ML20154R401

Qsp Procedure Approval, Mgt Review Board

ML20154R401
Person / Time
Issue date:	09/23/1998
From:	Bangart R, Lohaus P, Schneider K NRC OFFICE OF STATE PROGRAMS (OSP)
To:
Shared Package
ML20154R080	List: ML20154R076 ML20154R401
References
SA-106-01, SA-106-1, NUDOCS 9810270017
Download: ML20154R401 (12)

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l l OSP Procedure Approval I

Management Review Board- SA-106 Issue Date: September 23,1998 Expiration Date: September 23,1999 Richard L. Bangart Original signed by:

Director, OSP Richard L. Bangart Date:

9/23/98 Paul H. Lohaus Original signed by:

Deputy Director, OSP PaulH. Lohaus Date:

9/23/98 Kathleen N. Schneider Original signed by:

Procedure Contact, OSP: Kathleen N. Schneider Date:

9/23/98

-- NOTE' The OSP Director's S'ecretary is responsiblefor the maintenance ofthis master copy document as part ofthe OSP Procedure Manual. Any changes to theprocedure will be the responsibility of the OSP Procedure Contact. Copies of OSPprocedures willbe distributedforinformation.

9810270017 981014 PDR STPRQ ESGGEN PDR

1. %% Procedure

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k. . ..l Management Procedure Number:'SA-106 Review Board 9n3/98 I. INTRODUCTION j Per Management Directive 5.6, Integrated Materials Performance Evaluation Program (IMPEP), it is the policy of NRC to evaluate the NRC Regional materials programs and Agreement State radiation control programs in an integrated manner, using common and non-common performance indicators, to ensure that public health and safety are adequately protected and that Agreement State programs are compatible with NRC's program. The Management Review Board (MRB) provides a senior-level review of the IMPEP team's findings and recommendations and issues the final NRC findings to the i Region or Agreement State. For Agreement States, these findings can include decisions regarding the heightened oversight, probation, suspension, or revocation of some or all aspects of the regulatory program discontinued by the NRC and assumed by the Agreement State.

II. OBJECTIVE To provide the guidelines that will be followed by the MRB when conducting MRB meetings for IMPEP reviews and issuing findings for Region and Agreement State programs.

III. BACKGROUND A. The MRB makes the overall assessment of each NRC Region or Agreement State program on the basis of the proposed final report and recommendations prepared by the IMPEP team that conducted the review of that Region or State, including any unique circumstances.

B. The overall MRB assessment includes a consideration ofinformation provided by the Region or State at the MRB meeting.

C. The MRB may also convene to evaluate special reviews of a Region or an Agreement State program conducted to assess a specific program weakness.

IV. ROLES AND RESPONSIBILITIES A. The MRB is responsible for providing the senior level review. Its membership consists of senior NRC managers, or their designees, to include: Deputy Executive Director for Regulatory Programs (DEDR); Director, Office of Nuclear Material Safety and Safeguards (NMSS); Director, Office of State Programs (OSP);

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l SA-106: Mariagement Review Board **8*; 2 *I 6 ' .

Issue Date: 9/23/98 I

Director, Office for Analysis and Evaluation of Operational Data (AEOD); General Counsel; and an Agreement State Liaison to the MRB. A quorum for an MRB meeting consists of at least three voting members of the MRB.' Designees count as part of the quorum.

B. The DEDR, or DEDR's designee, is the Chair of the MRB. The Chair has  !

signature authority for outgoing correspondence resulting from MRB proceedings.

C. The Organization of Agreement States is responsible for specifying a representative to serve as a member of each MRB, as a non-voting Agreement State Liaison. In this capacity, the State representative receives applicable documentation and  ;

engages in all MRB discussions. The Agreement State Liaison representative is  ;

expected to provide an Agreement State perspective on any matter that is discussed or voted on by the MRB. l I

D. OSP is the lead office responsible for the coordination of Agreement State MRBs.

i E. NMSS is the lead office responsible for the coordination of Regional MRBs. )

F. AEOD is the lead office responsible for NRC coordination ofincident response and nuclear material events database-related issues.

V. GUIDANCE 1

A. MRB

1. MRB meetings are to be conducted approximately 74 days from the last day of the IMPEP review in order to issue the final report within 104 days. These meetings are open to the public and published in the weekly notice of"NRC Meetings Open to the Public." MRB meetings may take place beyond the 74th )

day in order to assemble a quorum to accommodate Agreement State / Regional ,

schedules, and/or to incorporate important supplemental material. However, l every effort should be made by OSP and NMSS to meet the timeliness goal for l issuing the final reports in 104 days. 1 1

2. The MRB Chair consults with other MRB members to reach a consensus position on each indicator and,if necessary, provides specific instructions to the IMPEP team leader. If a consensus is not apparent, a vote is taken and a simple majority decides the MRB's position about report revisions.

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SA406:ManagementReviewBoard t Issue Date: 9/23/98 -

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3. In some instances, the overall program adequacy finding and, for Agreement )

States, the compatibility finding, may not be possible at the time of the MRB meeting. In those cases, a report is issued to the Region or Agreement State within the goal of 104 days that addresses both completed review findings and l the status of outstanding issues. A report supplement will be issued when the outstanding areas are finally resolved by the MRB.

4. The MRB may choose to go into an executive session during the public l meeting at the discretion of the MRB Chair. Any voting in an executive l session will be reported in the public meeting.

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5. If the MRB recommends that NRC commence proceedings to initially place an Agreement State or Regional program on heightened oversight as outlined in MD 5.6, OSP or NMSS is the lead for preparation of a memorandum to the Commission. (See Appendix A).

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a. Heightened oversight could include requests for an Agreement State / Regional program improvement plan, NRC/ State management meetings, periodic program progress reports, periodic NRC/ Agreement State conference calls, and a follow-up review by the IMPEP team. The MRB will designate a recommended period of time for the heightened oversight, usually not to exceed one year,

b. The MRB will consider lifting the heightened oversight status after a follow-up review conducted by an IMPEP review team or after a similar review conducted by OSP, NMSS or c. Region if no follow-up review is conducted. The MRB will consider the improvements implemented by the program and the resolution of the IMPEP review team's recommendations directly related to the program's adequacy.

c. In the event the Agreement State does not correct the deficiencies that led to the heightened oversight within the designated time frame and extenuating circumstances do not exist, OSP will prepare at the direction of the MRB, a Commission paper requesting approval for the appropriate actions to take regarding the Agreement State program. This Commission paper will include the status of the Agreement State program, recommendations of the MRB and any other pertinent information. (See Appendix B for a sample Commission paper.) In the event the Region does not correct such deficiencies. additional corrective actions will be addressed internally on a case-by-case basis. (See Section V.A.9.)

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6. If the MRB recommends that NRC initiate proceedings to place an Agreement State program on probation, OSP Procedure SA-113, Placing an Agreement State on Probation, should be followed.

7. If the MRB recommends that NRC initiate proceedings to suspend an l Agreement State program, OSP Procedure SA-114, Suspension ofa Section 274b Agreement, should be followed. j

8. If the MRB recommends that NRC initiate proceedings to terminate an Agreement State program, OSP Procedure SA-115, Termination ofa Section 274b Agreement, should be followed. l l

9. If a finding of" Adequate, But Needs Improvement"is made of a Region, the  !

MRB (including the Director, NMSS) will consult with the Executive Director for Operations to determine what remedial steps need to be taken and will inform the Commission accordingly. Program probation, suspension, and I termination are not applicable to Regional programs. NRC must implement {

immediate action to correct Regional program deficiencies that are similar to )

those that would warrant probation, suspension, or termination actions for an '

Agreement State.

B. OSP

1. For Agreement State MRBs where OSP is the coordinating office, the OSP l lead secretary ensures that MRB meetings are announced using Form 549, l "Public Meeting Announcement Data Input" and are open to the public. .

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2. The OSP senior project manager for IMPEP coordination is responsible for providing all relevant correspondence (i.e., draft report, State responses, proposed final report, meeting agenda) to the MRB, the IMPEP team, and other attendees, at least seven days in advance of meeting as described in Appendix C.

3. The OSP lead secretary in consultation with the IMPEP team leader, coordinates attendance at the MRB meeting with the representatives of the Agreement State under review, the IMPEP review team members, and an Agree ,ent State Liaison including invitational travel for attendance at the meeting. Attendance by Agreement State and NRC Regional participants through a video conference is encouraged whenever possible If the State or

l SA-106: Managhment Review Bbard- '**'"*"

Issue Date: 9/23/98 Regional representative (s) will not be physically attending the meeting, l arrangements for video conference or teleconference should be made by the l OSP lead secretary. l l

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4. The OSP senior project manager for IMPEP coordination is responsible for the minutes of MRB meetings which summarize major discussions, and do not attempt to provide verbatim accounts of the proceedings. Preparation and dissemination of meeting minutes are the responsibility of OSP, unless otherwise stated. Minutes of the preceding meeting are approved by the MRB in its next meeting or through mail. Following MRB approval, the minutes.  !

become a matter of the public record. 1 C. NMSS

1. For Regional MR.Bs where NMSS is the coordinating office, the NMSS IMPEP team leader ensures that MRB meetings are announced using Form 549,"Public Meeting Announcement Data Input" and are open to the public.

2. The NMSS IMPEP team leader is responsible for providing all relevant correspondence (i.e., draft report, Regional responses, proposed final report, meeting agenda) to the MRB, the IMPEP team, and other attendees, at least seven days in advance of meeting as described in Appendix C.

3. The NMSS IMPEP team leader coordinates attendance at the MRB meeting with the representatives of the Region under review, the IMPEP review team members, and an Agreement State Liaison. NMSS senior program analyst will contact OSP for invitational travel for Agreement State Liaison and Agreement State IMPEP team member attendance at the meeting. Attendance by Agreement State and NRC Regional participants through a video conference is encouraged, whenever possible. If the State or Regional representative (s) will not be physically attending the meeting, arrangements for video conference or teleconference should be made by NMSS.

4. The NMSS team leader is responsible for the minutes of MRB meetings which summarize major discussions, and does not attempt to provide verbatim accounts of the proceedings. Preparation and dissemination of meeting minutes are the responsibility of NMSS, unless otherwise stated. Minutes of the preceding meeting are approved by the MRB in its next meeting or through mail. Following MRB approval, the minutes become a matter of the public record.

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VI. APPENDICES - Draft Samples Appendix A - Memorandum from EDO to Commission on Heightened Oversight of an Agreement State Appendix B - Commission Paper Requesting Approval Regarding the Status of Heightened Oversight for an Agreement State Appendix C - Memorandum to the Management Review Board on the MRB meeting VII. REFERENCES

1. NRC Management Directive 5.6, Integrated Materials Perfonnance Evaluation Program, November 25,1997.

2. OSP Procedure SA-113, Placing an Agreement State on Probation, February 5, 1997.

3. OSP Procedure SA-114, Suspension ofa Section 274b Agreement, February 5, 1997.

4. OSP Procedure SA-115, Tennination of a Section 274b Agreement, February 5, 1997.-

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' Appendix A DRAFT SAMPLE: Memorandum from EDO to Commission on Heightened Oversight of an l Agreement State / Region i MEMORANDUM TO: Chairman [Name]'

Commissioner [Name]

" Commissioner [Name]

FROM: Executive Director for Operations:

]

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SUBJECT:

HEIGHTENED OVERSIGHT STATUS FOR THE [NAME

' AGREEMENT STATE PROGRAM / REGION]

The Integrated Materials Performance Evaluation Program (IMPEP) review of the (State / Region]

program was conducted [date).EAs a result of this review and results of the Management Review Board meeting held [date], the NRC found that [ State's/ Region's] regulatory program [is a'dequate but needs improvement and compatible /not compatible] ' Accordingly, t_he IMPEP team staff recommended and the MRB concurred that [ State / Region] be place on heightened oversight during the next year.

[This section should contain facts'concerning the State's/ Region's program, and why heightened oversight is necessary. Reviews, Management Review Board Meetings, commitments from the State / Region and discussions and correspondence with the State / Region addressing the

. deficiencies should be documented.]

((This paragraph should be included only for Agreement States]

The review team and staff have considered whether emergency suspension of the [ State] program is necessary to assure public health and safety and concluded that no immediate danger to public

' health and safety exists.

Heightened oversight willinclude requests for an [ Agreement State / Region] program improvement plan, periodic [ Agreement State / Region] progress reports, periodic

[NRC/ Agreement State or NRC/ Regional] conference calls, and a follow-up review by the

.IMPEP team. In the event the [ Agreement State / Region] does not correct the deficiencies that led to the heightened oversight within the one year time frame and extenuating circumstances do not exist, staff will prepare a Commission paper requesting approval for the appropriate actions

. to take regarding the [ Agreement State / Region] program. The need for additional remedial

actions by a Region will be monitored by NMSS (via the Operating Plan) on at least a quarterly basis with actions coordinated through the EDO.

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Appendix B DRAFT SAMPLE: Commission Paper Requesting Approval Regarding the Status of Heightened Oversight for an Agreement State EQR: The Commissioners FROM- Executive Director for Operation 1

SUBJECT:

STAFFS ' RECOMMENDATIONS REGARDING [ STATE'S] AGREEMENT STATE PROGRAM .

PURPOSE:

To present the results of the staff review of the [ State] program during the heightened oversight period, the Management Review Board's (MRB) recoramendation for [ continued heightened oversight, probation, suspension, or termination] of the [ State] Agreement.

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SUMMARY

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- A follow-up review of [ State's] Agreement State program was conducted on [Date]. As a result  ;

oithis review and results of the .MRB meeting, the staff found that [ State's] regulatory program had not implemented sufficient improvements to eliminate NRC concerns about the adequacy of '

' the [ State's] program. [ Generally describe the new or ongoing deficiencies and status of State's efforts to address deficiencies.]

The MRB recommends [ continued heightened oversight, probation, suspension, or termination]

of the [ State] Agreement.

plSCUSSIOE:

[This section should contain facts concerning the State's program and why the MRB action is ,

desirable. Reviews, Management Review Board Meetings, follow-up reviews and discussions )

and correspondence with the State addressing the deficiencies should be documented.]

COORDINATION: This paper has been coordinated with the Office of the General Counsel, which has no legal objection.

RECOMMENDATION: That the Commission:

4. Aporove the MRB recommendation for [ continued heightened oversight, probation, suspension or termination] in accordance with procedures.

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2. Notify the (State] of the Commission action.

Executive Director for Operations Attachments:

-_ As stated )

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Appendix C DRAFT SAMPLE: Memorandum to the Management Review Board on the MRB meeting MEMORANDUM TO: Deputy Executise Director for Regulatory Programs

, ' Director, Ofing iState Programs i

Director, Office of Nuclear Material Safety -

and Safeguards

~ General Counsel ,

l Director, Office for Analysis and Evaluation of Operational Data -

i FROM: Deputy Director, Office of State Programs i

[OR]  !

Director Division of Industrial and Medical Nuclear Safety

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Office of Nuclear Material Safety and Safeguards

SUBJECT:

INTEGRATED MATERIALS PERFORMANCE EVALUATION PROGRAM (IMPEP) REVIEW OF [ STATE /

REGION] RADIATION CONTROL PROGRAM This memorandum transmits to the Management Review Board (MRB) a proposed final report

- (Attachment 1) documenting the IMPEP review of the [ State / Region] Radiation Control Program. The review of the [ State / Region] program was conducted by an interoffice team during the period [date].- The team issued a draft report to (State / Region] on [date], for factual comment. [ State / Region] sent factual comments by [ letter / memorandum] dated [ dated] from

. [Name], (Attachment to proposed fm' al report).

The review team found [ State's/ Region's'] performance with respect to each of the performance

- indicators'to be [ satisfactory, satisfactory with recommendations for improvement or unsatisfactory.] [Accordingly, the. team recommends that the MRB. find the [ State's] program to be [ adequate to protect public health and safety, adequate but needs improvement, or inadequate to protect public health and safety] and [ compatible or not compatible] with NRC's program.]

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[Accordingly, the team recommends that the MRB find the [ Region's] program to be [ adequate to protect public health and safety, adequate, but needs improvement, or inadequate to protect public health and safety].]

The MRB meeting to consider the [ State / Region] report is scheduled for [ day, date,] from [ time]

- [ time] in [ location]. In accordance with Management Directive 5.6, the meeting is open to the

. public. The agenda for that meeting is attached (Attachment 2).

If you have any questions prior to the meeting, please contact me at [ phone number] or IMPEP team leader at [ phone number).

Attachments:

As stated cc: [ State / Region representative]

Agreement State Liaison to MRB L

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' Agenda for Management Review Board Meeting

[ day, date, time, location]

1. Convention. MRB Chair convenes meeting and introduces MRB members and Agreement State Liaison to MRB. [ Chair, MRB]

2. New Business - Consideration of [ State / Region] IMPEP Report.

A. Introduction ofIMPEP Team Members. [IMPEP Team Leader]

B. Introduction of [ State / Regional] representatives and other representatives participating through telephone bridge. [OSP senior project manager /NMSS senior program analyst]

C. Findings regarding (State / Region] Program. (IMPEP Team)

Status ofInspection Program Technical Staffing /fraining Technical Quality of Licensing Technical Quality ofInspections Response to Incidents / Allegations

[And the applicable following non-common performance indicators]

Legislation and Regulations Scaled Source and Device Evaluation Program Low-Level Radioactive Waste Disposal Program

- Uranium Recovery Program Regional Fuel Cycle Inspection Program Site Decommissioning Management Plan D. Questions. (MRB Members)

E. Comments from [ State / Region]

F. MRB Consultation / Comments on Issuance of Report. [MRB Chair]

MRB decisions on IMPEP review findings.

Recommendation for next IMPEP review.

. 3. Old Business - Approval of MRB Minutes. [OSP senior project manager /NMSS senior

' program analyst) 1

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L'4 1 Status of Upcoming Reviews. ((OSP senior project manager /NMSS senior program analyst]

5. Adjournment. [MRB Chair] l

-1 Invitees: [MRB members, IMPEP review team NRC staff attendees, State attendees,

. Regional attendees]

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