ML20197C638
| ML20197C638 | |
| Person / Time | |
|---|---|
| Issue date: | 08/27/1998 |
| From: | Lohaus P NRC OFFICE OF STATE PROGRAMS (OSP) |
| To: | GENERAL, MINNESOTA, STATE OF, OHIO, STATE OF, OKLAHOMA, STATE OF, PENNSYLVANIA, COMMONWEALTH OF |
| References | |
| SP-98-073, SP-98-73, NUDOCS 9809140133 | |
| Download: ML20197C638 (19) | |
Text
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f.
ALL AGREEMENT STATES e NESOTA, OHIO, OKLAHOMA, PENNSYLVANIA THANSMITTAL OF STATE AGREEMENTS PROGRAM INFORMATION (SP-98-073)
Your attention is invited to the enclosed correspondence which contains:
INCIDENT AND EVENT INFORMATION.........
PROGRAM MANAGEMENTINFORMATION... XX DRAFT OSP INTERNAL PROCEDURE SA-106,
" MANAGEMENT REVIEW BOARD" TRAINING COURSE INFORMATION...............
TECHNICAL INFORMATION............................
OTH E R I N FOR MATIQN...................................
Supplementary information: Enclosed for your review and comment is the draft OSP Internal Procedure SA-106, " Management Review Board." The document has been drafted to incorporate procedures and guidance for the Management Review Board (MRB) and the MRB meetings conducted under the integrated Materials Performance Evaluation Program. The draft procedure includes guidance for heightened oversight and issuance of tN final reports based on the experience to date on IMPEP reviews. We request your comments by September 14,1998.
This information request has been approved by OMB 3150-0029, expiration 04/30/01. The estimated burden per response to comply with this voluntary collection request is 6 hour6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> (s).
Forward any comments regarding the burden estimate to the Information and Records Management Branch (T-6 F33), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, and to the Paperwork Reduction Project (3150-0029), Office of Management and Budget, Washington, DC.20503. If a document does not display a currently valid OMB control number, the NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information.
POINT OF CONTACT:
Kathleen N. Schneider I
TELEPHONE:
(301) 415-2320 f
FAX:
(301) 415-3502 I
INTERNET:
KXS@ NRC. GOV CriginalS!gned By:
9809140133 980827 PAULH* LOHAUS PDR STPRO ESGGEN PDR
-m, Paul H. Lohaus, Deputy Director r-
,,' j Office of State Programs 7_
Enclosure:
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As stated Distribution:
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NAME KSchneider:n'b PLohab # \\
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WASHINGTON, D.C. 20666 4 001
%.....+o August 27, 1998 ALL AGREEMENT STATES MINNESOTA, OHIO, OKLAHOMA, PENNSYLVANIA TRANSMITTAL OF STATE AGREEMENTS PROGRAM INFORMATION (SP-98073)
Your attention is invited to the enclosed correspondence which contains:
INCIDENT AND EVENT INFORMATION..........
PROGRAM MANAGEMENTINFORMATION... XX DRAFT OSP INTERNAL PROCEDURE SA-106, "Mt NAGEMENT REVIEW BOARD" TRAINING COURSE INFORMATION..............
TECHNICAL INFORMATION..........................
OTH E R I N FO R MATION..................................
Supplementary information: Enclosed for your review and comment is the draft OSP Internal Procedure SA-106, " Management Review Board." The document has been drafted to incorporate procedures and guidance for the Management Review Board (MRB) and the MRB meetings conducted under the Integrated Materials Performance Evaluation program. The draft procedure includes guidance for heightened oversight and issuance of the final reports based on the experience to date on IMPEP reviews. We request your comments by September 14,1998.
This information request has been approved by OMB 3150-0029, expiration 04/30/01. The estimated burden per response to comply with this voluntary collection request is 6 hour6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> (s).
Forward any comments regarding the burden estimate to the Information and Records Management Branch (T-6 F33), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, and to the Paperwork Reduction Project (3150-0029), Office of Management and Buoget, Washington, DC 20503. If a document does not display a currently valid OMB con'.rol number, the NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information.
POINT OF CONTACT:
Kathleen N. Schneider TELEPHONE:
(301) 415-2320 FAX:
(301) 415-3502 INTERNET:
KXS@N.. GOV f ~}1 '
QVw N
)W Paul H. Lohaus, Deputy Director Office of State Programs
Enclosure:
As stated
8% Procedure
Title:
Page: 1of13 k.....) Management Review Board g,,,, 9,g,,
Procedure Number: SA-106 DRAFT,8/26/98 I.
INTRODUCTION 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 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 l
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 assessment includes a consideration of information 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 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);
Director, Office for Analysis and Evaluation of Operational Data (AEOD); General l
SA-106: Management Review Board f,ag
,ue Da e: DRAFT,8/26/98 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 specifies 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 J
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.
D. OSP is the lead office responsible for the coordination of Agreement State MRBs.
E.
NMSS is the lead office responsible for the coordination of Regional MRBs.
V.
GUIDANCE 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."
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 simpic majority decides the MRB's position about report revisions.
P 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 f'mdings and the status of outstanding issues. A report supplement will be issued when the outstanding areas are finally resolved by the Y
SA-106: Management Review Board
,e Da e: RAFT,8/26/98 4.
The MRB may choose to go into an executive session during the public meeting at the discretion of the MRB Chair. Any voting in an executive session will be reported in the public meeting.
5.
If the MRB recommends that NRC commence proceedings to initially place an Agreement State program on heightened oversight as outlined in MD 5.6, OSP is the lead for preparation of a memorandum to the Commission. (See Appendix A).
Heightened oversight could include requests for an Agreement State a.
program improvement plai, NRC/ State management meetings, periodic Agreement State 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 OSP 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 willinclude the status of the Agreement State program, recommendations of the MRB and any other pertinent information. (S e Appendix B for a sample Commission paper.)
6.
If the MRB recommends that NRC initiate proceedings to place an Agreement State program on probation, OSP Procedure S A-113, Placing an Agreement State on Probation, should be fcllowed.
7.
If the MRB recommends that NRC initiate proceedings to suspend an Agreement State program, OSP Procedure SA-114, Suspension of a Section 274 h Agreement, should be followed.
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l SA-106: Management Review Board f",gu Da e: RAFT,8/26/98 l
8.
If the MRB recommends that NRC init.iate proceedings to terminate an Agreement State program, OSP Procedure S A-115, Termination of a Section 274 b Agreement, should be followed.
9.
If. finding of" Adequate, But Needs Improvement" is made of a Region, the MRB will consult with the Executive Director for Operations to determine j
what remedial steps need to be taken and will inform the Commission l
l accordingly. Program probation, suspension, and 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.
The OSP lead secretary ensures that MRB meetings are announced using Form j
549,"Public Meeting Announcement Data Input" and are open to the public.
l 2.
The OSP senior project manager for IMPEP coordination is responsible for providing all relevant correspondence (i.e., draft report, State responses, j
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 Agreement 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 Regional representative (s) will not be physically attending the meeting, arrangements for video conference or teleconference should be made by the OSP lead secretary.
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.
SA-106: Management Review Board fy,g a
ue Da e: RAFT,8/26/98 1
C.
NMSS l
i 1.
The NMSS IMPEP team leader ensures that MRB meetings are announced using Form 549,"Public Meeting Announcement Data Input" and are open to i
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 j
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 the NMSS program analyst.
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 th..csponsibility 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.
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 - Agenda for MRB meeting
Page: 6 of 13 SA-106: Management Review Board Issue Date: DRAFT,8/26/98 VII.
REFERENCES 1.
NRC Management Directive 5.6," Integrated Materials Perforreance Evaluation Program," November 25,1997.
2.
OSP Procedure SA-113," Placing an Agreement State on Pmbazion," February 5, 1997.
3.
OSP Procedure SA-114," Suspension of a Section 274 b Agreement," February 5, 1997.
4.
OSP Procedure SA-115," Termination of a Section 274b Agreement," February 5, 1997.
l
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l SA-106: Management Review Board f,",g ue Da e: RAFT,8/26/98 1
Appendix A l
DRAFT SAMPLE:
Memorandum from EDO to Commission on Heightened Oversight of an Agreement State MEMORANDUM TO:
Chairman [Name]
Commissioner [Name]
Commissioner [Name]
FROM:
Executive Director for Operations
SUBJECT:
HEIGHTENED OVERSIGHT STATUS FOR THE [NAME]
AGREEMENT STATE PROGRAM The Integrated Materials Performance Evaluation Program (IMPEP) review of the [ State]
Agreement State program was conducted [date]. As a result of this review ard results of the Management Review Board meeting held [date], the NRC found that [ State's] regulatory program
[is adequate but needs improvement and compatible /not compatible] Accordingly, the IMPEP team staff recommended and the MRB concurred that (State] be place on heightened oversight during the next year.
[This section should contain facts concerning the State's program, and why heightened oversiglat is necessary Reviews, Management Review Board Meetings, commitments from the State and discussions and correspondence with the State addressing the deficiencies should be documented.]
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 will include requests for an Agreement State program improvement plan, periodic Agreement State progress reports, periodic NRC/ Agreement State conference calls, and a follow-up review by the IMPEP team. In the event the Agreement State 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 program.
SA-106: Management Review Board f**'l9, f FT,8m8 Appendix B DRAFT SAMPLE:
Commission Paper Requesting Approval Regarding the Status of Heightened Oversight for an Agreement State FOR:
The Commissioners FROM:
Executive Director for Operat;.,ns
SUBJECT:
STAFF'S RECOMMENDATIONS REGARDING [ STATE'S] AGREEMENT STATE PROGRAM PURPOSF-To present the results of the staff review of the [ State] program during the heightened oversight period, the Management Review Board's (MRB) recommendation for [ continued heightened oversight, probation, suspension, or termination] of the [ State] Agreement.
SUMMARY
A follow-up review of [ State's] Agreement State program was conducted on [Date]. As a result of this review and results of the MR.B 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.
DISCUSSION:
[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:
l
)
SA-106: Management Review Board Issue Date: DRAFT,8/2688 1.
Anorove the MRB recommendation for [ continued heightened oversight, probation, suspension cr termination] in accordance with procedures.
2.
Notify the [ State] of the Commission action.
Executive Director for Operations Attachments:
Page: 10 of 13 SA-106: Management Review Board Issue Date: DRAFT,8/26/98 l
Appendix C l
l DRAFT SAMPLE:
Memorandum the Management Review Board on the MRB meeting MEMORANDUM TO:
Deputy Executive Director for Regulatory Programs Director, Office of State Programs Director, Of6ce of Nuclear Material Safety and Safeguards General Counsel 1
Director, Office for Analysis and Evaluation of Operational Data FROM:
Deputy Director, Office of State Programs
[OR]
Director Division ofIndustrial and Medical Nuclear Safety 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 Be 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 final 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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SA-106: Management Review Board f,",g ue Date: RAFT,8/26/98 OR
[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 anu 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
SA-106: Management Review Board f,",g ue Date: 1 RAFT,8/26/98 Appendix C - Attachment 1 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 of IMPEP Team Members. [lMPEP 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 /Trainirig Technical Quality of Licensing Technical Quality ofInspections Response to Incidents / Allegations
[And the applicable following non-common performance indicators]
Ixgislation and Regulations Sealed 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.
Page: 13 of 13 SA-106: Management Review Board Issue Date: DRAFT,8/26/98 3.
Old Business - Approval of MRB Minutes. [OSP senior project manager /NMSS senior program analyst]
4.
Status of Upcoming Reviews. [OSP senior project manager /NMSS senior program analyst]
5.
Adjournment. [MRB Chair]
Invitees:
[MRB members, IMPEP review team, NRC staff attendees, State attendees, Regional attendees]
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PLEASE FORWARD IMMEDIATELY U. S. NUCLEAR REGULATORY COMMISSION OFFICE OF STATE PROGRAMS OFFICE OF STATE PROGRAMS FAX: (301) 415-3502 i
l NUMBER OF PAGES: 15 including this page i
DATE:
AUGUST 28,1998 4
TO:
RADIATION CONTROL PROGRAM DIRECTORS IN MINNESOTA, PENNSYLVANIA, RHODE ISLAND FROM:
PAUL H. LOHAUS, DEPUTY DIRECTOR OFFICE OF STATE PROGRAMS
SUBJECT:
SP-98-073 DRAFT OSP INTERNAL PROCEDURE SA-106
" MANAGEMENT REVIEW BOARD" VERIFICATION - 301-415-3340
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PLEASE FORWARD IMMEDIATELY U. S. NUCLEAR REGULATORY COMMISSION OFFICE OF STATE PROGRAMS OFFICE OF STATE PROGRAMS FAX: (301) 416-3502 NUMBER OF PAGES: 15 including this page DATE:
AUGUST 28,1998 TO:
TERRY FRAZEE, WASHINGTON FROM:
PAUL H. LOHAUS, DEPUTY DIRECTOR OFFICE OF STATE PROGRAMS
SUBJECT:
SP-98-073 DRAFT OSP INTERNAL PROCEDURE SA-106
" MANAGEMENT REVIEW BOARD" VERIFICATION - 301-415-3340 PLEASE FORWARD IMMEDIATELY
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