ML20207C300
| ML20207C300 | |
| Person / Time | |
|---|---|
| Issue date: | 04/09/1999 |
| From: | Merrifield J NRC COMMISSION (OCM) |
| To: | Vietticook A NRC OFFICE OF THE SECRETARY (SECY) |
| Shared Package | |
| ML20207C256 | List: |
| References | |
| SECY-99-063-C, SECY-99-63-C, NUDOCS 9906020242 | |
| Download: ML20207C300 (2) | |
Text
NOTATION VOTE RESPONSE SHEET 1
TO:
Annette Vietti-Cook, Secretary FROM:
COMMISSIONER MERRIFIELD
SUBJECT:
SECY-99-063 - THE USE BY INDUSTRY OF VOLUNTARY INITIATIVES IN THE REGULATORY PROCESS Approved / Disapproved Abstain Not Participating COMMENTS:
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Entered on"AS" Yes /
No 9906020242 990527 RES O E
E PDR 4
COMMISSIONER MERRIFIELD'S COMMENTS ON SECY-99-063 4
I agree with the staff's conclusions regarding what types of voluntary industry initiatives are i
appropriate for consideration as substitutes for NRC regulatory action. I also agree that clear guidelines addressing the process for initiating and implementing voluntary industry initiatives are essential to ensure that such initiatives are effectively and uniformly integrated into the regulatory process. Clearly, these guidelines should promote a consistent and predictable process that makes for efficient use of resources and enhances public confidence.
i As the staff develops guidelines, it should not underestimate the importance of public confidence. The process must provide for public participation and access to information associated with the voluntary industry initiatives. More importantly, it must be clear to the public that substituting voluntary industry initiatives for NRC regulatory action can provide effective and efficient resolution of issues, will in no way compromise plant safety, and does not represent a reduction in NRC's commitment to safety and sound regulation.
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? believe that responsibility for the long-term success of using voluntary industry initiatives as substitutes for NRC regulatory action lies with both the NRC and our licensees. This process can only be successful if licensees effectively manage and implement their commitments associated with these voluntary initiatives and the NRC provides a credible and predictable regulatory response when licensees fail to satisfy these commitments. Failure of either the NRC or licensees to effectively carry out its responsibilities would undermine the regulatory process and serve to erode stakeholder confidence in the ments of using voluntary industry initiatives in this manner. This only reinforces the importance of the ongoing efforts associated with managing NRC commitments and assessing the appropriate enforcement action when commitments are not met. Having reviewed SECY-98-224, SECY-99-007A, and SECY-99-063, it is not clear to me how the staff plans to address enforcement in response to a licensee's failure to meet commitments associated with a voluntary initiative. in SECY-98-224, the staff discusses a licensee's failure to satisfy a commitment in the context of issuing Notices of Deviation. In SECY-99-063, the staff discusses a licensee's failure to satisfy a commitment in the context of 10 CFR Part 50 Appendix B,10 CFR 50.59, and process controls such as Section 182 of the Atomic Energy Act. SECY 99-007A does not address Notices of Deviation in the context of the new oversight process. The staff has indicated that it will assess the enforceability of commitments in the development of the voluntary industry initiative process. As the staff proceeds with this initiative, it should ensure the guidelines that are developed regarding enforcement are consistent with the proposed reactor oversight process improvements and clearly communicated to our stakeholders.
Finally, while I agree with the staff's conclusions, it is clear from the conceptual nature of SECY-99-063 that much work has to be done over the next year before this process is formalized. As with most processes, the devilis in the details. Thus, I believe that the Commission should be afforded the opportunity to weigh in on the guidelines before they are implemented.
6-Y9 99
j UNITED STATES
.-1 NUCLEAR REGULATORY COMMISSION
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MEMORANDUM TO:
William D. Travers
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Executive Director for Operations FROM:
Annette Vietti-Cook, Secretary g -[o
SUBJECT:
STAFF REQUIREMENTS - SECY-99 063 - THE USE BY INDUSTRY OF VOLUNTARY INITIATIVES IN THE REGULATORY PROCESS The Commission has approved the staff's recommendation that voluntary industry initiatives will not be used in lieu of regulatory action where a question of adequate protection of public health and safety exists. Voluntary industry initiatives are approved as an appropriate substitute for NRC regulatory action where the action to be taken is needed to meet existing squirements or for cases where substantial increase in overall protection can be achieved wir
,sts of implementation just;fying the increased protection. The Commission has agre, that the current regulatory framework does not preclude voluntary industry initiatives and exiu. ; regulatory processes can be used to support implementation of voluntary initiatives. The staff should move forward, working with industry and other stakeholders, in the development of the process and guidelines for use of industry initiatives in the regulatony process. The guidelines should be provided to the Cor. mission for review prior to their implementation.
(EDO)
(SECY Suspense:
5/31/2000)
The staff should ensure that the guidance developed accounts for the tracking of commitments consistent with existing regulatory processes, as well as the inspection and enforcement of voluntary industry initiatives that are implemented in lieu of regulatory requirements. Based on SECY-98-224, SECY-99-007A, and SECY-99-063, it is not clear how the staff plans to address enforcement in response to a licensee's failure to meet commitments associated with a voluntary initiative. In SECY-98-224, the staff discusses a licensee's failure to satisfy a commitment in the context ofissuing Notices of Deviation. In SECY-99-063, the staff discusses a licensee's failure to satisfy a commitment in he context of 10 CFR Part 50 Appendix B,10 CFR 50.59, and process controls such as Section 182 of the Atomic Energy Act. SECY 007A does not address Notices of Deviation in the context of the new oversight process. The staff has indicated that it will assess the enforceability of commitments in the development of the voluntary industry initiative process. As the staff proceeds with this initiative, it should ensure the guidelines that are developed regarding enforcement are consistent with the proposed reactor oversight process improvements and clearly communicated to our stakeholders.
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The guidance should address how plants that do not fully commit to a particular voluntary industry initiative, and are therefore not subject to related enforcement, will be handled. It should also include the agency's decision-making process in pursuing and endorsing a MGLO2M
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o particular voluntary initiative (e.g., whether this is a staff action or Commission decision).
' As the staff develops guidelines, it should not underestimate the importance of public confidence. It must be clear to the public that substituting voluntary industry initiatives for NRC regulatory action can provide effective and efficient resolution of issues, will be controlled and monitored so as to ensure plant safety is not compromised, and does not represent a reduction in NRC's commitment to safety and sound regulation.
The staff should determine to what extent the process will apply to non-power reactors, decommissioning reactors, and materials and other licensees.
1 cc:
Chairman Jackson -
)
Commissioner Dicus Commissioner Diaz Commissioner McGaffigan Commissioner Merrifield OGC CIO CFO OCA O!G OPA Office Directors, Regions, ACRS, ENW, ASLBP (via E-Mail)
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