ML20196E833

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Forwards Temporary Insp Procedure 2800/15, Establishment of Regional Trial Program for Early Identification of Matl Licensee Needing More NRC Attention, & Encourages to Follow & Implement Subj Procedure on Trial Basis
ML20196E833
Person / Time
Issue date: 08/18/1988
From: Nussbaumer D
NRC OFFICE OF GOVERNMENTAL & PUBLIC AFFAIRS (GPA)
To:
AFFILIATION NOT ASSIGNED
Shared Package
ML20150E008 List:
References
FOIA-88-514 NUDOCS 8812120098
Download: ML20196E833 (1)
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AUG f e 1999 Ref: SA/JOL Jg ALL AGREEMENT STATES TRIAL NRC PROGRAM FOR EARLY IDENTIFICATION OF MATERIALS LICENSEES NEEDING MORE ATTENTION Enclosed is a copy of NRC Temporary Inspection Procedure 2800/15 "ESTABLISHMENT OF REGIONAL TRIAL PROGRAM FOR EARLY IDENTIFICATION OF MATERIAL LICENSEE NEEDING MORE NRC ATTENTION."

We encourage you to follow and implement this procedure on a trial basis and keep us inforned of its effectiveness.

Originr1 Signei k" Do:Uc A. W3sst. a Donald A. Nussbaumer Assistant Director for State Agreements Progran State, Local and Indian Tribe Programs

Enclosure:

As stated cc: C. Toppan, Maine, w/ enc 1.

Distribution:

SA R/F Dir R/F RSLO's w/ enc 1.

SA Staff, w/ enc 1.

HTh son, NMSS

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OFC: SLITP/5A :5LITP/5A  :

NAME O encu/bh :0A sbaumer :

DATE:8/16/88 :8/(1 /88  :  :  :

8912120090 OB1:N32 fi 6g PDR FOIA /

FELTON80-514 PDR

g"% UNITED STATES p' ,,,

, NUCLEAR REGULATORY COMMISSION g wAsmNoToN. o. c. zones l

- \ ..* / NRC INSPECTION MANUAL Nx33 TEMPORARY INSTRUCTION 2800/15

) ' ESTABLISHMENT OF REGIONAL TRIAL PROGRAM FOR EARLY IDENTIFICATION OF MATERIAL LICENSEES NEEDING MORE NRC ATTENTION 2800/1$-01 PURPOSE The purpose of this procedure is to establish, in each Region, a one-year program to identify, early, licensees with the potential for degraded safety perfomance. NRC Regional management r,an take appropriate action with the identified licensees to adjust the situation before significant degradation occurs. If successful, this program will result in improved overall perfomance of licensees, reduction in violation of NRC require-ments, and reduction in the attendant need for enforcement action. This one-year program will enphasize the use of performance synptoms or per-fomance evaluation criteria in assessing licensee performance.

2800/15-02 BACKGROUND

[

s An NRC license to possess nuclear materials is issued on the premise that the licensee management will diligently ensure that requirements of NRC regulations and Itcense conditions are met. This premise is necessary because NRC representatives cannot visit facilities frequently. The most important factor in ensuring proper control of licensed material for most categories of materials licensees is that licensee staff follow or perfonn procedures properly. However, there are some categories of mate-rials licensees, such as irradiators and fuel facilities, where control equipment perfoms certain safety functions, e.g., interlocks, automati-cally. Basically, good licensee management perforr.ance is the kje *o good perfomance, through efforts to ensure aCtquate procedures, well designed and maintained equipment, sufficient numbe.'s of qualified and trained per-sonnel, adequate management audits and reviews, and correction of causes of identified deficiencies. We have observed the ability of experienced reviewers and inspectors to detect signs of slipping management perfomance before trouble occurs. We are now seeking to have all inspectors systema-tically *..ek for these early signs of degraded perfomance so that Regional i management can initiate corrective actions before serious problefes develop.

2300/15-03 fROGRAM GUIDANCE ,

! The ability of the NRC to promete high quality licensee perfomance, and, conversely, to prevent deterioration of that perfomance, requires coordi-nated licensing and inspection efforts. Before granting a license, NRC Issue Date: 06/30/B8 E-H10!NU( Y(P

i

. licensing officials try' to determine if the licensee unders% ands his responsibilities, is fully qualified, understands what kind of performance *  :

NRC expects, and what actions NRC will take if violations occur. Once the  !

.- license is granted, there are periodic inspections to identify violations -

of regulatory requirements, and also to identify early indications .3f )

degraded performance. Based on these inspections, Regional management detemines when particular licensees show the kind of symptoms that  !

indicate that NRC should pay closer attention to them, i NRC Regional management should judge what the appropriate action is for f each individual situation. However, there is a range of actions that can i

i be considered, including: telephone contacts; meetings with licensee man- l agement; special inspections tailored to emphasize certain aspects; addi-  ;

i tional management coments in lettars forwarding inspection reports; or Confirmatory Action Letters. A follow up inspection in such situations is also warranted. The purpose of these additional actions is to focus on i

licensee management and assure that ha understands any concerns NRC may  !

i have about the symptoms and potential for degraded performance and that  !

l he takes action to correct tinderlying causes. ,

[

1 Each Region should develop and use a list of

  • performance factors" that j may indicate the potential degraded performance. The term "performance i evaluation factors" is being used in relation to the nuclear materials pro. 1 gram, to differentiate this effort from the reactor program, where the tern i

is "performance indicators.* Although the objective of the reactor program

1s also to assist in improving performance, the type of information avail- l able in the materials area is not trend information on p rformance and not '

data-intensive information on equipment. Rather, the kLnds of information 1' f j available are the primary early subjective warnings or precursors of  ;

degraded performance of the licensee operations.

i

2800/15 04 RELATIONSHIP 70 "PROBLEM" LICENSEES

! Licensees whose performance has already degraded to the extent that s'erious  !

I incidents have occurred, or es:alated enforcement actions have become  !

j necessary, are, by definition, problem licensees. There should be fewer of (

i these than those for whom their performance symptoms indicate a need for I increasic NRC and licensee management attention. 'Probles' licensees  :

demand (

  • tensive imediate attention. Licensees with symptoms of degraded l performance aga in the future become "problem" licensees, unless actions 1 are taken to improve performance.  ;

i 2800/15-05 FACTORS OF DEGRADED PERFORMANCE f f

The specific performance each Region uses should be patterned after the attached exhibit, and added to as necessary by each 4tegion. However, l l

the factors that the Regions use should cover the areas of: licensee man- [

agement oversight and control; stue11ty of procedures and operations; ade- #

quacy of personnel staffing and training; end audits and feedback '

mechanisms to correct causes of deficiencies. ,

. 1 1

Issue Date: 06/30/88 -?- 2800/15 l

_ _ _ _ . __J

2800/15-06 TRACKING OF LICENSEE PERFORKANCE Each Region should assigli responsibilities to enhance its ability to track the performance of licensees and categories of licensees. One way to accomplish this is to assign Regional project officers to keep abreast of licensing and inspection information on each category of licensees and to ,

j

- keep management aware of problems and need for action,

. 2800/15-07 REPORT ON ONE-YEAR USE OF PERFORMANCE FACTORS Each Region is to conduct an assessment, after one year, of its use of degraded performance criteria and symptoms and its Regional action with licensees, identifying the usefulness, difficulties, ideas for improvement that are instituted or planned, and innovations that are particularly useful. A report should be submitted in May 1989. flMSS will convene a meeting with the Regions to discuss lessons learned and future program guidance.

2800/15-08 EXP! RATION I

This Temporary Instruction will remain in effect aantil June 30, 1989.

2800/15-09 STATIS11 CAL DATA REPORTING Budgeting ter FTE's has already been implemented. The time should be

- charged to NRC Inspection Procedure 87100, s

END Exhibit I

a .

i

)

(

1 Issue Date: 06/30/8E 2800/15.

PERFORMANCE EVALUATION FACTORS

  • Enforcement History - Point system depending en the number and types of violations.

, Points Examples (may be added to by each Region, as appropriate).

/ 25 a. Failure of Isotope Comittee (or certain key members there-of) to meet or discuss meaningful issues for a Broad Scope type license.

25 b. RSO too busy with other assignments (RSO spending less than 25% of time).

15 c. Excessive customer complaints from major manufacturers or distributors.

50 d. Excessive allegations which have been substantiated.

15 e. Significant number of diagnostic misadministrations

-(greaterthan10*8perprocedure).

6- -

20 f. High man-rem levels (greater than 50% of erorkers requiring NRC Fom 4).

20 g. Frequent or txcessive contamination within the testricted area (greater than 10 x NMSS guidance for release to unre-strictedareas).

15 h. Excessive missed surveillances (leak testing, inventory, so veys, etc., greater than 50% per year).

i ~

50 1. etal instability of licensee (shoe string operations.

two-man operation such that cost of cleanup is signi-to continued operations of the facility).

20 ,) . ,, :k of involvement of senior management to oversee RSO

( , prformance (management unaware of operations).

Ik I

~

20 k. Inadequate consultant service (consultant mot finding any Troblems but NRC does).

15 1. Radiation Safety tomittee (Broad Scope) gives "rubber j 'l stamp" approvals to assers and/or .dssues mser pemits for indefinite periods of time.

. 20

m. Jnsufficient technologist / authorized user / radiation safety staffing for licensed program workload.

25 n. Excessive murbers of repeat violations (three or more).

25 o. Frequent internal uptakes greater than 125 arens, whole body

  • quivalent but less than 520 MPC/hr limits.

Exhibit 1,2800/15 El-1 Issue Date: 06/30/88 L

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^g UNITE] STATE:

. */ r' NUCLEAR REGULATCY COMMISSION

{ f W ASMit#GTON. C. C. 30006 August 18, 1988 k...*

o E MORANDUM FOR: Stewart D. Ebneter Director

' Division of Radiation Safety and Safeguards, RI

, . J. Phillip Stohr, Director Division of Radiation Safety and Safeguards, RII John A. Hind. Director Division of Radiation Safety and Safeguards, RI!!

Richard L. Bangart, Director  :

Division of Radiation Safety and Safeguards, RIV 4

Ross A. Scarano Director Division of Radiation Safety and

! Safeguards RY

SUBJECT:

LICENSE CONDITION FOR BYPRODUCT MATERIAL TO BE IRRADIATED IN A NON-POWER REACTOR At the Reactor Health Physics Counterpart Meeting of May 18-19, 1988, a question arose as to what the appropriate license condition should be for possession of byproduct material at non-power reactor facilities (see l

Enclosure 1, it a 8). The question was prompted by a statement in guidance l provided to the Regions in a memorandum dated March 8, 1988 (Enclosure 2).

The statement in enclosure 2 appears in item 2 and reads as follows: '

i

...If a reactor license is silent with regard to possession of byproduct material it shall be amsnded...

Allnon-powerreactorlicenseshavealicenseconditionwhichpermitsth[

licenna to

  • possess, but not to separate such byproduct material as may I

have been produced by operation of the facility." This license condition, however, does not adequately cover byproduct material received at the facility which is going to be irradiated in the reactor. Inclosure 2 (Memorandum, D.M. Crutchfield to Regions March 8, 1988), item 3 states that -

\

i All byproduct material which is to be inserted into a reactor, or which is removed from the reactor, must be covered by the i t

reactor license while the material is within the facility. l In order to satisfy this condition, the license condition dealing with possession of byproduct material should be amended if a licensee receives ,

l CONTACT:

T. Michaels, NRR/PDSNP 492-1102 wnw .w

j- .

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l byproduct material which is to be irradiated in the reactor. The license condition should read as follows:

Pursuant to the Act and 10 CFR Part 30, ' Rules of General Applicability to Licensing of Byproduct Heterial," (and Part 70)* to receive byproduct 4

- materialwhichistobeirradiatedinthereactorwIthin31daysof >

l receipt, and to possess, but not separate, such byproduct (and special '

nuclear)* materials as may be produced by operation of the facility.

i

  • Delete if Part 70 not applicable I  !

Licensees awst request en amendment to their license to include this condition if they receive byproduct material to be irradiated by their reactor, unlest i j

the material is covered by another license before it is inserted into the i

i reactor.

l Violations involving byproduct material that is to be irradiated in a >

l

' non power reactor s"tould generally be charged against the reactor license unless some other specific documentation has been developed by the licensee.

]: In this regard the statement in enclosure 2, item 3 is modified to read as l

- follows:

I All byproduct material which is to be inserted into a reactor, should be '

covered by the reactor license; byproduct material which is removed from i j the reactor must be covered by the reactor license.

I

-'h W. ~

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Dennis'N. Crutchfie1d,'Di'd ctor "  !

Division of Reactor Projects - !!!, j IV, Y and Special Projects  ;

l

' Office of Nuclear Reactor Regulaticn l I

i i  ;

/  ;

) Enclosures. l As stated l  !

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ENCLOSURE 1

, [ UNIT 80 STATES NUCLE AR REOULATORY COMMIS$10N f

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was.4metow.o.c- seems

    • "* Jyt,13 388 MEMORANDUM FOR: Those on Attached List FROM:

LeMoine J. Cunningham, Chief Radiation Protection Branch Division of Radiation Protection and Emergency Preparedness Office of Nuclear Reactor Regulation l

SUBJECT:

MINUTES OF THE REACTOR HEAL'N PHY51CS ,

I COUNTERPART MEET 1hG. MAY 18-19.1984 These A copy of the subject minutes is enclosed for your information.

f minutes have been revised in response to consents received on the draft sent for review on June 14. 1968.

l t m 1. W

  • l LeMoine J. Cunningham, C tef

! Radiation Protection Branch Division of Radiation Protection i and Energency Preparedness Office of Nuclear Reactor Regulation

Enclosure:

/

i Minutes of the Reactor W Counterpart Meeting i

?

CONTACT:

John D. Euchanan, NRR 492-1097 WOE 9E b)i! XN .tff

  • ENCLOSURE 1
4. Comnents on inclusion of transportation inspections in the Core

' Inspection Program Draf t appears generally acceptable.

5. Status of revision of Supplement 5 (Transportation) of MRC Enforcement Policy: This revision should appear in the next published revision of the enforcement policy.

- 6. Recent radiography accident in Texas which may involve release of source from a Type 8 package.

7. Change of date for r. ext transportation training course from June to October 1968. If NKS$ will develop the course material, one day on low-level wasts will be added to this course.
b. Pennsylvania inspections at Part 50 Sites W. Pasciak, R-1, described the programs, under a subagreement between MRC and Pennsylventa inspectors. Areas of inspection for Pennsylvants inspectors include completion of transportation packages and c m pliance with procedares regarding transport and Part 61.

, Pennsylvania inspectors cannot look at PCPs, training, and other packaging and shipping. The judgmental State vill Icok aspects of LLW at about processing,f 25 parcent o shipments and will schedule their inspections when packages are being preparea. The State cannot issue violations. The State inspection report goes to hRC for con-currence before being issued to the lict 1see. Tne State also does i

an annual inspection to look at records. The State will have 10-12 inspectors who will do inspectiens about two weeks per year. Region f i is training and testing these inspectors.

1

8. kon-power Reactor Issues
1. II chaels and A.1. dams, HM/PDSNP, discussed the following issues,
s. Regulatory Responsibilities for Byproduct Materials in Non-Power Reactors

/

' Guidance on this subject is providad in a 3 8 88 memorandum from D. M. Crutchfield, NRR, to Regions 1 Directors of ttie Divisions of

- Sadiation Safety and SafeguaNs. This mecorandum indicates that generic guidance re16ted to this issue is contained in Inspection i

Manual CMpter 2882, Appedres 3 eM 2. Lir,tnme:s who do not have

' tre appapriate litsnw urditions pheMd rea,0::st an amendpent.

inspectors shoul:' identity liwurt t h cc *M have standard licer.se conditions. NM/M%P WW MM wereir'; et the standard license

  • i condition to ttm Regiora.

l

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5

ENCLOSURE 2

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UM.TsD STAT'IS

,v0CLE AR P.EGUL1, TONY COMMISSION l

[ NADHINGTDad.D C.atl419 r

3 March 8, 1988 MHCRANDUM FOR: Frank J. Cer, gel. D*ttetor Divis?on of Radiation Safety and Safeguards, R1 Dougins M. Cellins, Director Division of Radiation Safety and ,

Safeguards, RI!

John A. Hind Director ,

Division of Radiation Safety and i Safeguards RIII .

Richard L. Bargart. Director Division of Radiation Safety and Safeguards, RIY Ross A. Scarano, Director Division of Radiation Safety and r Safeguards, RY FROM: Dennis M. Crutchfield Director Division of Reactor Projects - !!!,

!Y Y and Special Projects j Office of Nuclear Reactor Regulation

SU3 JECT
RIGULATORY RESPONS!BILITIES FOR BYPRODUCT MATERIALS 1 IN NON-POWER REACTORS l

In a memorandue dated June 8,1987, Region !Y requested guidance for l determiningcaseswherelicensedmater'alinanon-powerreactorfacili)$may i be covered by a NRC material license or an Agreement State license, r uner than the reactor license. This issue becomes toportant in determining l l

compliance and issuing notices of violation involving licer. sed material in a '

reactor facility. Al rech,ns were asked to connent on this issue. After consideration of .veur cueents, we are providing the following guider.co. The guidance has been coordinate.' with NHSS, GPA, and 0GC. l'

1. Generic guidance related to this issue is contained in Inspection l Manual Chapter 2882. Appendices 1 and 2. Normally, material within a non power reactor facility will generally be assumed to be l possessed by the reactor licensee, unless there is prior docunentation j approved by MRC, or some other clear demonstration that the licensed mater ial is tovered under another Itcense.

'l Il CONTACT:  !

T. Michaels  :

NRR/PDSNP Ext. 21102 l MC 0 39 @ $N W _ _ _ -

I. ',' .

ENCLOSURE 2

2. Consistent with f1 above, MMSS does not normally issue separate
  • licenses which authorize possession of licensed material within an ,

operating reactor facility. If a reactor facility license is silent with regard to possession of byproduct material, it should be amended. NRC normally exercises exclusive federal jurfsdiction within operating reactor facilities.

3. All byprcduct material which is to must be inserted into a reactor, or be covered by the reactor which is removed from the reactor,in the facility.

license while the material is with

4. The facility boundaries for a non-power reactor are normally defined by the Safety Evaluation Report or Technical 5>ecifications. In the 4

absence of identifiable facility boundaries, tie Regions should establish a facility boundar.y with the licensee for coepliance purposes, and the boundary should be specified in T$ or FSAR.

5. As indicated in Manual Chapter 2882 Appendfx 2, there are exceptions to the above guidelines, and specific cases can be creolcx. Questionable cases should be referred to Headquarters for  :

resciution along with a proposed course of action.

' Ovestions concerning this guidance er specific cases should be referred to this Division for resolution. We will coordinate with NMSS, GPA, and OGC as A J. appropriate.

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I j L pf 12

' g~ Ts'K.'Crutd f e . IrgWor '

D"enn DivisionofReactorProjects-!!!/IY, i

V and Special Projects Office of Nuclear Reector Regalation l

1 i

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