ML20196C122
| ML20196C122 | |
| Person / Time | |
|---|---|
| Issue date: | 02/08/1988 |
| From: | Murley T Office of Nuclear Reactor Regulation |
| To: | Office of Nuclear Reactor Regulation |
| References | |
| NUDOCS 8802120254 | |
| Download: ML20196C122 (23) | |
Text
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UNITED STATES o
NUCLEAR REGULATORY COMMISSION o
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EIA 0 8 ISUc MEMORANDUM FOR: All NRR Employees FROM:
Thomas E. Murley, Director Office of Nuclear Reactor Regulation SUBJEC1:
NRR OFFICE LETTER NO.1301 - ANALYSIS AND FEEDSACK OF OPERATIONAL SAFETY DATA PURPOSE This office letter presents the Office of Nuclear Reactor Regulation (NRR) procedures for handling the operational safety (NRC) and for providing feedback data reported, developed, or compiled by the Nuclear Regulatory Commission into the licensing, inspection, and safety information programs. This office letter also defines the NRR responsibilities and procedures outlined in NRC Manual Chapter 0515, ' Operational Safety Data Review"; however, it does not supersede the Manual Chapter nor does it repeat all information contained therein. Employees should refer to NRC Hanual Chapter 0515 for additional information and information regarding NRR interface with other NRC offices.
This office letter supersedes IE Office Procedure 0251.
BACKGROUND
- Operational safety data is reported, developed, and compiled by the NRC in the conduct of authorized activities. This operational safety data includes:
licensee event reports (LERs) submitted pursuant to 10 CFR 50.73; NRC inspec-tion and investigation reports; notifications required by 10 CFR Parts 20, 21, and 50 (50.36, 50.55(e), and 50.72); regional morning reports; preliminary notificatier.s of significant operating events; industry reports; reports on operational, safeguards, and security events; Office for Analysis and Evalua-tion of Operational Data (AEOD) reports and studies; and reports of operational experience at foreign facilities.
On a daily basis, the operational data provided in 50.72 reports, region daily reports, Preliminary Notifications, and other operational data are discussed and evaluated during a telephone conference among NRC headouarters organiza-tio15 responsible for event analyses. Operational safety data generated by er submitted to the NRC is routinely distributed to the appropriate NRC offices by 6
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J,. Guil,len, NRR CONTACT:
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theOfficeofAdministrationandResourcesManagement(ARM)usingthe Regulatory Infctmation Distribution System (RIDS). The operational safety data is wioely distributed to ensure that the information is adequately assessed and reviewed. Although the same data may be reviewed by several NRC offices, each review is conducted to satisfy the individual functional responsibility of each office, as outlined in NRC Manual Chapter 0515.
OBJECTIVES To ensure that significant operational safety data is identified, reviewed, and incorporated into NRR licensing, inspection, and safety programs and activities.
RESPONSIRILITIES AND AUTHORITIES Division of Operational Events Assessment (DOEA) 00EA has the lead responsibility within NRR for reviewing operational safety data and coordinating efforts with other NRC offices that share responsibility for operational safety data reviews. This includes the prompt review of operating reactor events reported to the NRC Operations Center pursuant to the requirements of 10 CFR 50.72. DOEA also has the lead responsibility to act on potential generic safety issues identified by DOEA or referred to DOEA by other sources.
DOEA's Events Analysis Branch (EAB) directs and coordinates with AEOD the short-term technical assessment of operating reactor events reported to the NRC Operations Center. EAB obtains the required inferination regarMng an event to ensure that a prompt determination is made regarding:
(1) the safety signifi-cance of the event, (?) the adequacy of the followup actions that are taken by the licensee and the regional office, (3) the NRC individuals to be notified, (4) the need for Headquarters or Comission attention or action, (5) the need for an Augmented Inspection or Incident Investigatien Team response (6) any coordination required with other Federal or State organizations, and (7) the generic implications of the event. Where additional information is required for a proper evaluation of the event, the appropriate licensee or vendor is contacted by EAB. All event followups are performed in concert with the appropriate NRC Project Manager and regional managers / staff. The EAB respon-sibility is only for short-term assessment, and not for long-term followup.
When EAB identifies an operatino reactor event that requires longer-tem or more specialized followup, it contacts the appropriate NRR branch and transfers the responsibility for long-tem followup to that branch. After EAB has transferred the responsibility for the event te another branch, it is the responsibility of that branch to assign a priority to the event followup in relation to other work in the branch and to complete the review as necessary.
EAB follows the status of long-tem assignments and provides NRR manacement with tracking information on a routine basis.
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8 1988 m
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All other operational safety data that does not require prompt review is
-5 systematically screened and assessed by DOEA to identify significant events and 2
detemine the plant-specific and generic safety implications.
If additional j
E infomation is required for a proper evaluation of the safety significance or
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neneric implications of the event. DOEA obtains the needed infomation from the j
Ticensee, vendor, or other NRC office. Where warranted by a particular inci-p llf dent, DOEA coordinates all involvement with the licensee with the NRC Project Manager and in certain cases requests the assistance of those NRR branches that m
have the desired technical expertise to evaluate the safety significance of the I
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occurrence or to obtain background infometton on licensees' or vendors' 5
e previous perfomance and their actions regarding the subject event. DOEA may a
F also transfer the event followp responsibility to the Division of Engineering i
is and Systems Technology, the Division of Reactor Inspection and Safeguards, or A
B to another appropriate branch if best suited for the long-tem followup work j
and resolution.
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a If the reported event is determined not to have generic implications but has a
- j safety significance for a particular licensee, DOEA refers the matter to the 1
appropriate Division of Reactor Projects and regional office for action.
If j
the evaluation of the event indicates that it has potential generic safety 4
significance and that other licensees have not been adequately infomed. DOEA 4
[B takes one or more of the following actions:
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(1)
Issues an NRC Infomation Notice or Pulletin.
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(2) Refers the event to the NRR Inspection, licensing, and Research Integra-2 tion Branch of the Program Management Policy Development and Analysis P
Staff for possible use in revising the inspection program or Standard j
u Review Plan or for referral to the Office of Nuclear Regulatory Research a
h for consideration as a new or revised generic issue.
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(3) Revises the Standard Technical Specifications.
f (4) Refers the event to the NRR Pisk Applications Branch of the Division of Radiation Protection and Emergency Preparedness for an assessment of the
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I significance of the event with reoard to the regulatory applications of
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probabilistic risk assessment (PRA).
(5) Refers the matter to the appropriate Division of Peactor Projects to L
consider notifying the Atomic Safety and Licensing Board or the Atomic i-E Safety and Licensing Appeals Board.
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7L DOEA serves as the focal point of contact with AEOD for the review coordination 2
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of significant foreign operating events identified by AE00. DOEA is also R
responsible for the coordination of NRR's actions in response to AEOD reports and studies (Case Studies, Special Reports, and Engineering Evaluations). The NPR procedure is enclosed.
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Pultiple Addressees
-4 DOEA also har the lead responsibility for developing and implementing a coordi-nated NRC-wide program to manage and track the identification, collection, prioritization, evaluation, and closeout of generic safety issues related to inadequate conformance with NRC requirements. This includes the defects, noncompliances, and construction deficiencies identified from the analysis of 10 CFR Part 21 and 10 CFR 50.55(e) notifications described in NRR Office letter No.1300,"ProceduresforHandling10CFRPart21and10CFR50.55(e)Notifica-tions of Defects, Noncompliances, and Construction Deficiencies."
Reactor Projects Divisions The NRR Reactor Projects Divisions perfonn the overall safety and environmental project management and monitor daily operations of power and non-power reac-tors. The Project Managers (PMs) in the Reactor Project Divisions are involved in the process of reviewing operational data whenever:
(1)aneventoccursat the facility for which the PM has responsibility, (2) comunication between NRC Headquarters staff and the licensee is necessary, and (3) operational data or an event is determined to be safety significant and to affect the PM's facility.
Division of Engineering anti Systems Technology (DEST)
DEST branches provide technical support to DOEA in evaluating operational safety data and determining the safety significance and gsneric implications of an event. This includes the long-tem followup and resolution of events reported pursuant to the reouirements of 10 CFR 50.55(e), 50.72, and Part 21, the review of AEOD studies and recomendations, and the review of problems identified by the regions. The review and followup resoonsibility is trans-ferred after a determination is made by DOEA that a particular DEST branch is better suited to review the data or event. After the transfer, the DEST branch assigns a priority to the data or event followup in relation to other work in the branch and completes the review as requested.
Division of Reactor Inspection and Safecunrds (DRISI DRIS evaluates inforration from selected inspection and investigation reports, recommendations from regional offices and NRC program divisions, and industry reports as a basis for making improvements in the special inspection, safe-guards, and vendor programs and for selecting facilities for special inspections.
The Vendor Inspection Branch (VIB) in DRIS follows up on operational events involving defective or failed components that are identified by them or re-ferred to them by DOEA or other branches. VIB contacts component vendors to gain an understanding of the significance and generic implications of the event i
and inspects vendor shops when an inspection is warranted by the safety signif-icance of the event.
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Multiple Addressees Division of Radiation Protection and Emergency Preparedness (DREP)
DREP evaluates information from selected inspection and investigation reports, reconsnendations from regional offices and NRC program divisions, and industry reports as a basis for making improvements in the licensing and inspection programs for radiation protection, emergency preparedness, and risk assessment.
Inspection Licensing and Research Integration Branch (ILRB)
The ILRR considers operational safety data from the followino sources and interacts with the appropriate NRC branches to update and upgrade the licensing and inspection programs:
(1) results of assessments of regional performance of inspection and licensing activities (2) reconinendations from regional offices, AE00, and NRR divisions (3) reconenendations for program improvement developed from or as part of special inspections (4) reconrendations from DOEA reviews of operational safety data (5) reconenendations for program improvements developed from or as part of the investigation of allegations EFFECTIVE DATE This office letter is effective immediately.
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Thomas E. Murley, Director Office of Nuclear Reactor Regulation
Enclosure:
As stated l
cc: See page 6 l
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Enclosure NRR Procedure for Handlina AE00 Recommendations and Suaaestions The Generic Comunications Branch (OGCB) of the Division of Operational Events Assessment is responsible for the coordination of NRR's actions in response to AE00 Case Studies, Special Reports, and Engineering Evaluations. 0GCB performs an initial review to identify all recomendations and suggestions addressed to NRR and prioritizes each recommendation according to a judgment of its safety significance.
If an item appears to have a high degree of safety significance, OGCB will determine the need for an Information Notice, Generic Letter, Bulle-tin, or other appropriate prompt action.
If the recommendation does not appear to warrant immediate action, OGCB determines whether the recomendation can be addressed by an existing issue (such as a Generic Issue).
If so, the recommen-
'dation is incorporated into the existing issue, with the resolution of the recomendation handled through the resolution of the existing issue.
If the recomendation cannot be addressed by an existing issue, the recomendation is transmitted to the appropriate branch for their review, consideration, and action.
In some cases, the review of or the action requested by a recommenda-tion may require input from several different branches.
If this occurs, OGCB acts as the focal point for this effort.
OGCB also performs an initial screening of AEOD suggestions.
Suggestions identified which are addressed to NRR are transmitted to the appropriate branch primarily for their information and if deemed appropriate for their review and action.
It is not expected that suggestions will involve significant safety issues; therefore, the need for action regarding AEOD suggestions is considered minimal and the schedule for closure of suggestions will be established ac-cordingly.
OGCB also selects and assigns a point of contact within NRR for each recom-mendation and suggestion addressed to NRR.
It is the responsibility of the assigned contact to ensure proper closure of the assigned recommendation or suggestion.
Each identified recommendation and suggestion addressed to NRR is entered into OGCB's AEOD Report Recomendation and Suggestion Tracking System.
This comput-erized tracking system was developed by OGCB to track the status of each recomendation and suggestion through its closure.
Information such as the assigned NRR contact, current status, and target completion date is maintained for each AE00 recommendation and suggestion forwarded to NRR.
In addition, transmission of recommendations and suggestions to the appropriate branch by OGCB is accomplished by a transmittal / closeout memorandum.
0GCB will periodically distribute standard reports which list the assigned contact, current status, and target completion date of each open AEOD recom-mendation and suggestion to be addressed by NRR, and will identify AE00 recomendations and suggestions that have been closed by NRR.
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Once the review of a recommendation has been completed, the assigned contact transmits the review findings to OGCB.
Typical findings may include agreement with the recommendation, disagreement with the recomendation, proposed modifi-cations to the recommendation, or a suggested action identified as necessary to facilitate resolution of the recommendation.
If a specific action had been requested, the assigned contact is responsible for providing formal documenta-tion of disposition of the requested action to OGCB for transmittal to AE00.
During its initial screening, OGCB may determine that the resolution of a recomendation can be accomplished by inclusica into a broader Generic Issue.
In addition, NRR review findings of AE00 recommendations may propose resolution of the recomendation by creation of a new Generic Issue.
When this occurs, OGCB ensures the recommendation is formally transmitted to RES for their con-
. sideration and prioritization, or inclusion into an existing Generic Issue.
In addition, recomendations which suggest such actions as changes to the Standard Review Plan or' development of new regulatory requirements are also coordinated with RES.
When a recommendation is formally transferred to another -
office, OGCB no longer continues to track the implementation status of that item.
OGCB is also responsible for coordinating formal responses to AE00 in accor-dance with the guidance given in NRC Manual Chapter 0515.
NRR will either identify the manner in which each AE00 recomendation will be implemented, including all actions taken or to be taken and a schedule for implementation, or present a basis for rejecting the recommendation.
Although all AE00 sug-gestions will be given consideration by NRR, no formal response to AEOD will be provided.
Each suggestion, however, will be included in the tracking system and closed when the responsible branch has taken appropriate action or made a judgment that no action will be taken.
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' Multiple Addressees FEB 81s3 Division of Radiation Protection and Emergency Preparedness (DREP)
DREP evaluates information from selected inspection and investigation reports, recommendations from regional offices and NRC program divisions, and industry reports as a basis for making improvements in the licensing and inspection programs for radiation protection, emergency preparedness, and risk assessment.
Inspection Licensing and Research Integration Branch (ILRB)
The ILRB considers operational safety data from the following sources and interacts with the appropriate NRC branches to update and upgrade the licensing and inspection programs:
(1) results of assessments of regional performance of inspection and licensing activities (2) recomendations frem regional offices, AEOD, and NRR divisions (3) recommendations for program improvement developed from or as part of special inspections (a) recomendations from DOEA reviews of operational safety data (5) recommendations for program improvements developed from or as part of the investigation of allegations EFFECTIVE DATE This office letter is effective immediately.
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si 31 M c 3 ty Thomc.E. Di10Yas E. Murley, Director rc.
Office of Nuclear Reactor Regulation
Enclosure:
As stated cc: See page 6 DISTRIBUTION TEMurley, hRR JHSniezek, NRR ADT, NRR CERossi, NRR CHBerlinger, NRR JGuillen, NRR EJButcher, NRR WDlanning, NRR FJCongel, NRR I
JGPartlow, NRR FJHebdon, NRR JFunches, NRR I
HSmith,NRR(15)AbjN CThomas, NRR FMiraglia, NRR LCShao, NPR FCentral Filesa DCS t
DOEA R/F OGCB R/F JGuiller,R/F NRC PDR I
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- C/PTSB:NRR ADT/NRR Mzek EFgley l
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01/15/88
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- 00CB:DOEA:NRR
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- C/EAB:DOEA
- C/0GCB:00EA:NRR *D/DOEA:NRR JGuillen TechEd WDLanning CHBerlinger CERossi j
09/28/87 10/C8/G7 12/23/P7 12/11/87 12/11/87 i
' Multiple Addressees
- DivisionofRadiationProtectionandEmergencyPreparedness(DREPJ DREP evaluates information from selected inspection and investigation reports, recommendations from regional offices and NRC program divisions, and industry reports as a basis for making improvements in the licensing and inspection programs for radiation protection, emergency preparedness, and risk assessment.
Inspection, Licensing and Research Integration Branch (ILRB)
The ILRB considers operational safety data from the following sources and interacts with the appropriate NRC branches to update and upgrade the licensing and inspection programs:
(1) results of assessments of regional performance of inspection and licensing activities (2) recomendations from regional offices, AE00, and NRR divisions (3) rectanendations for program improvement developed from or as part of special inspections (4) recommendations from DOEA reviews of operational safety data (5) recomendations for program improvements developed from or as part of the investigation of allegt.tions EFFECTIVE DATE This office letter is effective imediately, Thomas E. Murley, Director Office of Nuclear Reactor Regulation
Enclosure:
Memo dated 12/16/87 from J. Sniezek to C. Heltemes cc: See next page DISTRIBUTION TDurley, URR JHSniezek, NRR ADT, NRR CERossi NRR CHBerlinger, NRR JGuillen, NRR EJButcher, NRR WDLanning, NRR FJCongel, HRR JGPartlow, NRR FJHebdon, NRR JFunches, NRR HSmith,NRR(15)
CThomas, NPR FMiraglia, NPR LCShao, NRR Central Files DCS DOEA R/F OGCB R/F JGuillen R/F NRC PDR
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- 0GCB:00EA:NRR
- PPMB: ARM
- C/EAB:D0EA
- Ci0GC8:00FA:NRR *D/DOEA:NRR JGuillen TechEd WDLanning CHBerlinger CERossi 09/28/87 10/08/87 12/23/87
!?/11/87 12/11/87
Multiple Addressees -
Divis_i_on of Radiation Protection and Emeroency Preparedness (DREP)
OREP evaluates information from selected inspection and investigation reports, recommendations from regional offices and NRC program divistors, and industry reports as a basis for making improvements in the licensing and inspection programs for radiation protection, emergency preparedress, and risk assessment.
Inspection, Licensing and Research Inteoration Branch (ILRB)
The ILRB considers operational safety data from the following sources and interacts with the appropriate NRC branches to update and upgrade the licensing and inspection programs:
(1) results of assessments of regional performance of inspection and licensing activities (2) recomendations from regional offices, AEOD, and NRR divisions (3) recommendations for program improvement developed from or as part of special inspections (4) reconwendations from DOEA reviews of operational safety data (5) recommendations for program improvements developed from or as part of the investigation of allegations EFFECTIVE DATE This office letter is effective immediately.
Thomas E. Murley, Director Office of Nuclear Reactor Regulation ec: See next page DISTRIRUTION TENurley, NRR JHSniezek, NRR ADT, NRR CERossi. NRR CHBerlinger, NRR JGuillen, NRR EJButcher, NRR WDLanning, NRR FJCongel, NRR JGPartlow, NRR FJHebdon, NRR JFunches, NRR HSmith,NRR(15)
CThomas, NRR FMiraglia, fiRR LCShao, NRR Central Files DCS DOEA R/F OGCB R/F JGuillen R/F fl l.][/],p NRC PDR 0
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- D/DREP:NRR FNiraglia LCShao FJHebdon JGPartlow FJCongel 12/14/87 12/15/87 10/08/87 09/29/87 10/09/87
- 0GCB:00EA:NRR
- PPMR: ARM
- C/EAB:DOEA
- C/0GCR:00EA:NRR *D/00EA:NRR JGuillen TechEd WDLanning CHBerlinger CERossi 09/28/87 10/08/87 12/23/87 12/11/87 12/11/87
o Multiple Addressees Inspection, licensing and Research Integration Branch (ILRB)
The ILRB considers operational safety data from the following sources and interacts with the appropriate NRC branches to update and upgrade the licensing and inspection programs:
(1) _results of assessments of regional perfonnance of inspection and Itcensing activities (2) recomendations from regional offices, AE00, and NRR divisions (3) recomendations for program improvement developed from or as part of special inspections (4) recomendations from DOEA reviews of operational safety data (5) recomendations for program improvements developed from or as part of the investigation of allegations EFFECTIVE DATE This offica letter is effective imediately.
Thomas E. Murley, Director Office of Nuclear Reactor Regulation DISTRIBUTION TEMurley, NRR JHSnierek, NRR ADT, NRR CEPossi. NRR CHBerlinger, NRR JGuillen, NRR EJButcher, NRR WDLanning, NRR FJCongel, NRP JGPartlow, NRR FJHebdon, NRR JFunches, NRR HSmith,NRR(15)
Central Files DCS DOEA R/F OGCB R/F JGuillen R/F Ka g'.\\0 Tl Eh/
- SEE PREVIOUS CONCURRENCES
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C/PTSB:NRR A/ADT/NRR D/NRR b :NPR CThomar/p JHSniezek TEMurley espie 12/ //87 12/ /87 12/ /87 1
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- D/DREP:NRR FMiraglia LCSh6o FJHebcon JGPartlow FJCongel 12/14/87 12/15/87 10/08/87 09/29/87 10/09/87
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IJ1tiple Addressees 5-Inspection, Licensing and Research Integration Branch (ILRB)
The ILRB considers operational safety data from the following sources and Interacts with the appropriate NRC branches to update and upgrade the licensing and inspection programs:
(1) results of inspection program appraisals carried out in coordination with the regional offices (2) results of assessments of regional perfomance of inspection and licensing activities (3) reconenendations from regional offices. AEOD, and NRR divisions (4) reconer.endations for program improvement developed from or as part of special inspections (5) recomendations from DOEA reviews of operational safety data (6) reconenendations for program improvements developed from or as part of the investigetion of allegations EFFECTIVE DATE This office letter is effective upon issuance.
Thomas E. Murley, Director Office of Nuclear Reactor Regulation DISTRIBUTION TEMurley, NRR JHSnierek, NRR ADT, NRR CERossi, NRR CHBerlinger, NRR JGuillen, NRR EJButcher, NRR WDLanning NRR FJCongel, NRR JGPartlow, NRR FJHebdon, NRR JFunches, NRR HSenith, NRR (15)-od tn Central Files DCS DOEA R/F OGCB R/F JGuillen R/F Nttt- )bA
- SEE PREVIOUS CONCURRENCES AC/PTSB:NRR A/ADT/NRR D/NRR CThomas JHSntezek TEMurley 12/ /
12/ /87 12/ /87 ADP/NR D/ DES
- C/It. B:PMS:NRR *D/DRIS:NRR
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(2) results of assessments of regional performance of inspection and licensing activities (3) reconnendations from regional offices, AE00, and NRR divisions (4) reconnendations for program improvement developed from or as part of special inspections (5) recomendations from DOEA reviews of operational safety data (6) recomendations for program improvements developed from or es part of the investigation of allegations EFFECTIVE DATE This office letter is effective upon issuance.
Thomas E. Murley, Director Office of Nuclear Reactor Regulation DISTRIBUTION ltmurley, NRR JHSniezek, NRR RWStarostecki, NRR CEPossi, NRR CHBerlinger, NRR JGuillen, NRR EJButcher, NRR WDLanning, NRR FJCongel, NRR JGPartlow, NRR FJHebdon, NRR JFunches NRR HSmith,NRR(15)
Central Files DCS DOEA R/F OGCB R/F JGuillen R/F l
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a Multiple Addressees cc:
V. Stello. EDO MMBB-6209 M. Taylor. ECO MNBB-6209 J. Axelrad, OSP OWF-7-D-24 S. Ebneter, OSP OWF-7-D-24 J. Lieberwen, OE OWF 7-H-5 W. Mcdonald, ARM MMBB-6201 P. Bird, OP W-407 J. McDermott, OP W-407 E. Jordan, AE00 MNBB-3302 C. Heltemes AEOD MNBB-3302 H. Thompson, NMSS OWF-6-A-4 R. Bernero, NMSS OWF-6-A-4 M. Knapp, NMSS OWF-5-E-4 J. Greeves, NMSS 0WF-5-E-4 R. Browning, NMSS OWF-4-H-3 M. Bell, NMSS OWF-4-H-3 R. Burnett, NMSS OWF-4-E-4 E. Ten Eyck, NMSS OWF-4-E-4 R. Cunningham, NMSS OWF-6-H-3 G. Sjoblom, NMSS OWF-6-H-3 E. Beckjord, RES NL-007 B. Sheron, RES NL-007 W. Minners, RES NL-007 B. Ferris, RES NL-007 Z. Rosztoczy, RES NL-007 G. Arlotto, RES NL-007 R. Bosnak, RES NL-007 W. Houston, RES NL-007 H. Denton, GPA H-1013 S. Connelly, DIA EWS-461 B. Hayes, O!
OWF-3-E-4 W. Russell R-1 J. Grace R-!!
A. Davis R-III R. Martin R-IV J. Martin R-y SECY H-1149 OGC H-1035 OGC OWF-15-B-18 NRC PDP A
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UNITED STATES NUCLEAR REGULATORY COMMISSION o
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WASHING TON, D. C. 20666
\\...*J fB g 3 g;f MEMORANDUM FOR: All NRR Employees FRON:
Thoma:; E. Hurley, Director Office of Nuclear Reactor Regulation
SUBJECT:
NRR OFFICE LETTER NO. 1301 - ANALYSIS AND FEEDBACK OF OPERATIONAL SAFETY DATA PURPOSE This office letter presents; the Office of Nuclear Reactor Regulation (NRR) procedures for handling the operational safety (data reported, developed, or compiled by the Nuclear Regulatory Commission NRC) and for providing feedback into the licensing, inspection, and safety information programs. This office letter also defines the NRR responsibilities and procedures outlined in NRC Manual Chapter 0515. "Operational Safety Data Review"; however, it does not supersede the Manual Chapter nor does it repest all information contained therein. Employees should refer to NRC Hanual Chapter 0515 for additional information and information regarding NRR interface with other NRC offices.
This office letter supersedes IE Office Procedure 0251.
BACKGROUND Operational safety data is reported, developec, and compiled by the NRC in the conduct of authorized act'vities. This operatlonal safety data includes:
licensee event reports (LERs) submitted pursuant to 10 CFR 50.73; NRC inspec-tion and investigation reports; notifications required by 10 CFR Parts 20, 21, and 50 (50.36, 50.55(e), and 50.72); regional morning reports; prelininary notificatiens of significant operating events; industry reports; reports on operational, safeguards, and security events; Office for Analysis and Evalua-tion of Operational Data (AE00) reports and studies; and reports of operational experience at foreign facilities.
On a daily basis, the operational data pro,ided in 50.72 reports, region daily reports, Preliminary Notifications, and other cperational data are discussed and evaluated during a telephone conference among NRC headouarters organiza-tions responsible for event analyses. Operational safety data generated by er submitted to the NRC is routinely distrisuted to the appropriate NRC offices by CONTACT:
J. Guillen, NRR 492-1153
'0E Multiple Addressees
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I theOfficeofAdministrationandResourcesManagement(ARM)usingthe i
Pegulatory Information Distribution System (RIDS). The operational safety data is widely distributed to ensure that the information is adequately assessed and reviewed. Although the same data may be reviewed by several NRC offices, each review is conducted to satisfy the individual functional responsibility of each office, as outlined in NRC Manual Chapter 0515.
OBJECTIVES To ensure that significant operational safety data is identified, reviewed, and incorporated into NPR licensing, inspection, and safety programs and activities.
l RESPONS!RILITIES AND AUTHORITIES Division of Operational Events Assessment (00EA) f DOEA has the lead responsibility within MRR for reviewing operational safety data and coordinating efforts with other NRC offices that share responsibility l
for operational safety data reviews. This includes the prompt review of i
i operating reactor events reported to the NRC Operations Center pursuant to the requirements of 10 CFR 50.72. DOEA also has the lead responsibility to act on potential generic safety issues identified by DOEA or referred to D0EA by other l;
sources.
i DOEA's Events Analysis Branch (EAB) directs and coordinates with AE00 the L
short-tem technical assessment of operating reactor events reported to the NRC Operations Center. EAB obtains the required information regarding an event to ensure that a prompt determination is made regarding:
(1) the safety signifi-l l
cance of the event, (2) the adequacy of the followup actions that are taken by the licensee and the regional office, (3) the NRC individuals to be notified, (4) the need for Headquarters or Connission attention or action, (5) the need i
for an Augmented Inspection or Incident Investigation Team response, (6) any l
l coordination required with other Federal or State organizations, and (7) the l
generic implications of the event. Where additional information is required for a proper evaluation of the event, the appropriate licensee or vendor is l
l contacted by EAB. All event followups are performed in concert with the i
appropriate NRC Project Manager and regional managers / staff. The EAB respon-i sibility is only for short-ters assessment, and not for long-term followup, i
l h' hen EAB identifies an operatino reactor event that requires longer-tem or l
more specialized followup, it contacts the appropriate NRR branch and transfers l
the responsibility for long-ters followup to that branch. After EAB has i
transferred the responsibility for the event to another branch, it is the responsibility of that branch to assign a priority to the event followup in relation to other work in the branch and to complete the review as necessary.
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EAB follows the status of long-tem assignments and provides NRR management l
l with tracking infomation on a routine basis.
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Multiple Addressees All other operational safety data that does not require prompt review is systematically screened and assessed by DOEA to identify significant events and i
detemine the plant-specific and generic safety implications.
If additional information is required for a proper evaluation of the safety significance or generic implications of the event. DOEA obtains the needed infomation from the licensee, vendor, or other NRC office. Where warranted by a particular inci-i F
dent, DOEA coordinates all involvement with the licensee with the NRC Project Manager and in certain cases requests the assistance of those NRR branches that have the desired technical expertise to evaluate the safety significance of the
> t occurrence or to obtain background infomation on licensees' or vendors' previous perfomance and their actions regarding the subject event. DOEA may also transfer the event followp responsibility to the Division of Engineering r
and Systems Technology, the Division of Reactor Inspection and Safeguards, or to another appropriate branch if best suited for the long-tenn followup work and resolution,
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If the reported event is detemined not to have generic implications but has e
safety significance for a particular licensee. 00EA refers the matter to the appropriate Division of Reactor Projects and regional office for action.
If the evaluation of the event indicates that it has potential generic safety significance and that other licensees have not been adequately informed, DOEA takes one or more of the following actions:
(1)
Issues an NRC Infomation Notice or Fulletin.
(2) Refers the event to the NRR Inspection Licensing, and Research Integra-tion Branch of the Program Management, Policy Development and Analysis Staff for possible use in revising the inspection program or Standard Review Plan or for referral to the Office of Nuclear Regulatory Research for consideration as a new or revised generic issue.
(3) Revises the Standard Technical Specifications.
(4) Refers the event to the NRR Pisk Applications Branch of the Division of Radiation Protection and Emergency Preparedness for an assessment of the significance of the event with reoard to the regulatory applications of probabilistic risk assessment (FRA).
(5) Refers the matter to the appropriate Division of Peactor Projects to consider notifyino the Atomic Safety and Licensing Board or the Atomic Safety and Licensing Appeals Board.
DOEA serves as the focal point of contact with AE0D for the review coordination of significant foreign operating events identified by AEOD. 00EA is also responsible for the coordination of NRR's actions in response to AEOD reports and studies (Case Studies Special Reports, and Engineering Evaluations). The NRR procedure is enclosed.
Pultiple Addressees !
DOEA also has the lead responsibility for developing and implementing a coordi-nated NRC-wide program to manage and track the identification, collection, prioritization, evaluation, and closeout of generic safety issues related to inadequate conformance with NRC requirements. This includes the defects, noncompliances, and construction deficiencies identified from the analysis of 10 CFR Part 21 and 10 CFR 50.55(e) notifications described in NRR Office letter No.1300, "Procedures for Handling 10 CFR Part 21 and 10 CFR 50.55(e) Notifica-l tions of Defects, Noncompliances, and Construction Deficiencies."
Reactor Projects Divisions The NRR Reactor Projects Divisions perfom the overall safety and environmental project management and monitor daily operations of power and non-power reac-tors. The Project Managers (PMs) in the Reactor Project Divisions are involved in the process of reviewing operational data whenever:
(1)aneventoccursat the facility for which the PM has responsibility, (2) comunication between NRC Headquarters staff and the licensee is necessary, and (3) operational data or an event is determined to be safety significant and to affect the PM's facility.
l Division of Engineering and Systems Technologv (DEST)
DEST branches provide technical support to DOEA in evaluating operational safety data and determining the safety significance and generic implications of an event. This includes the long-term followup and resolution of events reported pursuant to the reouirements of 10 CFR 50.55(e), 50.72, and Part 21, the review of AE00 studies and recomendations, and the review of problems identified by the regions. The review and followup responsibility is trans-ferred after a determination is made by DOEA that a particular DEST branch is better suited to review the data or event. After the transfer, the DEST branch assigns a priority to the data or event followup in relation to other work in the branch and completes the review as requested.
Division *" Reactor inspection and Safeguards (DRISI DRIS evaluates inforration from selected inspection and investigation reports, recomendations from regional offices and NRC program divisions, and industry reports as a basis for making improvements in the special inspection, safe-guards, and vendor programs and for selecting facilities for special i
inspections.
The Vendor Inspection Branch (VIB) in DRIS follows up on operational events involving defective or failed components that are identified by them or re-ferred to them by DOEA or other branches. VIP contacts component vendors to gain an understanding of the significance and generic implications of the event and inspects vendor shops when an inspection is warranted by the safety signif-icance of the event.
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Multiple Addressees Division of Radiation Protection and Emergency Preparedness (DREP)
DREP evaluates information from selected inspection and inytstigation reports, reconnendations from regional offices and NRC program divisions, and industry reports as a basis for making improvements in the licensing and inspection programs for radiation protection, emergency preparedness, and risk assessment.
Inspection, Licensing and Research Integration Branch (ILRB)
The ILRR considers operational safety data from the following sources and interacts with the appropriate NRC branches to update and upgrade the licensing and inspection programs:
(1) results of assessments of regional performance of inspection and licensing activities (2) reconsnendations from regional offices, AE00, and NRR divisions (3) recomendations for program improvement developed from or as part of special inspections (4) reconvendations from DOEA reviews of operational safety data (S) recomendations for program improvements developed from or as part of the investigation of allegations EFFECTIVE DATE This office letter is effective imediately.
AY Thomas E. Murley, Director Office of Nuclear Reactor Regulation
Enclosure:
As stated l
cc: See page 6 1
l Enclosure i
L NRR Procedure for Handlino AE00 Recommendations and Succestions
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The Generic Communications Branch (OGCB) of the Division of Operational Events Assessment is responsible for the coordination of NRR's actions in response to AEOD Case Studies, Special Reports, and Engineering Evaluations.
0GCB perforr.s an initial review to identify all. recommendations and suggestions addressed to NRR and prioritizes each recommendation according to a judgment of its safety i
significance.
If an item appears to have a high degree of safety significance, OGCB will determine the need for an Information Notice, Generic Letter, Bulle-tin, or other appropriate prompt action.
If the recommendation does not appear to warrant immediate action. 0GCB determines whether the recomendation can be addressed by an existing issue (such as a Generic Issue).
If so, the recommen-
'dation is incorporated into the existing issue, with the resolution of the recommendation handled-through the resolution of the existing issue.
If the recommendation cannot be addressed by an existing issue, the recommendation is transmitted to the appropriate branch for their review, consideration, and l
action.
In some cases, the review of or the action requested by a recomenda-
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tion may require input from several different branches.
If this occurs, OGCB acts as the focal point for this effort, t
OGCB also performs an initial screening of AE00 suggettions.
Suggestions identified which are addressed to NRR are transmitted to the appropriate branch primarily for their information and if deemed appropriate for their review and i
action.
It is not expected that suggestions will involve significant safety i
issues; therefore, the need for action regstding AE00 suggestions is considered t
minimal and the schedule for closure of suggestions will be established ac-cordingly.
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OGCB also selects and assigns a point of contact within NRR for each recom-f I
mendation and suggestion addressed to NRR.
It is the responsibility of the assigned contact to ensure proper closure of the assigned recommendation or suggestion.
l Each identified recommendation and suggestion addressed to NRR is entered into l
OGCB's AEOD Report Recossendation and Suggestion Tracking System.
This comput-l erized tracking system was developed by OGCB to track the status of each recommendation and suggestion through its closure.
Information such as the i
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assigned NRR contact, current status, and target completion date is maintained i
for each AE00 recommendation and suggestion forwarded to NRR.
In addition, transmission of recommendations and suggestions to the appropriate branch by OGCB is accomplished by a transmittal /closecut memorandum.
I 0GCB will periodically distribute standard reports which list the assigned contact, current status, and target completion date of each open AE00 recom-
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mendation and suggestion to be addressed by NRR, and will identify AEOD l
recommendations and suggestions that have been closed by NRR.
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s, Once the review of s'rdcommendation has been completed, the assigned contact transmits the review findings to OGCB.
Typical findings may include agreement with the recommendation,; disagreement with the recommdndation, proposed modifi-cations to the recommendation, or a suggested action identified as necessary to facilitate resolution of'the recommendation.
If a specific action had been rcquested, the assigned"contaci'is responsible for providing formal documenta-tion of disposition of the requested action to OGCB for transmittal to AE0D.
During its initial screening, OGC6 may determine { hat the resolution of a recommendation can be accomplished by inclusion into a broader Generic Issue.
In addition, NRR review findings of AE0D recommendations may propose resolution of the recommendation by creation of a new Generic Issue.
When this occurs, OGCB ensures the recommendation is formally transmitted to RES for their con-
. sideration and prioritization, or inclusion into an existing Generic Issue.
In addition, recommendations which suggest such actions as changes to the Standard Review Plan or ' development of new regulatory requirements are also coordinated with RES. When a recommendation is formally transferred to another -
office, OGCB no longer continues to track the implementation status of that item.
OGCB is also responsible for coordinating formal responses to AEOD in accor-dance with the guidance given in NRC Manual Chapter 0515.
NRR will either identify the manner in which each AEOD recommendation will be implemented, including all actions taken or to be taken and a schedule for implementation, or present a basis for rejecting the recommendation.
Although all AE00 sug-gestions will be given consideration by HRR, no formal response to AEOD will be provided.
Each suggestion, however, will be included in the tracking system i
l and closed when the responsible branch has taken appropriate action or made a judgment that no action will be taken.
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Multiple Addressees rs 3 g Division of Radiation P-)tection and Emergency Preparedness (DREP)
DREP evaluates information from selected inspection and investigation reports, recommendations from regional offices and NRC program divisions, and industry reports as a basis for making improvements in the licensing and inspection programs for radiation protection, emergency preparedness, and risk assessment.
Inspection, Licensing and Research Integration Branch (ILRB)
The ILRB considers operational safety data from the following sources and interacts with the appropriate NRC branches to update and upgrade the licensing and inspection programs:
(1) results of assessments of regional performance of inspection and licensing activities (2) recomendations from regional offices, AEOD, and NRR divisions (3) recommendations for program improvement developed from or as part of special inspections (a) recommendations from DOEA reviews o' operational safety data (5) recommendations for program improvements developed from or as part of the investigation of allegations EFFECTIVE DATE This office letter is effective imediately, c..
n md by
.,F.ieY Thomas E. Murley, Director Office of Nuclear Reactor Regulation
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Enclosure:
As stated cc:
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@ 0 8 1988 Multiple Addressees cc:
V. Stello, EDO MNBB-6209 M. Taylor, EDO MNBB-6209 J. Axelrad, OSP 0WF-7-D-24 S. Ebneter, OSP 0WF-7-D-24
- J. Lieberman, OE OWF 7-H-5 W. Mcdonald, ARM MNBB-6201 P. Bird, OP W-407 J. McDermott, OP W-407 E. Jordan, AE00 MNBB-3302 C. Heltemes, AE0D MNBB-3302 H. Thompson, NMSS 0WF-6-A-4 R. Bernero NMSS 0WF-6-A-4 M. Knapp, NMSS 0WF-5-E-4 J. Greeves, NMSS 0WF-5-E-4 R. Browning, NMSS 0WF-4-H-3 M. Bell, NMSS OWF-4-H-3 R. Burnett, NMSS 0WF-4-E-4 E. Ten Eyck, NMSS OWF-4-E-4 R. Cunningham, NMSS 0WF-6-H-3 G. Sjoblom, NMSS 0WF-6-H-3 E. Beckjord, RES NL-007
- 8. Sheron, RES NL-007 W. Minners, RES NL-007 B. Morris, RES NL-007 Z. Rosztoczy, RES NL-007 G. Arlotto, RES NL-007 R. Bosnak, RES NL-007 W. Houston, RES NL-007 H. Denton, GPA H-1013 S. Connelly, OIA EWS-461 B. Hayes, 01 OWF-3-E-4 W. Russell R-I J. Grace R-II A. Davis R-III R. Martin R-IV J. Martin R-V SECY H-1149 0GC H-1035 OGC OWF-15-B-18 NRC PDR
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