ML20151L361
| ML20151L361 | |
| Person / Time | |
|---|---|
| Issue date: | 12/19/1985 |
| From: | Taylor J NRC OFFICE OF INSPECTION & ENFORCEMENT (IE) |
| To: | Jennifer Davis, Harold Denton, Heltemes C NRC OFFICE FOR ANALYSIS & EVALUATION OF OPERATIONAL DATA (AEOD), NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS), Office of Nuclear Reactor Regulation |
| Shared Package | |
| ML20151L366 | List: |
| References | |
| NUDOCS 8512300302 | |
| Download: ML20151L361 (5) | |
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UNITED STATES
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MC11 E MEMORANDUM FOR: Harold R. Denton, Director, NRR Clemens J. Heltemes, Director, AE00 John G. Davis, Director, NMSS Thomas E. Murley, Regional Administrator, RI J. Nelson Grace, Regional Administrator, RII James G. Keppler, Regional Administrator, RIII Robert D. Martin, Regional Administrator, RIV John B. Martin, Regional Administrator, RV F' ROM: James M. Taylor, Director, IE
SUBJECT:
PROCEDURE FOR AUGMENTED INVESTIGATION TEAM (AIT)
RESPONSE TO OPERATIONAL EVENTS The subject procedure 'is enclosed for your interim use and comments. This procedure has been prepared in response to SECY-85-208 of June 10, 1985.
Items 17 and 18 under Discussion in SECY-85-208 specifically address the AIT response.
Your comments are requested by January 15, 1986. Please provide a copy of your coments to Henry Bailey of this office and to Wayne Lanning, AE00.
5 - ,
Jaffles M. Ta r, irector
/0ffi e of I'yspection and Enforcement
Enclosure:
As stated
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PROCEDURE FOR AUGMENTED INVESTIGATION TEAM (AIT)
RESPONSE TO OPERATIONAL EVENTS 01 COVERAGE This procedure establishes the objectives, responsibilities, and basic requirements for augmented investigation team (AIT) rasponse to operational events. AIT response to a transient or incident provides for prompt head-quarters augmentation of the region's onsite event investigation. This procedure is only applicable to onsite investigations classified as AIT responses by NRC staff management. This procedure is not applicable to emergency actions taken in accordance with the NRC Incident Response Plan (NUREG-0845).
For background, the reader is referred to NRC Manual Chapter 0515
" Operational Safety Data Review" and to NRC Manual Chapter 0514. "NRC Inci-dent Investigation Program." This procedure is a specialized procedure within the scope of the prompt data review and follow-up actions required in Chapter 0515. The activities described in this procedure are for inves-tigations of events of less potential significance than the events investi-gated by the Incident Investigation Team (IIT) described in Chapter 0514.
This procedure does not include: (1) An investigation of proposed licensee actions to correct the cause of the event, (2) Licensee actions taken or planned to be taken prior to resumption (or continuation) of plant operation, or (3) Recommendations for enforcement actions by the NRC.
02 OBJECTIVES 021 To augment regional personnel with headquarters personnel for onsite fact-finding investigations of certain events.
022 To communicate the facts surrounding the events ' investigated to regional and headquarters management.
023 To identify and communicate-any generic safety concerns related to the events investigated to regional and headquarters management.
024 To document the findings and conclusions of the onsite investigation.
03 RESPONSIBILITIES AND AUTHORITIES An AIT response to an event normally involves the coordinated activities of the following NRC Offices: IE, NRR, AEOD, and the regions. (Forevents involving safeguards, NMSS would also participate.) Additionally, other offices shall provide. support as needed to assure an effective AIT response to designated events. However, any of the above headquarters offices may, in coordination with the regions, implement an AIT response. The regional Approved:
AUGMENTED INVESTIGATION TEAM (AIT) RESPONSE TO OPERATIONAL EVENTS administrator and the director of the above headquarters office (s) (or their designated representatives) will jointly decide when an AIT response is to be implemented. After a decision to. implement an AIT response, the above offices will coordinate this implementation. The region normally will have the lead for implementation, including the preparation of a
" Report of AIT Response" as discussed in Section 07. The lead may be transferred to another office by mutual consent through a Task Interface Agreement (TIA). It's not necessary to have a representative from each office on the AIT. The need for any particular office to be represented will depend upon the nature of the event and the technical expertise required for evaluation. Unresolved matters related to an AIT response may be referred to the ED0 as appropriate.
It is recognized that the range of possible events which may be encountered is very broad. This inspection procedure should not be construed as limit-ing the AIT's authority and responsibility to pursue all aspects of an event. However, safety concerns raised that are not directly related to the event under investigation should be reported to headquarters and/or regional management for appropriate action by the normal responsible NRC organizations.
The regional office will report in the Daily Staff Notes to the EDO when an AIT response is implemented.
04 SELECTION AND SCOPE OF EVENTS FOR AIT RESPONSE The most significant plant events will be investigated by the IIT. Some events should not initiate a full onsite IIT response but deserve an onsite AIT response.
Onsite AIT response is expected to result from events that:
- Result in multiple failures in safety related systems.
- Have possible adverse generic implications.
- Are complicated and tN root cause is unknown or difficult to understand.
- Involve significant system interactions.
Involve questions on operator or licensee management perfonnance.
The scope of the AIT response should be defined as early as practical and should be limited to issues that are closely related to the event. The offices that implement the AIT response should initially define this scope for the team leader. The scope may be revised during the inspection. The length of the AIT response should normally be one week or less.
If at any point in an AIT response, the EDO determines that an IIT is warranted, then the AIT will be expanded or replaced as appropriate in accordance with IIT procedures.
Approved:
s AUGMENTED INVESTIGATION TEAM (AIT) RESPONSE TO OPERATONAL EVENTS 05 INSPECTION REQUIREMENTS 051 Initial Actions of AIT
- a. Evaluate the significance of the event, performance of safety systems, and actions taken by the licensee,
- b. When possible, assure that the licensee preserves in an undisturbed state those components that misoperated or failed in the event. Reauest the licensee to inform the NRC before initiating repairs of failed equipment. The actions in this item, however, must be secondary to plant safety.
052 Follow-up Actions. Review and collect the information for a detailed evaluation of the event. The following items should be considered.
- a. Details regarding .the root cause(s) of the event.
- b. Event chronology.
- c. Functioning of safety systems as required by plant conditions.
- d. Equipment failures that occurred during the event.
- e. Consistency of licensee actions with license requirements, approved procedures, and the nature of the event.
- f. Radiological consequences (onsite or nffsite) and personnel exposure, if any.
- g. Verification that plant and systen performance were within the limits of analyses described in the Final Safety Analysis Report (FSAR).
06 TEAM MEMBERS SELECTION AND TRAINING The AIT leader will normally be from the regional office. AIT members will be chosen from a roster of personnel maintained by the Office of AE00.
This roster will also contain the record of special training each team member has received for AIT response. The Offices of IE, NRR, AE00, NMSS, and the regions will each maintain at least six persons on this roster.
The AIT should be assigned members with expertise in the specific areas of concern. There is no limit to the number of members; however, any event requiring more than five members would normally be investigated by an IIT.
The Office of AE00 will define and administer the training program for AIT members. The formal procedures for. fact finding / data collection (when used) will be those used by the IIT as appropriate.
Approved:
AUGMENTED INVESTIGATION TEAM (AIT) RESPONSE TO OPERATIONAL EVENTS 07 DOCUMENTATION k The AIT leader will determine if interviews and meetings will be recorded and then will follow-up as appropriate. The Office of AE0D will provide resources for any formal fact finding / data collection.
The AIT leader will submit a daily PN to the regional office during the onsite investigation and 'other information as appropriate. The regional office will disseminate this information to the headquarters offices.
The AIT leader shall promptly submit a special " Report of AIT Response" to the regional office at the conclusion of an AIT response. The regions will transmit the final report to the Offices of NRR, IE, NMSS, and AEOD. This report should describe the following:
- Description of transient
- Sequence of events
- Equipment failures Human factor deficiencies
- Radiological consequences The Office of AE0D shall maintain a list of all AIT Reports that will allow prompt access of the reports in the document control system.
08 FOLLOW-UP Licensee corrective actions, licensee actions prior ' to restart, and NRC enforcement actions shall be through the r.ormal organizational structure and procedures.
Recommendations for follow-up actions such as changes in inspection programs, issuance of information notices, bulletins, or generic letters shall also be through the normal organizational structure and procedures.
Approved:
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