyone on the core team received copies of these articles. Working in pairs, the team reviewed the research articles, summarized key points, and then discussed how the insights contained in the articles were relevant to improving the NMSS licensing process.

NUkEG - 1539 72

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BEsT PRACTICES 7.4.3 Visit Best Practice Sites l

The core team visited the organizations listed in Table 7.1, spending between a half day and a whole day at each site.

Table 7.1 Best Practice Sites and Key Area of Focus Organization Visited Key Area of Focus for the Visit

1. Computer Sciences Document production with team writing and Corporation automated production systems Fairfax, VA

2. Vantage Technologies, Inc.

Document management, work flow, and televideo Chantilly, VA conferencing

3. Source One Finance Student loan services company with a remote Herndon, VA access on-line document management system

4. Department of Education Automated document management system for Washington, DC processing and issuing funding grants

5. Department of Energy Groupware application for 1,500 users Washington, DC

6. American Institute of Professionals' association that recently underwent Aeronautics and Astronautics business process reengineering, one outcome Washington, DC being the creation of self-directed work teams

7. FederalCommunications issues communications permits; instituted some Commission advances in automation Gettysburg, PA

8. ELM Services Cancer program management organization that Rockville, MD recently undertook reorganization and team building processes

9. Peak Performance Multimedia training systems and consulting in Silver Spring, MD Electronic Performance Support Systems (EPSS)

10. NRC High Level Waste Document management Computing Center Rockville, MD Note: Each site illustrated far more instances of best practices for possible use in the vision and redesign phase than the specific best practices the team had gone to see in action.

l 7.4.4 Analyze Site Visit Immediately after each site visit, often while still on site, the team conducted a wrap-up "take-away" workshop. Each team member was asked to describe a key finding he or she saw during the visit. The team reviewed, discussed, and recorded these notes as i

important reference documents for the next step.

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73 NUREG.1539

BEST PRACTICES 7.4.5 Develop Major Findings The team developed major findings in teams of two; each team looked at sum aarized findings from research articles and from site visits. Each team derived fium two to four major findings for each best practice category; these are reported in Section 7.5.

7.4.6 Document All Research and Site Visit Findings The team assembled the major findings and discussed each one. The team also assembled all supporting research articles and notes from site visits for use in the next step in BPR, Vision of the Future.

The team continues to seek out best practices in the Agreement States, other Federal agencies, and private industry.

7.5 Best Practices Research Inforrnation and d

Technology 04 Jobs, Skills NRC 7.5.1 Materials Licensing Process and vaiue and Organization Beliefs

/

'0r, Managernent and Controls (1) Groupware Groupware is an integrated framework of tools, to include a document and image management system, group decision support systems, shared screen environments, calendaring, and e-mail. Table 7.3 shows some of the functions for several groupware categories.

l NUREG - 1539 74

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BEST PRACDCEs Table 7.3 Site Visit Relevance to Best Practice Categories Groupware Tool Category Function Shared memory and database Single source ofinformation accessible to all group members Document and image management Simultaneous retrieval and annotation ofimages, text, graphics, and computer data Group decision support systems Decision structuring, idea generating, voting, ranking, and concurrence Shared screen environments Simultaneous display of work product to multiple users for collaboration in real time; seamless media transfer across applications Groupware development Generation and maintenance of groupware databases and supporting products Calendaring and scheduling Electronic development of mutually agreeable group schedules E-mail and other messaging tools Rapid, dependable, and achievable staff communications The benefits of groupware include the following:

Workers who have the appropriate groupware tools and access to databases can be highly effective.

Groupware enables and encourages peer technical collaboration.

(2) Document Management Automated document management converts paper-based systems to electronically indexed media for remote site access. Workflow automatically routes electronic documents. System components include an automated scanning system that converts paper-based documents into an indexed computer database.

4 Converting data into electronic media and indexed electronic folders also achieves the following:

Reduces the errors introduced into databases.

Increases end-product quality and accuracy.

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BEsT PRACTICES Encouraging the use and acceptance of documents in an electronic format further increases efficiency. For the following reasons, having all such information in a central electronic repository saves users a significant amount of time:

Workflow software speeds document routing and management and ensures adequate i

I security.

1 "One-stop-shopping" requires inputting information only once and making it l

available to all authorized people.

(3) Document Publication Best practice document publication reduces the time and resources necessary to compose, edit, and obtain agency-wide concurrence. Components include commercially available desktop publishing software, automated electronic scanners, high-speed electronic editing stations, and high-speed colcr and black-and-white printers.

Trained and disciplined publication work teams transcend organization boundaries and contribute to a faster turnaround time. Converting documents from a paper-based system to an indexed electronic media format lets the publication team quickly capture, archive, retrieve, and create new documents. Using electronic signatures and concurrence, combined with encouraging electronically submitted and issued documents (such as paperless licenses, correspondence), also speeds production. For the following reasons, software and selected groupware manage indexed electronic media universally and ensure that documents are issued rapidly:

I Sophisticated, commercially available desk top publishing (DTP) technology and groupware, high-speed automated electronic scanners, electronic editing stations, and printers have closed the gap between publisher, editor, and printer.

Highly trained, disciplined work teams can produce almost every kind of document.

Using electronic concurrence, electronic signatures, and simultaneous document routing, significantly speeds publication turnaround time.

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NUREG - 1539 7-6

BEST PRACTICES cP 4,

7.5.2 Information Technology:

Jobs, Skills Materials NRC and Licensing Values and Client / Server Infrastructure Organization Process Beliefs

/

k, Management and Controls A client / server infrastructure is a computing environment characterized by intelligent workstations, or clients, connected by Local Area Networks (LANs) or Wide Area i

Networks (WANs), or both, to various mini-computers or mainframe computers, or servers. The benefits of deploying a client / server infrastructure include the following:

l New Commercial, Off-the-Shelf (COTS) groupware and document managfement products are no longer mainframe-based.

A client / server infrastructure offers a much more reliable computing environment.

A client / server infrastructure enables rapid application development.

A client / server infrastructure is inherently more complex to operate than the traditional mainframe infrastructure.

7-7 NUREG - 1539

BEsT PRACTICLs Informaton and

/

Technology o#

O*g mm 7.5.3 Jobs, Skills, and Materials NRC E

Organization y*,"S6;9 V*g' fad g

Management g

and Controls 1

(1) Alternate Work Group Structures An empowered work group consists of teams of people with complementary skills who are committed to a common purpose, a common set of performance goals, and a common approach for which they hold themselves mutually accountable. Using alternative work groups requires that managers give workers the responsibility, authority, and information to make key organization decisions. The benefits of using alternative work groups include the following:

A self-managed work team, or an alternative work group, can perform major portions of critical work processes.

All parts of an organization can use self-managed work teems to deliver products and to help achieve its overall mission.

(2) Learning Organization A learning organization is one in which the members create, acquire, and transfer knowledge and insights; modify their behavior; and continually improve in providing services for the customer. Recent innovations in learning techniques, combined with advances in technology, have created this fresh new way of carrying out training and education. The benefits of a learning organization include the following:

The new " organization learning" method is like an ongoing BPR project.

l Management and measurement are key to linking learning organization activities to I

continuous process improvements.

Technology is the key " driver" of the new learning organization model.

Training can take place in classrooms or on the job; it can be delivered from a central hub or from a regional site.

NUREG - 1539 7-8

BEsT PRACTICES information I

and M"0D 004

/-

Jobs, SMis Materials NRC 7.5.4 Management and Controls:

and Licensing Values and

'8'"*'""

l Change Management and l

Leadership

/

x Change management combines designing the future organization for a business arr:a with developing and implementing transition strategy to achieve that future state. Strong leadership and advocacy are essential to a change program and include the following:

Change management focuses on shifting staff attitudes and beliefs toward customer l

focus and responsiveness to the customer.

Making processes faster and more customer-focused requires giving workers new technology and authority.

Developing organization policy quickly requires streamlining organizational approval processes.

Senior management's advocacy of change is a major part of effective change l

management.

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t 4

7-9 NUREG - 1539

DEST PRACTICES

nformato[

and 4

Technology O

7.5.5 Values and Beliefs:

Jobs. skiti.

Materiais Customer Service 0,,,nj,,,

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i r,

Management and Controls j

Tremendous improvements in customer service in the commercial sector have raised the l

public's expectations. The highest quality customer service delivers more service than the customer expects; anticipates customers' needs before they even envision them; and l

delivers timely, defect-free products. Communications with customers are clear, polite, and tailored to the customer's needs. The following statements apply to customer service:

Customers want easy, rapid, and reliable access to up-to-date information.

Organizations that make it easy for customers to submit complete applications greatly reduce turnaround time.

Organizations achieve quality customer service when they empower employees to satisfy the customer and give employees the authority to solve the customer's problem.

7.5.6 Regulatory Product Development j

Regulatory product development is an ongoing process to-identify needs for changes in regulations or policy, ensure that the regulatory process reflects the current state of technology that uses licensed materials, l

l adapt the regulatory framework to meet evolving public and licensee needs, l

l continually examine the information needs oflicensees, the staff, and the public, and l

l develop the needed products.

l l

l NUREG - 1539 7-10

{

BEsT PRACTICES The following statements apply to regulatory product development:

Observing and communicating with the user are the best ways to determine the user's needs.

.A new product can be developed quickly if designers first develop an imperfect version rapidly, then improve it by observing its flaws and how it is actually used.

Concurrent development speeds the.ievelopment of new products and improves their quality.

7.5.7 Risk Assessment Risk assessment is an objective, consistent, and repeatable process for assessing risk to the public, the customers' workers, and the environment as part of performing a service.

The following statements apply to risk assessment:

Government and industry are increasingly using risk assessme"t to justify and defend actions.

On-line expert systems and risk assessment scripts can greatly spad and standardize a process.

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7 11 NUREG - 1539 l

8 Vision of the Future Materials Licensing Process 8.1 Introduction The BPR core team's vision of the materials licensing process was designed to meet the charter goals. This section describes the vision that was used to design the new licensing process.

8.2 Visioning Process The team synthesized inputs from several sources to produce a new operating vision.

Sections 1-4 document the licensing process requirements, the staff's perceptions of problems with the current process, and many possible redesign solutions.

The team then evaluated the old process, developing a set ofinitial measures that described current process performance in such terms as steps, cycle time, and cost. (See Section 6, "Baselining the Process.") The team gained a well-grounded perspective on process areas that cause significant performance and other problems and on those that offer major opportunities for improvement.

The team then looked at other private and government organizations that were using modern technology in performing functions similar to NRC's licensing process.

With that background, the team synthesized all the requirements and possible redesign ideas into a vision of the new process. The vision is depicted in Figure 8.1.

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81 NUREG - 1539 I

VISION OF TIIE FirrURE New Regulatory Approach A ncy-de T p

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'3- (i $ (m WEEEEfagssEmE Figure 8.1 - New Materials Licensing Process Vision. The new licensingprocess links the materials licensing community.

After validating and updating the vision (as described earlier), the team began to define both the benefits and impacts of the new design. The principal components of the license granting process are illustrated in Figure 8.2.

i NUREG - 1539 8-2

~

VISION OF THE FLTTURE Gas Chromatogthp.

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{7,37 2jjyj Q Gatekeepw

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NRC Uconsing Tool Set Ucense Consolidated Ouhsance and Referecce Technical 3

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_ Broad Scope'.

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l Figure 8.2 License Granting Paths. Each application will be reviewed based on its complexity and associatedissues.

Significantly different products are required to support the new process. Central to this i

new licensing process is the development of the Materials Electronic Library (MEL) l repository. The concept for this repository is depicted in Figure 8.3.

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8-3 NUREG - 1539

vlSloN of TiiE FUTURE Collect and Analyze Existing Guidance Collect all existing guidance identify redundant, contradictory, and missing guidance a

Capture existing electronic copy in separate Groupware data bases for writing team use i

Source Material

[

^

1.0 Intro to MEL (How to use MEL)

I 2.0 into to Licensing (How are materials licensed)

MEL

[

3.0 Licensed Material (Data requirements for Licensees) g E*

- ~ ' '{ +

4.0 Radiation Safety Program (Generic Program) 11 5.0 Program Specific (Specific Guides for each Program) 6.0 Model Procedures (Procedures for each Program) lC E J" y,] M.l;Jl d [

7.0 Inspection / Audit Procedures (Procedures for each Program)

/[ i j. y-SM 7

Figure 8.3 MEL Concept. MEL willconsolidate allNMSSguidance andreference material.

The MEL concept creates a single electronic repository oflicensing guidance for use by NRC staff, licensees, and all other stakeholders. MEL's first four sections will be composed of generic information, modular components that apply to all types of materials licenses and that will be reused in later sections. Sections 5,6, and 7 of MEL will use the same basic structure as Section 4 in MEL, but address specific program code differences from the general model.

l I

NUREG - 1539 84

?

l VISloN OF T}{E FUTURE l

Regulatory products for a particular technology or issue will be produced or updated quickly and in parallel; thus ensuring proper integration. To accomplish this, a cross-l functional team will work in the manner depicted in the example Figure 8.4.

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Fully integrated i

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" War Room" Regulatory Product Set l

storytieards b

El 80 EIM Ucensmg oulde Ucense Rev6 ewer scripts r( &#

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l Inspection ouldes Customer service scripts oreft Regulations intemet Retrievable Files CD ROM Training Materials Application Diskene OGC Facilities

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Users Equipment Headquarters Editor I

Heedquarters R*e'caalE8P*rt

• A 9** '"i 8 '* ***

Radiation i

Training

. Technic al Committe*

Safety Program TTC IRM inspector litustrator

. Headqu arters

. Headquarters Figure 8.4 Accelerated Regulatory Product Set Development. A new, integrated product set will be required to support the newprocess-aproduct set a-

' bled quickly by a cross-functional team assembledfrom across the materials program community using up-to-date development tools andpublishing techniques.

1 8-5 NUREG - 1539

Vision of Tile FtJTURE Management and public review at appropriate points in the process ensures product completeness, quality, and usability. The team will assemble for a short time at the kickoff session and only as needed thereafter, using groupware tools to collaborate as a team without necessarily being physically co-located. At the end of the development cycle, the team will disband.

Team Operating Principles Full Team D Common Purpose Cora Team 8toryboards Kickoff D Define Member Roles Team Leader Assembled Developed Meeeng S Assign Product Leadore Appointed D Develop Communiceuon Links EnHre Team 24 Peopl, D Authertze CroestovelCoordination EN

- Editof f) Management

. lHustsW

. Illustrator Team Review G

Assemble Revise Final Product Dieband

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Products Product

{ Core Team)

Adjustment 4 Team Set A A

e D Management Team Review D Pubtle & Staff Comment

. Groupware Enabled Parallel Product Development Figure 8.5 Product Development Team Operations and Flow. The entireproduct team will meet together at the kickoffmeeting and only as needed thereafter.

NUREG - 1539 86 w

vi510N of Tile FUTURE 8.3 Business Diamond Area Requirements and PotentialImpacts Implementing the new process requires changes in the NMSS licensing community. The discussion in this section centers on the principal changes that must be made before the new process can be implemented. As in prior sections, the discussion is organized around the business diamond areas. This technique forces a disciplined approach to a comprehensive description of the entire magnitude of change in all its dimensions.

l Information and

"" ' SY 00

/

x 8.3.1 Major Process Jobs, Skdis NRC

$*e s" ll Requirements and Potential organ abon Impacts c\\

/

4 Management o

g and Controls (1) Single authoritative database of alllicensing policy and guidance Potential Impact: The new licensing process requires that NRC embody its licensing policy and guidance into an integrated, easily accessible electronic database.

(2) A single process owner Potential Impact: Regions and headquarters all use the same process to issue materials licenses. A single process owner needs to be designated. This owner-manages the materials licensingprocess from beginning to end, has the authority to change the process to make it more efficient and effective, and uses automated work flow tools to ensure that work performed by geographically separated staffis routed and controlled promptly and efTiciently.

(3) Early focus on quality assurance reviews i

l Potential Impact: Moving to any new process will require considerable work to ensure maintaining product quality. Thorough and comprehensive quality assurance reviews must be conducted to ensure that there is no adverse impact on public health and safety.

t 8-7 NUREG - 1539 l

l

VislON oF Tile FUTURE I

l (4) Regulatory Product design center l

Potential Impact: One of the most important components of the new process is a design center for developing regulatory products. This design center draws on staff throughout NRC, and in some of the Agreement States, as a specific knowledge or expertise is needed.

This massive change in developing regulatory products requires creating a skills database l

in order to quickly locate the expertise needed to produce a given product.

I ct

• 0,,

8.3.2 Information and Jobs. Skills Materials NitC Licensing Values and and Technology Requirements organization Process Beliefs and Potential Impacts

1. 0, Management and Controls (1) Selection of new equipment and software Potential Impact: The selection of new equipment and software must conform to NRC's policies and procedures. The process includes-matching existing system capability with new process needs, l

ensuring adequate performance of the new system, and surveying and leveraging existing NRC systems, such as the liigh-Level Waste l

Computing Center.

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NUREG - 1539 8-8

VISloN OF Tile FUTURE (2) Rapid purchase of new equipment and software Potential Impact: A rapid procurement cycle must be initiated to obtain the sele;ted equipment and software. This new procurement cycle includes-resource identification, a

contracting actions, a

warehousing and configuration management of equipment and software as it arrives, a

and a phase-in plan that includes a BPR Phs: 11 laboratory requirement as well as long-a term roll-out implementation requirements (the laboratory for Phase II will be selected and configured with appropriate LAN/WAN support in concert with end users.)

(3) Short-and long-term technology support Potential Impact: IRM support is required to develop new approaches, techniques, and transition plans. NRC needs to identify an overall transition plan and new support contractors, epecially for such areas as ongoing tool development and upgrades.

(4) Significant trainingin new technology Potential Impact: Training requirements take two principal forms:

End users need to upgrade their computer skill base to understand and use Windows-a based applications.

IRM support staff needs "just in-time" training for the new equipment and software.

(5) Migration and transition plans Potential Impact: At the present time various NRC organizations are using " legacy" applications and data, such as LTS and RITS. As long as these databases are in use, the new licensing system must maintain their currency. To leverage new capabilities as they are brought on-line, the new licensing process should be synchronized with the ongoing NRC strategic plan and other IT and document transition initiatives.

8-9 NUREG - 1539

VISloN OF Tile FttrURE l

4 Informatson and

/

Technology 04 1 \\

8.3.3 Jobs, Skills, and Organization t%'n%

y,,,NRC

. aM Process Beliefs O

Management cf g

and Controls (1) Job classifications matched to the new organization Potential Impact: Implementing the vision will potentially include creating newjob descriptions, in the short-term, people may resist change. Some jobs will change dramatically; some job descriptions may disappear. Some people will need significant training before filling the newjobs. In the long run, however, the potential results should be-higher morale throughout NRC, enhanced technical competency, and better matched individuals and jobs.

(2) Employees with new and enhanced skills Potential Impact: NRC will place additional emphasis on team building, meeting management techniques, and interpersonal skills. In addition, the staff will be encouraged to acquire or upgrade their skills in groupware and document management, as well as their generalized computer-based skills.

Participation in the new regulatory product design center will enable and enhance the current slate of technical skills, such as health physics, nuclear engineering, and risk analysis. Document editing and publishing skills will be integral to the new process.

NUREG - 1539 8-10

VisloN OF Tim FUTURE informauon and f

remm q

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8.3.4 Management and Control Job'jki

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.NRC Requirements and impacts organizabon Process Befefs cp (1) Empowered workers Potential Impact: In a self-managed work team (SMWT) environment, managers facilitate and coach the workers. NRC managers would focus on process, not individual, performance to-facilitate such matters as on-line case assignments and productivity issues,

=

support geographically divergent SMWTs in accomplishing various agency

+

goals / missions, and give workers the necessary tools to accomplish theirjobs successfully.

(2) IIighly responsible, accountable team members Potential Impact: New measurements are needed for assessment of team-based performance.

8 11 NUREG - 1539

VISloN of Tile FUTURE Information and

[

Technology Op

/

M er 8.3.5 NRC Values and Beliefs Jobs; Skills Requirements and Impacts organization Process

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/

1. 0r, Managernent and Controls (1) Continued focus on public health and safety Potential Impact: Implementing the new process requires developing and using new diagnostic measures to evaluate the impact on public health and safety. These include measures oflicensee performance (such as reportable events) and agency performance (such as developing regulatory products promptly).

(2) Agency-wide focus on customers PotentialImpact: Decisions on applications and other information requests should be made promptly. All information products should be easy to read and understand as well as technically accurate. To minimize the need for follow-up communications, all needed information should be submitted at the first request. In order to continually imprne the l

process and its products, NRC encourages and enables feedback from all its cu iers.

i (3) NRC as a single team Potential Impact: NRC employees are encouraged to function as team players or coaches.

NRC management and staff are encouraged to adopt the attitude that there is no disgrace in falling down, only in lying there and not getting up. Innovations and risk taking is to be encouraged and rewarded. Lessons should be learned from mistakes, and should be shared without fmger pointing.

NUREG - 1539 8-12 l

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9 Summary 1

This document described the methodology and techniques used by the NRC staff to 1

analyze and ultimately to propose a fundamentally new process for materials licensing.

An overview of the required elements for large-scale change was described. A brief discussion of the team's analysis methodology, associated findings and potential consequences, and redesign ideas followed. A brief overview of how the team used best practices was presented. The licensing process baseline measures were defined and the NMSS licensing vision was presented. The best practice visits, which enabled the team to creatively expand their vision beyond current practice, were provided. Finally, the major changes required to successfully implement the process were discussed.

1 9-1 NUREG 1539

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l Appendix A 1

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l Materials Licensing 4

i BPR Core Team Project Charter 5

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APPENDIX A i

Examine the NRC's current materials licensing process and develop a new materials licensing process design that accomplishes the following i

maintains or raises the level of public safety achieved by the current process perfonns an order of magnitude faster than the current process cxploits modern infonnation technology as a fundamental part of the new process reduces resources to meet 1998-1999 staffing levels i

l To determine any changes required to implement the above goals, you are authorized to examine all related and supporting processes.

l l

You will look outside of the NRC to understand government and commercial best l

practices that are similar to materials licensing-applying them as appropriate to both the l

new materials licensing process design and related and supporting processes change l

recornmendations.

l You will determine licensee readiness for change and consider licensee-provided redesign l

ideas to meet licensees' present and future requirements.

l You will use the established governance model to guide your efforts, reporting as required by the model.

This assignment is full-time during the periods of time when the core team meets and takes precedence over all other duty assignments.

l l

At the end of the project, you will report:

changes to the current materials licensing and related supporting process that can be implemented immediately to achieve dramatic improvements l

a new materials licensing process design that can be implemented l

(unless regulator and/or legislative changes are needed).

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A-1 NUREG - 1539

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i Appendix B Conceptual Picture of the Current Materials Licensing Process

The Current NMSS APPENDIX B Mater. ls Licensing Process ia Step 1:

Step 2:

Step 3:

Step 4:

Initial Cc-tact Submit Application Administrative Fee Processing Processing

-l Applicant Roquest A

e Non-Federal

_ Fee Memo Applicants m ft? ? W W1 m;

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/ Assign mad control #

1. Generalinformation

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/ Determine status of requestor a wh paid f

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B)

/ Send acknvw.wowament letter Treasury Step 5:

Step 6:

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Step 8:

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-Copy of hcense/ amendments B-1 NUREG - 1539

Appendix C Actual NMSS Materials Licensing Process

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Current Technical Assistance Request Process i

APPENDIX D 4 cal Assie nce Request (TAR) Processing un %

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.i-D-1 NUREG - 1539

NRC FORM 335 U.S. NUCLEAR REGULATORY COMMISSION

1. REPORT NUMBER (2-89)

(Assi Supp.gned by NRC, Add Vol.,

NRCM 1102.

, R@v, and Addendum Num-320s, 3202 BIBLIOGRAPHIC DATA SHEET b-

*av- )

(See instrucuans on the reverse)

NUREG-1539

2. TITLE AND SUUTITLE Methodology and Findings of the NRC's Materials Licensing Process Redesign

a. oATe ReeORr euausReo MONTH YEAR April 1996

4. FIN OR GRANT NUMBER b AUlHVH(b)

6. TYPE OF REPORT P. A. Rathbun, K. D. Brown, J. R. Madera, M. Moriarty, Technical J. M. Pelchat, W. K. Usilton, J. E. Whitten, P. C. Vacca

7. eeRiOO COvEneo cinciusive catesj

8. PERFORMING ORGANIZATION - NAME AND ADDRESS Of NRC, provide Divesson, Office or Region. U.S. Nuclear Regulatory Commission, and mail 6ng address; if contractor, provide name and mailing address.)

Division of Industrial and Medical Nuclear Safety Office of Nuclear Material Safety and Safeguards U.S. Nuclear Regulatory Commission Washington, DC 20555-0001

9. SPONSORING ORGANIZATION - NAME AND ADDRESS Of NRC, type "Same as above*; it contractor, provide NRC Division, Off,ce or Region, U.S. Nuclear Regulatory Commission, and mailing address.)

Same as 8. above

10. SUPPLEMENTARY NOTES

11. ABSTRACT (200 words or less)

This report describes the work and vision of the team chartered to redesign the process for licensing users of nuclear materials. The Business Process Redesign team was chartered to improve the speed of the existing licensing process while maintaining or improving public safety and to achieve required resource leve!s. The report describes the team's methods for acquiring and analyzing information about the existing materials !! censing process and the steps necessary to radically change this process to the envisioned future process.

12. kfY WORDS/DESCRIPTORS (List words or phrases that will assist researchers 6n locating the report.)

13 AVAILABluTY STATEMENT Unlimited

14. SECURITY CLASStFICATION Materials Licensing, methodology, licensing process, nuclear materials m,,,,,g Unclassified (This Reporo Unclassified

16. NUMBER OF PAGES

{

16. PRICE NRC FORM 335 (2-89)

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