ML20135C865
| ML20135C865 | |
| Person / Time | |
|---|---|
| Issue date: | 12/04/1996 |
| From: | Berkow H NRC (Affiliation Not Assigned) |
| To: | NRC (Affiliation Not Assigned) |
| References | |
| NRRL-116, NUDOCS 9612090124 | |
| Download: ML20135C865 (6) | |
Text
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OFFICE OF NUCLEAR REACTOR REGULA TION l
Office Letter Transmittal T0:
All NRR Employees 1
$U8 JECT:
NRR OFFICE LETTER NO. 116, REVISION 2, " PROCEDURES FOR l
MANAGING THE IMPLEMENTATION OF NEW REGULATIONS" PURPOSE:
This office letter establishes a formal process for the periodic management review of implementation of new regulations. This formal review process is intended to ensure that rules for which NRR has implementation and i
oversight responsibility are implemented consistent with the original intent of the rule.
NRR Office Letter No. 116, l
Revision 2, supersedes NRR Office Letter No. 116, Revision l
1, dated June 17, 1996.
Revision 2 provides additional and l
clarified guidance.
Substantive changes are indicated by bars in the right margin.
i DIVISION OF ORIGIN:
Division of Reactor Projects - I/II i
l CONTACT:
H. Berkow, 415-1485 DATE APPROVED:
December 4, 1996 AVAILABILITY:
Roberta Ingram, 415-1219 V'
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NRR OFFICE LETTER NO.116, REVISION 2 PROCEDURES FOR MANAGING THEIMPLEMENTA TION OF NEW REGULA TIONS P.9tK1 This office letter establishes a formal process for the periodic management review of implementation of new regulations. This formal review process is intended to ensure that rules for which NRR has implementation and oversight responsibility are implemented consistent with the original intent of the rule. NRR Office Letter No. 116, Revision 1, " Procedures for Implementation of New Regulations," was issued on June 17, 1996.
Revision 2 provides additional and clarified guidance.
OBJECTIVES Use of the management review process described in this letter will ensure that implementing guidance is properly issued and that there is consistency between the rule and its implementing guidance when rule issuance precedes its implementing guidance. The management review process also provides the status of NRC and licensee activities regarding implementation of new regulations.
BACKGROUND In developing new regulations, adequate planning should be done to ensure all implementing guidance (e.g., regulatory guides, standard review plan, inspection guidance) is developed and issued with the rule.
The implementing guidance should be part of the rule development process and the Director's Monthly Status Report provides a convenient vehicle to track the status and milestones for development of implementing guidance. Although concurrent development of a new rule and its implementing guidance may be the best approach in terms of ensuring a greater degree of review and consistency, there have been instances in which new rules have beea issued and implementing guidance was developed at a later time.
For these cases, plans for management review of implementation guidance and oversight of rule implementation will be developed.
RESPONSIBILITIES AND AUTHORITIES Director. NRR Assigns rule implementation acticns to the appropriate Associate /
l Division Director.
Approves the implementation plan.
Decides whether any implementation issues and proposed resolutions should be raised to the ED0 or the Commission for review and approval.
Reviews the progress of implementation.
Approves major changes to the implementation plan.
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NRR Executive Team Reviews the implementation plan, certain changes to the plan, and l
l summary reports and makes appropriate recommendations to the Director, NRR.
Coanizant Division Director i
Assigns a lead Branch or Project Directorate and a lead project or technical staff person, as appropriate (NRR Lead Staff Person) l Develops and executes the implementation plan and schedule.
l Prepares and submits periodic status summary reports to the Director, NRR, on the schedule identified in the implementation plan, identifying key issues and recommended solutions.
Provides periodic status reports to the Director, NRR, of implementation progress, identifying implementation problems and proposed solutions.
Provides justification when an implementation plan is not needed.
Prepares an implementation plan and schedule if all implementing l
l guidance has not been developed and issued in conjunction with the rule.
l Prepares the implementation plan status reports for management review.
The reports are prepared approximately every six months consistent with the schedule in the implementation plan.
l Prepares semi-annual status reports of implementation progress and problems for management review.
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BASIC REQUIREMENTS i
I.
Imolementation Plan The implementation guidance
- for new regulations establishes the preferred acceptance criteria and provides methods for assessing approaches that do not meet the preferred criteria. To ensure consistency, all implementation l
guidance should be developed and issued along with the rule.
However, if any l
implementation guidance is developed after a rule is issued, the staff responsible for implementing the new rule will prepare an implementation plan and schedule and will issue the plan within 3 months of issuing the rule.
l These procedures are applicable to all rules and regulations for which NRR has implementation or oversight responsibility.
If all implementation guidance is issued with the rule and no further guidance is anticipated or planned (i.e.,
no inspection guidance, changes to the standard review plan, or other guidance issuance is planned), an implementation plan is not required.
If an implementation plan is not provided, the responsible Division Director will document the basis in a memorandum to the Director, NRR.
- Implementation guidance includes regulatory guides, NUREGs, standard i
review plan, and inspection guidance.
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The implementation plan will identify
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the need for any additional requirements (e.g., license conditions or l
technical specifications)
NRC plans for pre-or post-implementation review NRC plans for inspection of licensee implementation (i.e., the need for I
a Temporary Instruction) key issues that need to be addressed in development of the l
l implementation guidance in-house staff training to facilitate implementation l
e NRC plans for public inv61vement, including co'mments from affected l
stakeholders, workshops, and regional meetings l
schedules for activities described in che plan l
NRC organizations, including roles and responsibilities, that are required to be involved in the development and execution of the l
implementation plan resources needed for development of implementation guidance r
e major milestones and points that require management review.
e The assigned Division Director will submit the implementation plan to the Director, NRR, and to other members of the NRR Executive Team for review. The Executive Team makes appropriate recommendations to the Director, NRR, who approves the implementation plan and determines if it is necessary to raise any of the implementing issues or proposed resolutions to the ED0 or the Commission.
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Periodic Review of Develooment of Imolementation Guidance l
The implementation plan will include a schedule of major milestones and points that require management review before proceeding. The assigned Division Director will conduct periodic reviews (as identified in the implementation plan, but no less frequently than every six months), provide a summary report 1
of the progress in development of implementation guidance, and update the plan I
as necessary.
The summary report will ioer.tify key issues and recommended solutions and will be submitted to the Director, NRR, with copies to the other l
l members of the Executive Team, who will make appropriate recommendations to the Director, NRR.
The following constitute major plan changes:
changes in lead division responsibility (division responsible for implementation) l changes in the approach to implementation (e.g., pre-or post-implementation review) changes in approach to obtaining public comment (e.g., formal notice, workshop, public meeting) schedule changes of 2 months or more.
Other plan changes will be approved by the responsible NRR Associate Director.
l The periodic reviews will continue until all implementation guidance has been developed and issued.
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III. Semi-Annual Review of Imolementation of New Reauirements When the implementation guidance has been approved and issued, whether issued with the new rule or at a later time, the implementing organization will conduct semi-annual reviews of how the rule is being implemented. The lead implementing division will prepare semi-annual status reports that identify l
status of all items in the implementation plan l
status and progress of licensee implementation, and status of NRC review and inspection problems identified during rule implementation l
proposed resolutions / options for problems identified during rule e
implementation.
The status reports will be submitted to the Director, NRR, and to other members of the Executive Team who will make appropriate recommendations to the Director, NRR. The semi-annual reviews will continue until the rule is fully implemented, as determined by the NRR Lead Staff Person.
l EFFECTIVE DATE This office letter is effective immediately.
REFERENCES Management Directive 6.3, "The Rulemaking Process."
cc:
J. Taylor, EDO J. Milhoan, DEDR Regional Administrators SECY OGC PUBLIC I
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III.
Semi-Annual Review of Imolementation of New Reauirements l
When the implementation guidance has been approved and issued, whether issued with the new rule or at a later time, the implementing organization will conduct semi-annual reviews of how the rule is being implemented. The lead l
implementing division will prepare semi-annual status reports that identify status of all items in the implementation plan status and progress of licensee implementation, and status of NRC review and inspection problems identified during rule implementation
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proposed resolutions / options for problems identified during rule a
j implementation.
The status reports will be submitted to the Director, NRR, and to other members of the Executive Team who will make appropriate recommendations to the Director, NRR. The semi-annual reviews will continue until the rule is fully l
implemented, as determined by the NRR Lead Staff Person.
EfflCTIVE DATE This office letter is effective immediately.
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REFERENCES Management Directive 6.3, "The Rulemaking Process."
cc:
J. Taylor, EDO J. Milhoan, DEDR Regional Administrators SECY OGC PUBLIC Distribution:
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' File Center Branch RF RIngram (original + 5)
DOCUMENT NAME:NRROL116.RV2 l7 To receive. copy orihi. doggnent. indic.t. in the box: c - copy withoui.itachment/enclosur. *E" = Copy w{th ktac lo.ure N" = No copy 0FFICE DRPE:NS1Ql DRPE;4RR l
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NAME HBerko C \\/
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