ML20209F806

Informs That NRC Making Significant Change to Process for Overseeing Safety Performance of Commerical Nuclear Power Plants.Info Re New NRC Initiatives Provided

ML20209F806
Person / Time
Issue date:	06/30/1999
From:	Shirley Ann Jackson, The Chairman NRC COMMISSION (OCM)
To:	J. J. Barton, Baucus M, Biden J, Bliley T, Chafee J, Dingell J, Dodd C, Domenici P, Gejdenson S, Graham B, Randy Hall, Inhofe J, Lieberman J, Markey E, Murkovski F, Packard R, Reid H, Visclosky P HOUSE OF REP., SENATE
References
NUDOCS 9907160135
Download: ML20209F806 (37)

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g WASHINGTON, D.C. 20666-4001-3.,....j June 30, 1999 CHAMMAN The Honorable John Chafee United States Senate Washington, D.C. 20510

Dear Senator Chafee:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC hn identified the opportunity to improve its rogulatory oversight of licenser.s in order to enhance :ts ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, essessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance; i

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2. place greater regulatory attention on licensees with performance problems and

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reduce regulatory attention on facilities that perform acceptably,

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3. implement objective performance measurements which are based upon research p

and operating experience; i

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4. provide stakeholders, the public and licensees timely and understandable 1

i assessment of plant performance;

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5. respond to regulatory violations in a predictable and consistent manner that reflects

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the safety impact of the violation; j'O N

6. provide a more effective and efficient approsch to maintaining safety.

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The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public rneetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We hr se enclosed a copy of our publication, "New NRC Reactor Inspection anJ Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additionalinformation on the revised rear. tor oversight process and other initiatives we have under development.

I Sincerely, 1

d.b E'hirley Ann Jackson

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Enclosure:

As stated i

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4 June 30, 1999 CHAIRMAN The Honorable Max Baucus United States Senate Washington, D.C. 20510

Dear Senator Baucus:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially cver the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified tP,e opportunity to improve its regulatory oversight of licensees in order to enhance its ability to distinguish plant performance in a predictable, objectivo, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implement objective performance measurements which are based upon research and operadng experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation:

6. provide a more effective and efficient approach to maintaining safety.

i 1

4 2

The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety l

performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are i

holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process, in fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor oversight process and other initiatives we have under development.

I Sincerely, I

Shirley Ann Jackson

Enclosure:

As stated I

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%,.....,o June 30, 1999 CHAIRMAN The Honorable James Inhofe United States Senate Washington, D.C. 20510

Dear Senator Inhofe:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the j

performance of the nuclear industry, especially over the past ten years. These improvements

)

are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified the opportunity to improve its regulatory oversight of licensees in order to enhance its ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

4 2

The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as itr, stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local j

stakeholders and to gain their insights. State regulators have been invited to and have ettended

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inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additionalinformation on the revised reactor oversight process and other initiatives we have under development.

Sincerely, hb__ _

Shirley Ann Jackson

Enclosure:

As stated

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June 30, 1999 CHAIRMAN The Honorable Bob Graham United States Senate Washington, D.C. 20510

Dear Senator Graham:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the auclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified the opportunity to improve its regu;atory oversight c, ;icensees in order to enhance its ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

'3.

implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

O 2

The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external j

Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

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The new oversight process is currently being tested at nine plants as part of a pilot program that

]

began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest i

groups, and the industry continue to participate in public meetings and workshops to help define f

our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended I

inspector training sessions on the new process, in fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of irr.plementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor Inspeution and Oversight j

Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this

{

publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additionalinformation on the revised reactor oversight process and other initiatives we have under development.

Sincerely, 1

Shirley Ann Jackson

Enclosure:

As stated

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UNITED STATES p

t NUCLEAR REGULATORY COMMISS!ON WASHINGTON, D.C. 20666-0001 e

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June 30, 1999 CHAIRMAN The Honorable Harry Reid United States Senate Washington, D.C. 20510

Dear Senator Reid:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as cart of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overali improvements in the performance of the nuclear industry, e::pecially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and irnprovements in equipment reliability. With improved plant performance, the NRC :.as identif'ed t.a opportunity to improve its regulatory oversight of licensc.as in order to enhance.ts ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspecticn, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implement objective performance measurements which are based upon research

. and operating experience; 4.' provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

l

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2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room, cinally, the new process clearly defines the degree and extent of regulatory action.

{

The new oversight process is currently being tested at nine plants as part of a pilot program that j

began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned, In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor inspection and Oversight Program (NUREG 1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor oversight process and other initiatives we have under development.

Sincerely,.

b Shirley Ann Jackson

Enclosure:

As stated L

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UNITED STATES NUCLEAR REGULATORY COMMISSION y

WASHINGTON, D.C. 20656-0001 O

e June 30, 1999

'"^ " '"

The Honorable Pete V. Domenici United States Senate Washington, D.C. 20510 4

Dear Senator Domenici:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial r.uclear power plants. I would j

like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant j

performance and takes into consideration the substantial overallimprovements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identifiect the opportunity to improve its regulatory oversight of licensees in order to enhance its ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety focus. The new program will also serve to integrate

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the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance; l

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably-

3. implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

4 9

2'

- The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-

~

focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently beir:g tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons leamed.

In an effort to include stakeholder concems in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight j

evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process.' In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor Inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor oversight process and other initiatives we have under development.

Sincerely, j

Shirley Ann Jackson Enciosure: As stated i

i

p#% 4 UNITED STATES

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NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20666-0001

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June 30, 1999 CHAIRMAN The Honorable Joseph R. Biden United States Senate I

Washington, D.C. 20510

Dear Senator Biden:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as pan of " reinventing government" initiatives and comments received from Cor gressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified the opportunity to improve its regulatory oversight of licensees in order to enhance its ability to distinguish plant performance in a predictable, objective, and risk-informed j

manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problerns and j

. reduce regulatory attention on facilities that perform acceptably, i

3. implement objective performance measurements which are based upon research and operating expenence;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

1

2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable piant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to inciude stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

f We have enclosed a copy of our publication, "New NRC Reactor Inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this j

publication will help you in gaining a better understanding of this new initiative. The NRC s'.n 'is available to meet with you or your staff to provide additionalinformation on the revised reactor oversight process and other initiatives we have under development.

Sincerely, l

i Shirley Ann Jackson

Enclosure:

As stated

v

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NUCLEAR REGULATORY COMMISSION g

WASHINGTON, D.L. 20tH&0001

\\*****p June 30, 1999 CHAMAN The Honorable Joseph I. Lieberman United States Senate Washington, D.C. 20510

Dear Senator Lieberman:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholdert The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified the opportunity to improve its regu;atory oversight c. licensees in order to enhance its ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implerN't objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance; I

5. respond to regulatory violations in a predictable and consistent manner that reflects j

the safety impact of the violation;

6. provide a more effective and efficient approach to mainte.ining safety.

1 I

I

2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant

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performance data as well as clearly defined thresholds which will result in regulatory action. The

- new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-i focused regulation designed to protect the pub;ic health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process cleany defines the degree and extent of regulatory action.

j The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor inspation and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor oversight process and other initiatives we have under development.

Sincerely, b,

Shirley Ann Jackson

Enclosure:

As stated

./

Nr UNITED STATES y

g NUCLEAR REGULATORY COMMISSION WASHINGTON. D.C. 20666-0001 June 30, 1999 CHAMMAN The Honorable Christopher Dodd United States Senate Washington, D.C. 20510

Dear Senator Dodd:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC i.as identified the opportunity to improve its s egulatory oversight of licensees n, order to enhance its ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

5. implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation; 6 provido a more effective and efficient approach to maintaining safety.

I

O The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process wih provide the NRC, as well as its stakeholders and the public, with 3

more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Pub.lic Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this pub lication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor oversight process and other initiatives we have under development.

Sincerely, bM Shirley Ann Jackson

Enclosure:

As stated

9

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UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 2066H001 5

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June 30, 1999 CHAIRMAN The Honorable Frank Murkowski United States Senate Washington, D.C. 20510

Dear Senator Murkowski:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other externa,1 stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified u se opportunity to improve its regulatory oversight of licensees in order to enhance its ability to distinguish plant performance in a predictable, objectivu, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakehcMars and the public, with mere timely and objective dat t helping them make better decisions and assuring more safety-focused regulation designed 13 protect the public health and safety. Plant performance and inspection data will be updde i quarterly and made available to the public on the NRC's external Web site as well as in the Putlic Document Room. Finally, the new process clearly defines the degree and extent cf regulatoiy action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have encloseci a copy of our publication, "New NRC Reactor inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additionalinformation on the revised reactor oversight process and other initiatives we have under development.

Sincerely, d.=

Shirley Ann Jackson

Enclosure:

As stated i

UNITED STATES y

'g NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20666-4001 t

0, June 30, 1999 CHAIRMAN The Honorable Peter J. Visclosky United States House of Representatives Washington, D.C. 20515

Dear Congressman Visclosky:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinvent;ng government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions b the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified the opportunity to improve its regulatory oversight of licensees in order to enhance its ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure. hey are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent publ;c communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additionalinformation on the revised reactor oversight process and other initiatives we have under development.

Sincerely, Shirley Ann Jackson

Enclosure:

As stated i

i l

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UNITED STATES y

'g NUCLEAR REGULATORY COMMISSION g

g WAsFNGToN, D.C. 20656-0001 June 30, 1999 CHAIRMAN The Honorable Ron Packard United States House of Representatives Washington, D.C. 20515

Dear Congressman Packard:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the auclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified the opportunity to improve its reguiatory oversight os iicensees in order to enhance its ability to distingui.,h plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the, agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on f icilities that perform acceptably;

3. implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance; S. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance probiems result. Th process will provide access to clear, understandable plant performance data as well as clean, def'ned thresholds which will result in regulatory action. The new oversight process will provide the NC, as well as its stakeholders and the public, with more timely and objective data, helping them make beiter decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external i

Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons leamed.

j in an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define

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our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are f

holding public meetings in the vicinity of each pilot program site in order to inform local j

staktholders and to gain their insights. State regulators have been invited to and have, attended

)

inspector training sessions on the new process. ln fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversigh+. process.

We have enclosed a copy of our publication, "New NRC Reactor Inspwtion and Oversight Program (NUREG-164R Pev.1)," which briefly discusses the new process. We hope this publication will help y:., 3 gaining 4 better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additionalinformation on the revised reactor oversight process and other initiatives we have under development.

Sincerely, Shirley Ann Jackson

Enclosure:

As stated i

UNITED STATES p

6 NUCLEAR REGULATORY COMMISSION S

WASHINGTON, D.C. 20665-0001 g

a

%,..... p June 30, 1999 CHAMMAN The Honorable San Gejdenson United States House of Representatives Washington, D.C. 20515

)

Dear Congressman Gejdenson As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC 1.as identified the opportunity to improve its s egulatory oversight of licensees in order to enhance Es ability to distinguish plant performance in a predictable, objecSve, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implement u~ jective performance measurements which are based upon research o

and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation; 6, provide a more effective and efficient approach to maintaining safety.

1

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2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with

' more timely and objective data, helping them make better decisions and assuring more safety-

. focused regulation designed to protect the public health and safety. Plant performance and

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inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

3 i

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, hi the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication,'New NRC Reactor Inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly Cscusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additionalinformation on the revised reactor 3

oversight process and other initiatives we have under development.

Sincerely, Shirley Ann Jackson

Enclosure:

As stated

/"

UNITED STATES p

• g NUCLEAR REGULATORY COMMISSION

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WASHINGTON, o.C. 20666 4 001

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June 30, 1999 CHARMAN The Honorable Edward Markey United States House of Representatives Washington, D.C. 20515.

Dear Congressman Markey:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant perfo maqce, the NRC has identified :he opportunity to improve its regu! story oversight of licensees in order to enhance its ability to d;stinguish plant performance in a predictable, objectivc, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater reguiatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implement objective performance measurements which are based upon research and operating experience; j

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance; I

5. respond to regulatory violatioris in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

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l

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The new reactor oversight process will enhance the ability of the agency and licensees to focus on : safety-significant issues to ensure they are corrected before more substantial safety performance problems result. - The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The

. new oversight process will provide the NRC, as well as its stakeholders and the public, with

- more timely and objective data, helping them make better decisions and assuring more safety-focused regulation. designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which it integral to the assessment of the new prorpam. We are

. holding public meetings in the vicinity of each pilot program site in order to Mmrm local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor oversight process and other initiatives we have under development.

Sincerely, b

Shirley Ann Jackson

Enclosure:

As stated i

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UNITED STATES p

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%.....p June 30, 1999 CHAMMAN t

The Honorable John Dingell United States House of Representatives Washington, D.C. 20515

Dear Congressman Dingell:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in. assessing plant i

performance and takes into consideration the substantial overall improvements in the performance of the nuclearindustry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment.

problems, and improvements in equipment reliability. With improved plant performance, the

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NRC has identified the opportunity to improve its regulatory oversight of licensees in order to enhance its ability to distinguish plat performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate i

the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

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1. focus its actions on those activities of greatest safety significance; l

2. place greater regulatory attention on l;censees with performance problems and

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reduce regulatory attention on facilities that perform acceptably;

3. implement objective performance measuremer.ts which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable

)

assessment of plant performance-1 1

5. respond to regulatory violations in a predictable and consistent manner that reflects

)

the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

5 e

2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will pro' ide the NRC, as well as its stakeholders and the public, with more timely and objective data, nelping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted publM participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define

{

our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessicns on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

l We have enclosed a copy of our publication, "New ; RC Reactor inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor

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oversight process and other initiatives we have under development.

1 l

Sincerely, i

b a

Shirley Ann Jackson

Enclosure:

As stated l

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UNITED STATES i

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g WASHINGTON, D.C. 20886-0001 g

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June 30, 1999 CHARMAN The Honorable Ralph M. Hall United States House of Representatives Washington, D.C. 20515

Dear Congressman Hall:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to

)

its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part I

of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

}

The new process will apply more objective and safety focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the i

performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified the opportunity to improve its regu.atory oversight u. licensees in order to enhance its ability to distinguish plant performance in a predictable, objective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's (ispection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on f acilities that perform acceptably;

3. implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

C

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2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external

' Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversicht process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons leamed.

In an effort to include stakeholder concems in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State reaulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor Inspeuion and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor q

oversight process and other initiatives we have under development.

]

Sincerely, J' L W

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Shirley Ann Jackson

Enclosure:

As stated i

i i

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UNITED STATES o

NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 l

I o

June 30, 1999 CHAIRMAN The Honorable Joe Barton United States House of Representatives Washington, D.C. 20515

Dear Congressman Barton:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions in the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC hr.s :dentifiod the opportunity to improve its regulatory oversight of license;s in order to enhance i's ability to distinguish plant performance in a predictable, cbjective, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate I

the agency's inspection, assessment, and enforcement processes.

t Through the revised reactor safety oversight program the NRC will:

1. focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictable and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

C

+

e 2

The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to protect the public health and safety. Plant performance and inspection data will be updated quarterly and made available to the public on the NRC's external Web site as well as in the Public Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

{

t In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest i

groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are 1

holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended j

inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We he"9 enclosed a copy of our publication, "Nevt NRC Reactor Inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this i

publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additionalinformation on the revised reactor oversight process and other initiatives we have under development.

Sincerely, b

Shirley Ann Jackson

Enclosure:

As stated

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NUCLEAR REGULATORY COMMISSION g

g WASHINGTON, D.C. 20666-0001

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June 30, 1999 CHAIRMAN The Honorable Tom Blifey United States House of Representatives Washington, D.C. 20515

Dear Congresman Bliley:

As you know, the U.S. Nuclear Regulatory Commission (NRC) is making a significant change to l

its process for overseeing the safety performance of commercial nuclear power plants. I would like to provide you with information regarding our new initiatives. The impetus behind this comprehensive change comes from the NRC's own reviews of its regulatory processes as part of " reinventing government" initiatives and comments received from Congressional committees, public interest groups, state regulators, the industry, and other external stakeholders.

The new process will apply more objective and safety-focused criteria in assessing plant performance and takes into consideration the substantial overall improvements in the performance of the nuclear industry, especially over the past ten years. These improvements are reflected, in part, by reductions m the number of events that require the operation of automatic safety equipment, the number of power plant outages caused by equipment problems, and improvements in equipment reliability. With improved plant performance, the NRC has identified De opportunity to improve its regulatory oversight of licensees in order to enhance its ability to distinguish plant performance in a predictable, objectivc, and risk-informed manner, thus improving the agency safety-focus. The new program will also serve to integrate the agency's inspection, assessment, and enforcement processes.

Through the revised reactor safety oversight program the NRC will:

1 focus its actions on those activities of greatest safety significance;

2. place greater regulatory attention on licensees with performance problems and reduce regulatory attention on facilities that perform acceptably;

3. _ implement objective performance measurements which are based upon research and operating experience;

4. provide stakeholders, the public and licensees timely and understandable assessment of plant performance;

5. respond to regulatory violations in a predictabie and consistent manner that reflects the safety impact of the violation;

6. provide a more effective and efficient approach to maintaining safety.

l o

/

2 The new reactor oversight process will enhance the ability of the agency and licensees to focus on safety-significant issues to ensure they are corrected before more substantial safety performance problems result. The process will provide access to clear, understandable plant performance data as well as clearly defined thresholds which will result in regulatory action. The new oversight process will provide the NRC, as well as its stakeholders and the public, with more timely and objective data, helping them make better decisions and assuring more safety-focused regulation designed to r,rotect the public health and safety. Plant performance and inspection data will be updateo quarterly and made available to the public on the NRC's external Web site as well as in the Puslic Document Room. Finally, the new process clearly defines the degree and extent of regulatory action.

The new oversight process is currently being tested at nine plants as part of a pilot program that began in June 1999. The results of the pilot program will be evaluated and the revised reactor oversight process will be modified to reflect lessons learned.

In an effort to include stakeholder concerns in the development of our new initiative we enlisted public participation at each stage of the change process. State regulators, public interest groups, and the industry continue to participate in public meetings and workshops to help define our new process. Representatives from these groups will be part of a pilot program oversight evaluation advisory panel, which is integral to the assessment of the new program. We are holding public meetings in the vicinity of each pilot program site in order to inform local stakeholders and to gain their insights. State regulators have been invited to and have attended inspector training sessions on the new process. In fact, in the future, we anticipate more frequent public meetings and more frequent public communication as a result of implementing the new oversight process.

We have enclosed a copy of our publication, "New NRC Reactor inspection and Oversight Program (NUREG-1649, Rev.1)," which briefly discusses the new process. We hope this publication will help you in gaining a better understanding of this new initiative. The NRC staff is available to meet with you or your staff to provide additional information on the revised reactor oversight process and other initiatives we have under development.

Sincerely, b

Shirley Ann Jackson

Enclosure:

As stated N-

Unitec' States Nuclear Reg ulatory Commission New NRC Reactor Inspection and Oversight Program Ib

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NUREG-1649, Rev.1 jg May 1999

AVAILABILITY NOTICE Availability of Reference Materials Cited in NRC Publications NRC puhlientians in the NUREG series, NRC regu-NRC Pubhc Document Room lations, and TMs 10, Energy, of the Code ofFederal 2120 LStreet, N.W., Lower Level Moguistions, may be purchased from one of the fol-Washington, DC 20555-0001 lowing sources:

< http://www.ntc. gov /NRC/PDR/pdr1.htm >

1 -800-397-4200 or locally 202-634-3273 U.S. Government Printing Office Microfichs of most NRC documents made publicly RO. Box 37082 available since January 1981 may be found in the Washington, DC 20402-9328 Local Public Document Rooms (LPDRs) located in

<http://www access.gpo. gov /su_ docs >

the vicinity of nuclear power plants. The locations 202-512-1800 of the LPDRs may be obtained from the PDR (see pr#VI U8 Paragraph) or through:

2. N N TWicalih h Springfield, VA 22161-0002

<http://www.nrc. gov /NRC/NUREGS/

<http://www ntis. gov /ordomow>

SR1350/V9/ipdr/html>

703-487-4650 Publicly released documents include, to name a The NUREG series compnses (1) brochures few, NUREG-series reports; Federal Register no-(NUREG/BR-)000(), (2) proceedings of confer-tices; applicant, licensee, and vendor documents onces (NUREG/CP-)000(), (3) reports resulting and correspondence; NRC correspondence and from intomatonal agreements (NUREG/lA-)000(),

intomal memoranda; bulletins and information no-(4) technical and administrative reports and books tices; inspection and investigation reports; licens-

[(NUREG-)000() or (NUREG/CR-)000()], and (5) se event reports; and Commission papers and compilations of legal decisions and orders of the their attachments Commisson and Atomic and Safety Uoensing Boards and of Omce Drectors' decisions under Documents available from public and special tech.

Sechon 2.206 of NRC's regulatons (NUREG.

nical libranes include all open literature items, such 3000(),

as books, joumal articles, and transactior e, Feder-al Regisesr notices, Federal and State legislation, A sing 6e copy of each NRC draft report is available and congressional reports. Such documents as free, to the extent of supply, upon written request theses, dissertations, foreign reports and transla-as follows' tions, and non-NRC conference proceedings may be W h M sponsonng wganh Address: Office of the Chief inicin,A,6 Officer Reproduction and Distribution Copies of industry codes and standards used it) a Services Section substantwo manner in the NRC regulatory process U.S. Nuclear Regulatory Commission are meantained at the NRC Ubrary, Two White Rint Washington, DC 20555-0001 North, 11545 Rockville Pike, Rockville, MD E-mail:

< DISTRIBUTION @nrc. gov >

20852-2738. These standards are available in the Facsimile: 301 -415-2289 hbrary for reference use by the public. Codes and are us@ copyW W may k A portion of NRC regulatory and technicalinforma-pun Who @ating wganW,on w, N tion is available at NRC's World Wide Web site:

they are American National Standards, from-N /***'"'C'90V*

American National Standards Institute All NRC documents released to the public are avail.

11 West 42nd Street

, able for inspection or copying for a foe, in paper, New York, NY 10036-8002 microfiche, or, in some cases, diskette, from the

<http://www. ansi.org>

Public Document Room (PDR):

212-642-4900

New NRC Reactor Inspection and Oversight Program May 1999 e,9* "'*%

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NUREG-1649, Rev.1

New NRC Reactor Inspection and Oversight Program The Nuclear Regulatory Commission is of significant safety problems, and the number f

revamping its inspection and oversight pro-of outages caused by equipment problems have gram for commercial nuclear power plants.

all decreased.

The new program takes into account improve-ments in the performance of the nuclear indus.

The improvements in plant performance try over the past twenty years and the desire of can be attributed both to efforts within the the NRC to apply more objective, timely, nuclear industry and to successful regulatory safety-significant criteria in assessing perfor_

oversight. Despite this success, the NRC has mance, as well as the agency's need to effec-noted that the current processes for inspection, tively regulate the industry with a smaller staff assessment, and enforcement are not always and budget.

focused on the most important safety issues.

In some situations, regulatory activities have The new program will be tested at nine been redundant or inefficient and, at times, nuclear power plants on a pilot basis, begin-overly subjective. NRC actions have not ning in June. This experience will be used to always been sufficiently understandable or l

evaluate and, if needed, modify the new pro-predictable.

cesses before they are extended to all plants next year.

To address these concerns, the new over-sight program calls for:

The impetus behind this comprehensive change in approach came both from the NRC's O Focusing inspections on activities where own fundamental reviews of its regulatory the potential risks are greater program as part of the " reinventing govern-O Applying greater regulatory attention to ment process and from concerns expressed by facilities with performance problems and the nuclear industry, Congressional committees, reducing regulatory attention on facilities and public interest groups.

that perform well The commercial nuclear power industry in O

Using objective measurements of the the United States is a mature industry. Most of performance of nuclear power plants the more than 100 nuclear plants have been whenever possible operating for more than 10 years, and half of O Giving the nuclear industry and the public them have operated for more than 20 years.

The industry has not informed the NRC of any timely and understandable assessments of plans for new nuclear plants, although the NRC pl nt performance has approved standardized designs for im-O Minimizing unnecessary regulatory proved nuclear power facilities.

burdens on nuclear facilities All the evidence suggests that the safety 0 Responding to violations of regulations in l

and reliability of the nuclear industry has a predictable and consistent manner that improved markedly since the mid-1980's. The reflects the safety impact of the violations number of automatic shutdowns, the number (continued on next page)

U.S. Nuclear Regulatory Commission 1

r The key features of the program deal with The objective is to n,itor performance in new methods for assessing performance and three broad areas -' reactor safety (avoiding inspecting to a'sure safe operation. 'The accidents and ' reducing the consequences of 1

s program spells out more clearly what a accidents if they occur); radiation safety for nuclear plant operator can expect with good plant 6'or'kers and the public during routine l

performance and what agency actions will be

~ operations; and protection of the plant against taken if performance decline.s.

sabotage or other security threats.

The new commercial nuclear plant over-Another way of looking et the mission is to sight program is, of course, anchored in the identify the " cornerstones" of safe nuclear NRC's mission to ensure public health and plant operation in each of the three areas:

safety in the operation of such power plants.

Reactor Safety Cornerstones Initiating Events - minimizing events that could lead to an accident Mitigation Systems - assure the ability of safety systems to iespond to and lessen the severity of an accident 1

Barrier Integrity - maintain barriers to the release of radioactivity in an accident Emergency Preparedness - plans by the utility and governmental agencies to shelter or J

evacuate people in the community in the event of a severe accident

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Radiation Safety Cornerstones Plant worker - minimize exposure during routine operations General public - provide adequate protection during routine operations Security Cornerstone Physical protection of plant and nuclear fuel Cross-Cutting Elements Three cross-cutting elements are part of each of these cornerstones:

Human performance Management attention to safety and workers' ability to raise safety issues

(" Safety-conscious" work environment)

Finding and fixing problems (Utility's corrective action program) 2 Reactor Inspection and Oversight Program

l Measuring Nuclear Plant Performance Indicators Performance eerformance indicators use objective data to monitor each of the " cornerstone" area.

Nuclear plant performance will be measured The data which make up the performance by a combination of objective performance indicators will be generated by the utilities indicators and by the NRC inspection program and submitted to the NRC. The NRC will also that will be focused on those plant activities monitor plant activities through its inspection which have the greatest impact on safety and program both to verify the accuracy of the overall risk.

performance indicator information and to assess performance that is not measured by the performance indicators.

The principal performance indicator: now planned are:

Safety Cornerstone Performance Indicator Initiating events Unplanned reactor shutdowns (automatic and manual)

Loss of normal reactor cooling system following unplanned shutdown

" Transients" - unplanned events that result in changes in reactor power Mitigating Systems Safety system not available Specific Emergency Core Cooling Systems

• Emergency Electric Power Systems Safety system failures Integrity of Barriers to Fuel cladding (measured by radioactivity in reactor cooling Release of Radioactivity system)

Reactor cooling system leak rate Reactor containment leak rate (when tested)

Emergency Preparedness Emergency response organization drill performance Readiness of emergency response organization Availability of notification system for area residents Occupational Radiation Compliance with regulations for controlling access to radiation Safety areas in plant Uncontrolled radiation exposures to workers greater than 10 percent of regulatory limit Public Radiation Safety Effluent releases requiring reporting under NRC regulations and license conditions Physical Protection Security system equipment availability Personnel screening program performance Employee fitness-for-duty program effectiveness (continued on next page)

U.S. Nuclear Regulatory Comn.lssion 3

lnsp0CliOns

1. Inspecen of areas not covered by perfonnance indicators for which a performance indicator does not fully cover the inspection area:

4 The new inspection program will include baseline inspections common to all nuclear

2. Inspections to verify the accuracy of infor-plants. Inspections beyond the baseline will be mation provided by a licensee's perfor-performed at plants with performance below a mance indicators; and specified threshold, based on performance 3 A comprel.ensive review of the utilitis indicators inspection findings. Additional inspections may also be performed in response effectiveness in finding and resolving to a specific event or problem at a plant.

pr blems.

The baseline inspection program will be The baseline inspection program will be v lu ted through the pilot program to deter-

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based on the " cornerstone" areas important to mine the resources needed to conduct the safety. It will focus on activities and systems insp ctions. Compared to the existing program.

that are " risk si nificant," that is those activi-some reduction of resources is expected for the 8

ties and systems that have a potential to ini-better performing plants.

tiate an accident, mitigate the effects of an accident, or increase the consequences of a As is the current practice, inspection re-possible accident. The inspection program ports will be issued for all inspections. The will also review how the utilities find and reports are available to the public. When the fix problems.

NRt"s new document raanagement system begins operation later this year, the reports will The inspections will be performed by NRC be available on the agency's Internet Web site.

)

resident inspectors stationed at each nuclear power plant, and by inspectors based in one of the four NRC regional offices or in NRC Head-Assessing Plant Performance quarters in Rockville, Maryland. The regional offices are in King of Prussia, Pennsylvania:

The performance indicator data, submitted Atlanta, Georgia; Lisle, Illinois; and by the utilities, will be evaluated and inte-grated with the findings of the NRC inspection Arlington, Texas.

program. Each of the performance indicators The redesigned inspection program was has criteria for measuring acceptable perfor-nce. (Like all industrial activities, nuclear developed using a " risk-informed" approach to Power plar.ts are not error-free or risk-free.

select areas to inspect within each cornerstone.

Equipmen: problems will occur. Eaca perfor-The inspection areas were selected because of esigmd to deynune m nce in rs their importance from the point of view of acceptable levels of operation within adequate potential risk. past gerational experience, and safety margins.)

regulatory requirements. Within each inspec-tion area, the scope of the inspection will be The performance indicators will be moni-set using the same assessment of risk signif1-tored by the NRC staff and reported quarterly cance. The degree to which the area is mea-by the utilities. Signihcant problems identified sured by a performance indicator also affects by performance indicators or by NRC inspec-the scope.

tors will be dealt with promptly.

The baseline inspection program has Each performance mdicator and inspecti-n three parts:

assessment will be categorized to determine the

{

appropriate regulatory response:

4 Reactor InspeMion and Ovenight Program

Category " Green" - Performance only calling sured by the performaace indicators and by for NRC " baseline" oversight inspection findings. Every six months this Cornerstone objectives fully met review will be expanded to include planning of inspections for the following six-month penod.

No significant deviation from expected performance For those performance indicators and inspection areas outside of the green cat-Category " White" - Performance calling for egory, the agency may increase its inspection increased regulatory response and oversight activities in those affected areas.

l Cornerstone objectives met with minimal Each year, the final quarterly review will reduction in safety margin involve a more detailed assessment of piant Outsir e bounds of expected performance performance over the previous 12 months and 8

preparation of a performance report, as well as Changes in performance but with very the inspection plan for the following six-small effect on accident risk month period. This review will include NRC Category " Yellow" - Performance calung for headquarters staff members as well as the required regulatory response regional staff and the resident inspectors.

Cornerstone objectives met but with An annual review will also be used to reduction in safety margin affirm that those plants with declining perfor-mance that require action from NRC regional Changes in performance with a small offices or from headquarters have been appro-effect on accident risk priately considered. These plants will be Category " Red" - Unacceptable performance.

discussed at an annual meeting of the NRC's Plant performance significantly outside seni r m n gers. AH sus plang also wiH be discussed during a public Commission meeting design basis i

on plant psformance.

Loss of confidence in ability of plant to nrovide acurance of public healtn and Following the Commission meeting, the safety if it continues to operate nnual perfonnance reports for all plants will be issued and the NRC staff will hold public Significant reduction in margins of safety.

meetings with each licensee to discuss the The inspection staff has developed a pro-cess to determine the safety significance of inspection findings. The inspectors will clearly How the NRC Will Respond describe the plant conditions observed and the effect of those conditions on plant safety tO Plant Performance systems. An initial review would identify the i

inspection findings that would not result in a The quarterly reviews of plant performance, significant increase in risk; these inspection using the performance indicators and inspec-findings would not be analyzed further. Those tion assessments, veill determine what addi-inspection findings not eliminated in this tional action, if any, the NRC will take. This initial screening would be subject to a more process is intended to be more predictable than

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thorough nsk assessment. This,in turn, would current practices by linking regulatory actions I

help deteidne what NRC action is called for.

to performance criteria. The new proc.ess Each calendar quarter, the resident inspec.

provides for four levels of regulatory response tors and the inspection staff in the regiunal beyond the baseline inspection and oversight office wiH review the performance of all program. The first two levels of increased nuclear power plants in that region as mea-(continued on next page)

U.S Nuclear Regulatory Commission 5

regulatory review would be managed by the attention of senior managers from both head-appropriate regional office. The higher levels quarters and a regional office.

would be an agency response, involving the Assessent of Plant Performance (in order of increasing safety significance)

NRC Response I. All Performance Indicators and Cornerstone Routine resident inspector and staff Inspection Findings GREEN interaction Normal baseline inspection program Cornerstone objectives fully met.

Annual assessment public meeting II. One or two inputs WHITE in different Response at Regional level e

Staff to hold public meeting with cornerstones utility management Cornerstone objectives fully met.

Utility corrective action to address WHITE inputs with NRC oversight NRC inspection followup on WHITE inputs and corrective action

)

1 III. One degraded cornerstone (two inputs Response at Regional level WHITE or one input YELLOW) or three Senior Regional Management to hold cornerstone WHITE public meeting with utility management

)

Utility to conduct self-assessment with Cornerstone objectives met with NRC oversight minimal reduction in safety margin Utility submits response to degraded area Additional inspections focused on cause of degraded performance IV. Repetitive degraded cornerstone, multiple Response at Agency level degraded cornerstones, or multiple Executive Director for Operations to hold public meeting with senior utility management Cornerstone objectives met with Utility develops performance longstanding issues or significant improvement plan with NRC oversight reduction in safety margin NRC team inspection focused on cause of degrad< d performance

" Demand for Information" or

" Confirmatory Action Letter" or Order V. Overall RED (unacceptable performance)

Response at Agency level Plant not permitted to operate Unacceptable reduction in Commission meeting with senior safety margin utilit management Order to modify, suspend, or revoke a

license 6

Reactor Inspection and Oversight Program

1 Enforcement Actions 2.

Actmns that may adversely affect the NRC's ability to monitor utility activities, The NRC is changing its enforcement including reporting violations, failure to program to integrate it with the overall perfor-btain NRC app. oval for plant changes, mance assessment process.

f ilure to mairaain accurate records, and failure to provide the NRC with complete Each violation of NRC requirements found and accurate information.

during NRC inspections will be evaluated to r

3.

Incidents with actual consequences, in-determine its e fect on plant safety and risk. If the violation is thought to be of low safety cluding radiation exposures above NRC significance, it will be discussed in the inspec.

limits, releases of radioactive material tion report with no formal enforcement action.

above NRC limits, and failure to notify The utility is expected to deal with the viola-g vernment agencies when emergency tion through its corrective action program, response is required.

correcting the violation and taking steps to prevent a recurrence. The issue may also b reviewed during future NRC inspections.

Pilot Pro 9 ram to be Conducted While a formal Notice of Violation will usually not be issued for violations of low The NRC will test the regulatory oversight safety significance, if the utility falls to correct the problem in a reasonable period or does not process with a six-month pilot program at nine put the problem in its corrective action pro-nuclear power plants, beginning in June. The gram, a Notice of Violation will be issued. A plants represent a cross-section of the nuclear Notice of Violation may also be issued if the industry, featuring different plant designs and violation is found to be willful.

v rying levels of performance. In the pilot program, the utilities will collect and report If the NRC risk evaluation finds that the performance indicator data. The NRC will violation has higher safety significance, a inspect the plants under the new baseline Notice of Violation will be issued. The perfor-inspection program, taking enforcement action, mance assessment process will be used to when appropriate, usir.g the new enforcement establish the appropriate response for the policy guidelines. Similarly, the plants will be viclation. Normally, these violations will not evaluated using the new assessment process.

be the subject of a civil penalty. However, there may be violations, when evaluated for The pilot program is intended to test how their safety significance, that warrant a fine effectively the new oversight process works because of the magnitude of the safety signifi-and to identify possible problems. The pro-cance. Such violations are likely to be rare.

gram will also measure the resources required Possible examples include exceeding a safety by the NRC and by the industry to implement limit specified in a reactor license or the inad-the new system. Based on lessons learned vertent startup of a reactor.

from the pilot, the NRC will decide whether revisions are necessary before extending the Some violations will call for the traditional oversight process to all commercial nuclear enforcement approach, including the possible power plants. Evaluation of the oversigut issuance of fines. Examples include:

process will be based on criteria established in dvance.

1.

Discrimination against workers for raising safety issues or other willful violations.

I U.S. Nuclear Regulatory Commission 7

1 u

4

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Those plants selected to participate in the provide a context for assessing performance pilot program are:

and observing change in that performance.

This unified report will then be issued to the Hope Creek, Public Service Electric and Gas utility and to the public.

Company Salem 1 and 2, Public Service Electric and Every six months, the performance review Gas Company will also be used to develop the plan for FitzPatrick, New York Power Authority inspections to be conducted during the ensuing six months. The last report in a yearly cycle Harris, Carolina Power and Light Company will include a narrative assessment of the Sequoyah I and 2, Tennessee Valley Authority plant's performance over the previous 12 Prairie Island 1 and 2, Northern States Power months together with those steps called for by Company the NRC or taken by the licensee on its own j

Quad Cities 1 and 2, Commonwealth Edison initiative to address problems. The NRC staff Company will also hold an annual public meeting with Ft. Calhoun, Omaha Public Power District each utility to discuss the plant's performance.

Cooper, Nebraska Public Power District The fourth quarter report for each plant will be issued following a public Commission Making Performance meeting to review the performance of all Information Available comn=ci i nuciear piants. This meeting will focus on any plants which require additional to the Pubh.c NRC oversight because of declining perfor-mance or continued performance problems.

j The new inspection and oversight program will provide more information on plant perfor-mance than in the past, and the information How this Oversight Program l

will be available on a more frequent basis.

Differs from the Current Updated plant performance information will be issued by the NRC every three months. This System information will be placed on the NRC's internet Web site as well as in its Public Docu-The current inspection progrr.cn was designed ment Room in Washington, D.C.

to regulate an industry that was more likely to experience performance problems than is cur-The NRC will develop the format that will rently the case. Therefore, the existing programs be used for the report. The process will call are aimed at closely observing plant activities for a utility to submit to the NRC the quarterly and performance and responding to operational I

performance indicator data for the plant which problems as they occur.

it operates. The NRC staff will review the data for completeness and accuracy. The staff will The new inspection program recognizes then combine the utility-submitted perfor-that most plants are now performing substan-mance indicators with performance indicators tially better than did the plants of the mid-generated for each of the " safety cornerstone" 1980's. For example, in the 1980's the typical areas by the NRC's own inspection program.

plant had about six unplanned shutdowns The quarterly performance report will include

(" scrams") a year. In the past year, the num-performance indicator data and inspection ber of reactor scrams averaged less than one j

findings for the previous four quarters to per year per plant. This is, important mea-8 Reactor Inspection and Oversight Program

s-sure of plant operations and demonstrates the to support the quarterly reviews of plant significant improvement in performance at performance.

most plants.

The new enforcement policy will comple-The new program is designed to focus more ment the assessment process by focusing on f

of the agency's resources on the relatively small the safety significance of individual violations.

number of phmts which evidence performance For those of lesser significance the utilities will problems, while reducing the regulatory impact be expected to address the violations in their l

on plants that perfomi well. The baseline inspec-corrective action programs. More significant tion program is considered the minimum inspec-violations may lead to further NRC action, tion effort needed to assure that plants have including meetings with utility officials, formal demonstrated that they meet the " safety comer-orders, or other regulatory tools. Fines may stone" objectives. The baseline inspection pro-also be proposed, if appropriate.

gram will be perfonned at all reactor sites utiliz-ing NRC resident inspectors and inspectors from The performance assessment process previ-the regional offices.

ously involved three processes:

The baseline inspection program will moni.

Plant Performance Review - conducted tor plant activities as an " indicator" of plant every six months to assess events, inspec-performance. if performance declines, the tion findings, and other data. This review inspection effort would increase to consider was done to plan future inspections and to what caused the decline. By way of contrast, identify those plants with declining perfor-the traditional NRC inspection program was mance that required further NRC action.

more diagnostic in the first instance, looking Senior Management Meeting and Watch for possible problems and their causes, n List - the plant performance review was matter how the plant was performing. The used to identify those plants which re-new baseline program is more risk-informed,,

quired further discussion by the NRC

- it concentrates on those plant activities and senior managers to determine if additional systems that have the greatest potential impact regulatory action was needed. The senior n sa h y.

managers reviewed the information assess-ing plant performance. The managers Plants that do not meet the ". safety c-stone" objectives will receive incieased inspec-designated those plants warranting height-tion, focusing on areas of declining perfor_

ened NRC monitoring as being on a mance. The NRC will also conduct " reactive"

" watch list." These " watch list" plants inspections beyond the baseline program, even were then discussed at a public meeting at plants performing well, if there are opera _

with the Commission.

tional problems or events the NRC believes Systematic Assessment of Licensee require greater scrutiny. Generic problems, Performance (SALP) - about every 18 affecting some or all plants, may also require nwnths, the NRC staff reviewed separately additional inspections.

cach plant and documented the results in The assessment program will be substan-a (SALP) report. This report included a tially different from the previous process. The numerical rating of the plant in four new prognun makes greater use of performance categories-plant operations, maintenance, Indicators. Together, the indicatcrs and inspec_

engineering, and plant support-as well as tion findings provide the information needed providing a narrative discussion of overall U.S. Nuclear Regulatory Commission 9

i performance. For plants with performance

2. To enhance public confidence by in-problems, the SALP period could be short-creasing the predictability, consistency, objec-ened to as little as once a year, while tivity and scrutability of the oversight process plants with superior performance were so that all parties will be well served by the assessed every 24 months.

changes taking place.

The revamping of the NRC's inspection and

3. To improve effectiveness and efficiency oversight program should fulfill the following of the oversight process by focusing agency four goals established by the Commission:

resources and utility resources on those issues

1. To maintain safety by establishing a with the most risk-significance.

regulatory oversight framework that ensures

4. To reduce unnecessary regulatory that plants continue to be operated safely.

burden as the process becomes more efficient I

Maintaining safety !s the foremost consider-and effective.

ation in what NRC does.

I 10 Reactor Inspection and Oversight Program

u.S. NUCLEAR REGULATORY CoMMISslON

1. REPORT NUMBER NRC FORM 336 (Assigned by NRC. Add Vol., Supp., Rev.,

(189) and AddendumNumbers,if any)

NRCM 1102.

22o1.2202 Cl2LIOGRAPHIC DATA SHEET (see matruesons on one eerse)

NUREG-1649, Rev.1

2. TITLE AND SUBTITLE New NRC Reactor inspection and Oversight Program 3

DATE REPORT PUBLISHED l

YEAR MONTH May 1999

4. FIN OR GRANT NUMBER

6. TYPE OF REPORT

5. AUTHOR (S)

Technical

7. PERIOD COVERED (induswe ostes)

8. PERFORMING ORGANIZATION. NAME AND ADDRESS (rNRC. prowas owsm, omes or Regen. u s Nuc# ear Reguiafory comnwssen, and madne sattess, scoreacm prowde name and madng ad@ess)

Office of Public Affairs U.S. Nuclear Regulatory Commission W:shington, DC 20555-0001 9, SPONSORING ORGANIZATION. NAME AND ADDRESS (#NRc. type *Same as above'. #contracfw. prowde NRC Dwsm. Orike or Repon U.S Nucsear Reputafory Comnwamon.

smf madng address )

S me as organization in Block 8.

10. SUPPLEMENTARY NOTES

11. ABSTRACT (200 words or dess)

The Nuclear Regulatory Commission is revamping its inspection and oversight program for commercial nuclear power plants.

The new p"ogram takes into account improvements in the performance of the nuclear industry over the past 20 years; the desire of the NRC to apply more objective, timely, safety-significant criteria in assessing performance; and the agency's need to effectively regulate the industry with a smaller staff and budget. The new program will be used at eight nuclear power plants on a pilot basis, beginning in June 1999. The experience of this pilot program will be used to evaluate and,if needed, modify the new processes before they are extended to all plants in January 2000.

13 AVAILAeiuiY STATEMENT

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12. KEY WORDS/DESCRIPTORS (l.sst words or Ausses inat we assst reseerdwrs a meatmg the import J unlimited reactorinspection 14 SECURITY CLASSIFICATION nuclear power plant performance trnos page) unclassified (Thrs Rent) unclassified

15. NUMBER OF PAGES

\\

16. price NRC FOHM SM (249)

Tne h was e h

by ewe FederW Fes, m 1

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Printed on recycled paper Federal Recycling Program f

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