ML20197H471

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Summary of 981112 Meeting with NEI Re Options for Revising Regulatory Oversight Process.Assessment Handout,Mitigation Reliability Data from Nei,Potential PIs for Barrier Cornerstone & Inspectable Areas by Cornerstone,Encl
ML20197H471
Person / Time
Issue date: 11/20/1998
From: Isom J
NRC (Affiliation Not Assigned)
To:
NRC (Affiliation Not Assigned)
References
NUDOCS 9812140103
Download: ML20197H471 (400)


Text

- - - _ _ _ _ - _ _ _ ___ _ -_-_ _ -_ - ----__- -__ _

y '.j November 20, 1998 MEMORANDUM TO: File FROM: James A. Isom, Operations Engineer Inspection Program Branch Office of Nuclear Reactor Regulation

SUBJECT:

SUMMARY

OF THE NOVEMBER 12,1998 MEETINGS WITH THE NUCLEAR ENERGY INSTITUTE TO DISCUSS OPTIONS FOR REVISING THE REGULATORY OVERSIGHT PROCESS

\

On November 12,1998, the NRC conducted a meeting with NEl. The following topics were discussed:

Assessment Process Development Framework Development, including potential objective indicators Inspection Program Development To support discussions, the following attachments were exchanged:

(1) Assessment Handout (2) Mitigation Reliability data (from NEI)

(3) Potential Pls for Barrier Comerstone (4) Inspectable Areas by Cornerstone 2"We gg -

/

\

hl CONTACT: James A. Isom 9N/3 301-415-1109

, . ', , O 1 q.:/ // /1 W\f yot y /wS-fJ

_ . _ . . _ ~ _ . . _ . _ . _ _ _ . _ _ . _ _

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Attachments: 1.~ Agenda

2. List of Attendees
3. Assessment Handout
4. RHR Operating Unreliability - ALL L RHR Demand Unreliability - ALL  ;

Emergency Generator Demand Unreliability - ALL '

HP Safety injection System Unreliability - ALL DHS System Unreliability i

5. Emergency Gen Demand Unreliability by Station l S. Residual HRS Demand Unreliability
7. HP Injection Unreliability
8. Decay HRS Unreliability ,
9. Potential Performance Indicators Barrier Comerstone -
10. Inspectable Areas by Cornerstone l

DISTRIBUTION.

PUBLIC Central Files PIPB R/F F. Gillespie M. Johnson C. Holden A. Madison J. Isom T. Frye J.Jacobson D. Gamberoni R. Barrett 1 P. Baranowsky B. Mallet i

k DOCUMENT NAME: MTG1112. SUM To receive a copy of this document, indicate in the box: "C" = Copy without enclosures "E" = Copy with enclosures

  • N" = No copy OFFICE PIPB: DISP l PIPB: DISP l l l l NAME JAlsom fA MRJohns6nW h ,

V j DATE 11/ M /98 / 11/ 9 /98 OFFICIAL RECORD COPY

1 November 12,1998 NRC/NEl PUBLIC WORKING MEETING AGENDA 8:00AM Welcome/ introduction Alan Madison 8:15am Assessment Development Team Michael Johnson Performing the assessment

- Receiving data

- Organizing / compiling data '

- Comparing data to a standard 10:00am Break 10:15am Resume (Assessment Development Team) Michael Johnson Deciding on action

- Use of a decision model

- Approving the decision

- Communicating the decision 12:00pm Lunch 1:00pm Resume (Assessment Development Team) Michael Johnson Verifying assessment process efficacy

- Priorto/duringimplementation

- Steady state 2:45pm Break 3:00pm Framework Development Team Patrick Baranowsky 4:00pm inspection Rebaselining Team Bruce Mallett 4:20pm NEl Feedback Tom Houghton 4:50 Future interactions Alan Madison 5:00pm Adjourn Nrren w g

l NOVEMBER 12,1998, NRC/NEl MEETING ON PERFORMANCE ASSESSMENT PROCESS IMPROVEMENTS SIGN-lN SHEET NAME ORGANIZATION PHONE NUMBER Bob Acosta Florida Power & Light 561-694-3656 MaryAnn Ashley NRC/NRR 301-415-1073 Pat Baranowsky NRC/AEOD 301-415-1111 i G. Scott Barber NRC/EDO 301-415-2276 Robert W. Boyce PECO Energy 610-640-5620 J. W. Chan OPPD 402-571-9906 Tim Frye NRC/NRR 301-415-1287 l David Gamberoni NRC/NRR 301-415-1144 David Garchow PSEG 609-339-3250 Frank Gillespie NRC/NRR 301-415-1275 ,

Clare Goodman NRC/NRR 301-415-1047  !

Bob Haag NRC/Ril 404-562-4550 Heidi Hahn LANL 505-665-4606 Tom Houghton NEl 202-739-8107  !

Michael Johnson NRC/NRR 301-415-1241 l W. D. Johnson NRC/R-IV 301-415-1325 Steve Lockfort NYPA 914-681-6868 Alan Madison NRC/NRR 301-415-6412 Bruce Mallet NRC/R-Il 301-415-1425 Glen Meyer NRC/RI 610-337-5211 Jim McCarthy Virginia Power 804-273-2699 Chris Miller NRC/Rlli 309-654-2227 H. J. Miller NRC/RI 610-337-5299 l Kevin Neitman BG&E 410-495-4491 l Garreth Parry NRC/NRR 301-415-1464 Jeff Reinhart INPO 770-644-8217 Bill Rufand NRC/R-l 301-415-1380 l

Attachment 2

(

I l

DRLFT ASSESSMENT TASK GROUP KEY DECISIONS Process Step Knowns / Assumptions / Things TBD Fxpected inputs

1. Perform assessment 1A. Receive Framework group will provide a Frequency of data reporting?

data specification of Pis (with Underlying Os: Are relevant data available forall Pls on a thresholds for each) and quarterly basis? If not, what's the appropriate frequency?

inspection /SA areas Does it make sense to have different reporting frequencies inspection group will determine fordifferent Pls? Are aIIplants on the same reporting what/how inspection findings will schedule?

be reported and will provide thresholds for primary inspection How are industry-provided data validated?

areas What happens if industry-provided data are not valid or are Licensee will provide raw data not provided as expected?

plus threshold assessment for each PI Inspection program will provide PIM w/ significance and threshold assessment Pls and SA data will be provided by industry using a voluntary reporting program ; inspection findings will be provided by Ris/SRis DMFT _ _< 3

~

Process Step Knowns / Assumptions / Things TBD Expected inputs

18. Organize / Comerstone framework provides Are all assessment inputs (Pis, primary inspection findings compile data the organizing structure for the and/or SA results) for a given comerstone given the same data consideration?

What information gets " binned" in the organizational framework?

Are cross-cutting areas assessed? If so, how?

What happens when the same assessment input is used for more than one comerstone?

Underlying Os: Can the same assessment input have different meaning when considered in the context of different comerstones? Can a single assessment input have different thresholds for ditferent comerstones?

Woo compiles the data?

When are the data compiled?

i DRAFT

DRAFT Process Step KnownsIAssumptions/ Things TBD Expected inputs 1C. Compare Goalis to develop the standard Are the assessment inputs " rolled-up" to produce an overall grouped data for comparison, which will serve assessment for each comerstone? If so, how? (i.e.: How to a standard as an input to the assessment many white indicators does it take to make a comerstone process white?)

If there is a roll-up, must all comerstones have the same roll-up algorithm?

Is there an aggregation at a higher level than the comerstones (by strategic performance area or as an overall assessment)? If so, how? (i.e., Are all comerstones equal?)

Who performs the comparison?

Frequency of assessment?

How old is the oldest data point?

2. Decide on Goalis to develop a decision What is an appropriate range of actions?

action logic model, which will serve as an input to the assessment Do all comerstones contribute equally to the action process determination?

What level of performance triggers each action?

2A. Apply Frequency of action? (Is the decision model triggered each  :

decision time data are reported? Are actions taken relative to all model plants requiring action at the same time?)

Who applies the decision model?

DRAFT

~ ~~

DiEFI Process Step Knowns / Assumptions / Things TBD Expected inputs

28. Approve Who approves the decision?

decision ,

What is the approval mechanism?

Is there a mechanism for evaluating contradictory evidence?

What form would that evidence take? What constitutes a

" compelling case"?

2C. What is communicated (both form and content) and to Communicate whom? ,

decision '

What is an appropriate range of communications?

Who conducts the communication?

When does the communication occur?

3. Implement decision 3A. Assign Who assigns responsibility / priority?

responsibility /

priority for What is the mechanism for assigrsrg responsibility / priority?

action

DPAFT Process Step Knowns /AssumptionsI Things TBD Expected inputs

38. How does licensee response get factored into future Determine assessments?

action completion Who verifies licensee response and how?

verification How often does verification occur?

4. Verify assessment process efficacy 4A. Initial At what stages of development is the initial benchmarking benchmarking performed?

against historical / Who is responsible for initial benchmarking?

concurrent results What data are considered in the initial benchmarking?

What is the mechanism for initial benchmarking?

Is the initial benchmarking conducted with all plants or a sub-set? If a sub-set, how selected?

DMFT

~ ~

DRAFL -

Process Step Knowns / Assumptions / Things TBD Expected inputs

48. Steady "Overtuming" of PI results will be How often is steady-state evaluation performed?

state process cause to examine indicators and evaluation processes Who is responsible for steady-state evaluation?

(summative evaluation) Also need periodic evaluations, What data are considered in the summative evaluation?

regardless of outcomes What are the criteria against which the process is evaluated?

All stakeholders (NRC, industry, public) have an opportunity to What is the summative evaluation mechanism? .

provide feedback on process t DRAFT

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D9d!?il .

DEFINING PRINCIPLES Defining principles that remain unchanged:

There will be a risk-informed baseline inspection (RIBLI) program that establishes the minimum regulatory interaction for all licensees RIBLI will cover those risk-significant attributes of licensee performance not adequately covered by Pls RIBLI will also verify the adequacy of the Pls and provide for event response Thresholds can be set for licensee safety performance, below which increased NRC interaction (including enforcement) would be warranted Enforcement actions taken (e.g., number of cited violations, amount of CP) should not be an input into the assessment process. However, the issue that resulted in the enforcement action will continue to be an input to assessment Assessment process results might be used to modulate enforcement actions (although assessment results would not affect the assessment of severity of the violation) t 1

DIf[Nf1

_ _)

g;G?l.X g Modified defining principles related to integrated use of Pl and inspection data and

" compelling case":

ORIGINAL

. Pls supplemented with some inspection will form the rebuttable presumption for licensee assessment If risk-significant inspection findings and other information sources indicate that the PI results do not accurately portray licensee safety performance, the findings and information may be used to develop a compelling case to overturn the indicator results NEW Adequate assurance of licensee performance at the cornerstone level requires )

assessment of both Pls and inspection areas (IAs); Pls and IAs deemed necessary to assess a cornerstone have equal importance in this assessment A " compelling case" to overturn PI results may be made when inspections aimed at verifying the adequacy of the licensee's Pl collection and reporting processes indicate weaknesses or when the licensee fails to report Pls ,

2 DRAFT

DiR8dik New defining principles related to thresholds:

Both the Pls and the IAs used to assess a comerstone will have established thresholds, based on risk; there will also be risk-informed thresholds for t comerstones and for an overall assessment Crossing of a PI threshold and a IA threshold will have the same meaning with respect to safety significance; said another way, Pi and IA thresholds will be approximately equal in terms of their risk significance A threshold will be set for unacceptable performance I

i 3

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_._____.__.___.___.______________._________________.___._____._...___-.._._m._____ _ . _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ . _ _ _ _ . _ _ . _ _ _ _ _ _ _ _ _ _

n9 AFT INTEGRATION

- AN OVERALL THRESHOLD IS ESTABLISHED Provides the Basis for Determining Unacceptable Performance Policy Decision

- SIMILAR SIGNIFICANCE IS ASSIGNED TO PI THRESHOLDS AND INSPECTION AREA THRESHOLDS Identifies Potential Performance issues White & Yellow Thresholds are Defined (Consistent with Reg Guide 1.174)

Inspection Findings are Assigned Significance to Aid in Determining if Inspection Thresholds are Crossed '

Used to Trigger Performance issue Follow-Up

- CORNERSTONE THRESHOLDS ARE ESTABLISHED Identifies Potential Generic Performance Problems Thresholds are Defined: Multiple White PI's or Equivalent Inspection Findings Used to Trigger Action Decisions -

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ACTION MATRIX -

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- a. PI or inspection A'ea - Cornerstone Comerstone,lMultiple g " Performance 7$h I

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Licensee

- Licensee Management Licensee Management with Senior Licensee Management i.icensse Actkm Licensee Corrective Licensee Self Licensee a ' . w: Action Assessment with NRC Performance IfQnNw.3 M '

Oversight Improvement Plan F7% with NRC Oversight Response NRC Inspection RegionalInitiative Inspection Focused on Team inspection

& Inspection Cause of Comerstone Focused on Cause of i

- /L * . - Degradation Overall Degradation  ;

Regullstorp. Document Response -Docket Response to -10 CFR 50.54(f) Order to Modify,  !

Actionsj 9.1 to Degrading Area in Degrading Condition Letter Suspend, or Revoke  ;

,yj 3,3 inspection Report -Remove Performance - CAUOrder Licensed Activities  !

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assessment report and inspection plan , assessment report and inspection plan assessment report and inspection plan assessment report and inspection plan l j ICommuni Public%y SRI or Branch Chief RA Discuss EDO Discuss Commission Meeting cation Assessment J Meet with Licensee Performance with Performance with with Senior Licensee ,

'Meetingf Licensee Senior Licensee Management to y[ ' 4 Management Discuss Licensee j M- V Performance DRAFT t

4

DRAFT i i

ASSESSMENT PROCESS Levels of Frequency / Participants Desired Range of Communication ,

Review Timing (* indicates lead) Outcome Action i Level 1 Continuous SRI *, RI, Regional Detect Early Indicator Level None Required Inspectors, Analysts Trends Per AM Level 2 Quarterly /2 Projects: BC*,PE, Input / Check Indicator Level None Required

Weeks After SRI, RI Plant Issues Per AM End Of Each Matrix and Qtr. Performance l

Indicator Data, l Detect Early l

Trends

( Level 3 1 Per Year /3 DRS or DRP-DD*, Detect Trends, Indicator or 6 Month

) Mid Weeks After DRP and DRS BCs, Plan Inspections Cornerstone Inspection 2nd Qtr. For 6 Months Level Per AM Look-Ahead Ends l

Level 3 1 Per Year /4 DRP and DRS DD*, Overall Indicator or Assessment End of Weeks After NRR Rep, OE,01, Assessment of Cornerstone or Ltr., Public l Cycle Cycle Ends BCs, SRI /RI, Plant Perf. Using Overall Level Mtg.,6 Month l PrincipalInspectors, Level 2 Data Per AM Insp. Look-l Other Offices as Ahead Appropriate l Level 4 1 Per Year /2 DIR:NRR*, ras, Overall Indicator or Commission l Weeks After DDs, AEOD, DISP, Assessment of Cornerstone or Briefing, Level 3 End- NRR Rep, OE, OI, Each Plant Overall Level Assessment l of-Cycle Other Offices as Discussed Per AM Ltr., Public Mtg,

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