ML20210Q605
| ML20210Q605 | |
| Person / Time | |
|---|---|
| Issue date: | 08/18/1997 |
| From: | Shirley Ann Jackson, The Chairman NRC COMMISSION (OCM) |
| To: | Bowsher C, Burton D, Inhofe J, Raines F, Schaefer D, Thompson F GENERAL ACCOUNTING OFFICE, HOUSE OF REP., ENERGY & COMMERCE, HOUSE OF REP., GOVERNMENT OPERATIONS, OFFICE OF MANAGEMENT & BUDGET, SENATE, ENVIRONMENT & PUBLIC WORKS, SENATE, GOVERNMENTAL AFFAIRS |
| References | |
| NUDOCS 9709020063 | |
| Download: ML20210Q605 (10) | |
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- N f*' It UNITED STATES NUCLEAR REGULATORY COMMISSION '
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\ . . . . . ,o/ August 18, 1997 CHAIRMAN The Honorable Fred Thompson, Chairman Committee on Govemmental Affairs United States Senate Washington, D.C. 20510
Dear Mr. Chsman:
In accordance with the statutory obligation to respond to recommendations by the General Accounting Office (GAO), I am hereby submitting the NRC's response to the recommendations made by the GAO in its report entitled " Nuclear Regulation-Preventing Problem Plants Requires More Effective NRC Action." GAO recommended that the U.S.
Nuclear Regulatory Commission (NRC) develop strategies to more aggressively act on safety deficiencies when they are discovered. Specific responses to GAO recommendations are presented in the enclosure.
l The NRC agrees that responsiveness to identified problems and management effectiveness are critical elements of a licensee's performance. We have implemented a number of
- enhancements and are already working on a number of initiatives that dimetly relate to issues j discussed in the GAO report. These actions include extensive evaluation and enhancement of the senior management meeting process, development and issuance of improved guidance regarding the content and accuracy of each licensee's safety analysis report, and development of a process to improve the NRC management and verification of licensee commitments. In addition, the strategies adopted in our strategic plan are aimed at correcting previously identified problems and findings in intemal and extemal audit and investigative reports, including the subject GAO report.
The overall improvement in safety performance of the commercial nuclear power industry, as indicated by a broad spectrum of industry and NRC performance indicators, is due in part to the success of NRC reactor oversight activities in helping to ensure that the NRC fulfills its mission of protecting public health and safety. However, I assure you that the NRC is committed to strive for continued process improvements that help the NRC better fulfill its mission.
Sincerely,
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Enclosure:
Responses to GAO. Recommendations cc: Senator John Glenn yO ffklhlfllhllllh
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NUCLEAR REGULATORY COMMISSION j-- M j7' - WASH!NGTON. o.C. 20'555-0001
- August 18, 1997
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CHAIRMAN I
I Tile Honorable James M. Inhofe, Chairman Subcommittee on Clean Air, Wetlands, Private Property and Nuclear Safety Committee on Environment and Public Works United States Senate Washi7gton, D C. 20510
Dear Mr. Chairman:
In accordance with the statutory obligation to respond to recommendations by the General H Accounting Office (GAO), l am nereby submitting the NRC's response to the recommendations made by the GAO in its repoit entitled " Nuclear Regulation-Preventing Problem Plants Requires More Effective NRC Action." GAO recommended that the U.S.
- Nuclear Regulatory Commission (NRC) develop strategies to more aggressively act on safety deficiencies when they are discovered. Specific responses to GAO recommendations are presented in the enclosure.
The NRC agrees that responsiveness to identified problems and management effectiveness are critical elements of a licensee's performance. We have implemented a number of enhancements and are already working on a number of initiatives that directly relate to issues discussed in the GAO report. These actions include extensive evaluation and enhancement of the senior management meeting process, development and issuance of improved guidance regarding the content and accuracy of each licensee's safety analysis report, and ,
development of a process to improve the NRC management and verification of licensee commitments. In addition, the strategies adopted in our strategic plan are aimed at r correcting previously identified problems and findings in intemal and external audit and investigative reports, including the subject GAO report.
The overall irnprovement in safety performance of the commercial nuclear power industry, as indicated by a broad spectnJm of industry and NRC performance indicators, is due in part to
, the success of NRC reactor oversight activities in helping to ensure that the NRC fulfills its mission of protecting public health and safety.' However, I assure you that the_NRC is .
-committed to strive for continued process improvements that help the NRC better fulfill its mission.
Sincerely, bkA
/
Enclosure:
Responses to GAO Recommendations cc: Senator Bob Graham
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UNITED STATES NUCLEAR REGULATORY C,OMMISSION f~ .
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August 18, 1997 CHAIRMAN The Honorable Dan Schaefer, Chairman
' Subcommittee on Energy and Power Committee on Commerce United States House of Representatives Washington, D.C. 20515
Dear Mr. Cha' irman:
In accordance with the statutory obligation to respond to recommendations by the General Accounting Office (GAO), I am hereby submitting the NRC's response to the recommendations made by the GAO in its report entitled " Nuclear Regulation-Preventing
- Problem Plants Requires More Effective NRC Action." GAO recommended that the U.S.
Nuclear Regulatory Commission (NRC) develop strategies to more aggressively act on safety 4
- deficiencies when they are discovered. Specific responses to GAO recommendations are presented in the enclosure. ;
The NRC agrees that responsiveness to identified problems and management effectiveness i are critical elements of a licensee's performance. We have implemented a number of enhancements and are already working on a number of initiatives that directly relate to issues
-- discussed.in the GAO report.- These actions include extensive evaluation and enhancement !
of the senior. management meeting process, development and issuance of improved guidance regarding the content and accuracy of each licensee's safety analysis report, and development of'a process to improve the NRC management and verification of licensee -
commitments. In addition, the strategies adopted in our strategic plan are aimed at correcting previously identified problems and findings in intemal.and extemal audit and investigative reports, including the subject GAO report. ,
The overall improvement in safety performance of the commercial nuclear power industry, as indicated by a broad spectrum of industry and NRC performance indicators, is due in part to the success of NRC reactor oversight activities in helping to ensure that the NRC fulfills its mission of protecting public health and safety. However, I assure you that the NRC is committed to strive for continued process improvements that help the NRC better fulfillits raission.- w i
Sincerely, Shirley Ann-Jackson
Enclosure:
Responses to gab Recommendations
. cc: Representative Ralph Hall l
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August 18, 19si CHAmMAN The Honorable Dan Burton, Chairman Committee on Government Reform and Oversight United States House of Representatives Washington, D.C. 20515
Dear Mr. Chaim1an:
> In accordance with the statutory obligation to respond to recommendations by the General Accounting Office (GAO), I am hereby submitting the NRC's response to the recommendations made by the GAO in its report entitled " Nuclear Regulation-Preventing
)
Problem Plants Requires More Effective NRC Action." GAO recommended that the U.S.
Nuclear Regulatory Commission (NRC) develop strategies to more aggressively act on safety deficiencies when they are discovered. Specific responses to GAO recommendations are precented in the enclosure.
4 The NRC agrees that responsiveness to identified problems and management effectiveness are critical elements of a licensee's performance. We have implemented a number of enhancements and are already worFng on a number of initiatives that directly relate to issues discussed in the GAO report. These actions include extensive evaluation and enhancement .
of th' wnlor management meeting process, development and issuance of improved gui regarding the content and accuracy of each licensee's safety analysis report, and deveivpment of a process to improve the NRC management and verification of licensee commitments. In addition, the strategies adopted in our strategic plan are aimed at
- correcting previously identified problems and findings in intemal and extemal audit and investigative reports, including the subject GAO report.
The overall improvement in safety performance of the commercial nuclear power industry, as indicated by a broad spectrum of industry and NRC parformance indicators, is due in part to the success of NRC reactor oversight activities in helping to ensure that the NRC fulfills its 1 mission of protecting public health and safety. However, I assure you that the NRC is committed to strive for continued process improvements that help the NRC better fulfill its mission.
Sincerely,
{& ~L Shirley Ann Jackson -
Enclosure:
Responses to GAO-Recommendations cc: Representative Henry Waxman
j6 UNITED STATES
.- ge \ - NUCLEAR REGULATORY COMMI,SSION WASHINGTON. D.C. 20555-0001 13 1
\.....,[f August 18, 1997 CHAIRMAN The Honorable Franklin D. Raines Director Office of Management and Budget Washington, D.C. 20503
Dear Mr.~ Raines:
In accordance with the statutory obligation to respond to recommendations by the General Accounting. Office (GAO), I am hereby submitting the NRC's response to the recommendations made by the GAO in its report entitled " Nuclear Regulation-Preventing Problem Plants Requires More Effective NRC Action." GAO recommended that the U.S.
Nuclear Regulatory Commission (NRC) develop strategies to more aggressively act on safety deficiencies when they are discovered. Specific responses to GAO recommendations are
. presented in the enclosure.
- The NRC agrees that responsiveness to identified problems and management effectiveness are critical elements of a licensee's performance. We have implemented a number of enhancements and are already workinn on a number oi initiatives that directly relate to issues discussed in the GAO r,eport. These Ltions include extensive evaluation and enhancement of the senior management meeting process, development and issuance of improved guidance regarding the content and accuracy of each licensee's safety analysis report, and development of a process to improve the NRC management and verification of licensee commitments, in addition, the strategies adopted in our strategic plan are aimed at correcting previously identified problems and findings in intemal and extemal audit and investigative reports, including the subject GAO report.
The overall improvement in safety performance of the commercial nuclear power industry, as
! indicated by a broad spectrum of industry and NRC performance indicators, is due in part to the success of NRC reactor oversight activities in helping to ensure that the NRC fulfills its mission of protecting public health and safety. However, I assure you that the NRC is committed to strive for continued process improvements that help the NRC better fulfill its mission.
Sincerely,
Enclosure:
Responses to GAO Recommendations
/ UNITED STATES
, p', Q g NUCLEAR REGULATORY COMMISSIO,N WASHINGTON, Df. 20665-0001 O I Auaust 18, 1997
% * . . * * ,8 CHAIRMAN 1
L The Honorable Charles A. Bowsher Comptroller General of the United States General Accounting Office Washingtrn, D.C. 20548
Dear Mr. Bowsher:
in accordance with the statutoty obligation to respond to recommendations by the General Accounting Office (GAO), I am hereby submitting the NRC's response to the recommendations made by the GAO in its report entitled " Nuclear Regulation-Preventing Problem Plants Reouires More Effective NRC Action " GAO recommended that the U.S.
Nuclear Regulato' 'mmission (NRC) develop strategies to more aggressively act on safety deficiencies when c *y are discovered. Spedric responses to GAO recommendations are presented in the enclosure.
The NRC agrees that responsiveness to identified problems and management effectiveness are critical elements of a licensee's performance. We have implemented a number of Mhancements and are already working on a number of initiatives that directly relate to issues discussed in the GAO report. These actions include extensive evaluation and enhancement of the senior management meeting process, development and issuance of improved guidance regarding the content and accuracy of each licensee's safety analysis report, and development of a process to improve the NRC management and verification of licensee commitments. In addition, the strategies adopted in our strategic plan are aimed at correcting previously identified problems and findings in internal and extemal audit and investigative reparts, including the subject GAO report.
The overall improvenient in safety performance of the commercial nuclear power industry, as indicated by a broad spectrum of industry and NRC performance indicators, is due in part to the success of NRC reactor oversight activities in helping to ensuie that the NRC fulfills its mission of protecting public health and safety. However, I assure you that the NRC is committed to strive for continued p,ocess improvements that help the NRC better fulfill its mission.
Sincerely, O f &"
Shiriey Ann Jackson
Enclosure:
Responses to GAO Recommendations
GAO RECOMMENDATIONS AND NRC RESPONSES The General Accounting Office (GAO), in its report " Nuclear Regulation-- Preventing Problem Plants Requires More Effective NRC Action," recommended several actions for the U. S.
Nuclear Regulatory Commission (NRC) in order to develop strategies to more aggressively act on safety deficiencies when they are discovered. These recommendations, and the NRC's responses to them, are provided below.
- Recommendation 1
Require inspection reports to fully document for all plants the status of the licensee's actions l to adoress identified problems under NRC's corrective action requirements, including l timetables for the completion of corrective actions and how NRC will respond to nonconformance with planned actions.
NRC Response:
1 The NRC agrees with the recommendation to improve oversight of licensees' timely resoli. tion of prob! ems. The staff has long recognized the importance of the licensee's corrective actions and has several processes that focus considerable inspection effort and management attention on this area, as described below:
- NRC inspectors review the adequacy and timeliness of corrective actions taken by the licensees in response to violations of NRC requirements and deviations from licensing commitments, and they document this review in their inspection reports, which are public documents. These violations and deviations result from nonconformances -
identified during NRC inspections of the facility or by the licensee's own problem identification process.
NRC inspectors routinely monitor, review, and verify the adequacy of licensee corrective actions. Since licensees annually identify thousands of deficiencies, NRC resource limitations demand that these inspections are performed on a selective basis, focusing on those issues that are most risk- and safety significant.
- In addition, the NRC reviews the licensee's corrective action program at each reactor facility on a periodic basis (Inspection Procedure 40500, " Effectiveness of Licensee Controls in Identifying, Resolving, and Preventing Problems") to verify that the licensee is implementing an adequate program.
NRC's enforcement policy specifies appropriate enforcement actions for nonconformances with planned and required corrective actions. Additionally, to encourage licensees to identify and resolve problems, the enforcement policy provides for mitigation of the sanction for timely identification and extensive corrective actions by the licensee.
Enclosure
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However, problems identified at the Millstone and Salem plants related to the licensees' failure to take prompt corrective action, as noted in the GAO report, indicate this area warrants greater attention from the NRC.
The staff has begun a review of its internal processes to identify areas for improvement in assessing the timeliness, prioritization, engineering support, and quality of the corrective actions taken by licensees. Areas included in the staffs review are the plant performance review, the systematic assessment of licensee performance, and the senior management meeting (SMM) processes. The agency is strengthening its processes for assessing the effectiveness of a licensee's corrective action program by focusing on what a licensee has done as opposed to what it plans to do. In that regard, the NRC intends to provide additional guidance on how inspectors should close out issues identified in NRC inspection reports.
The staff is also developing a process to better identify and track licensing commitments and to verify their implementation.
While the NRC intends to follow more closely the corrective actions for issues included in inspection reports, the NRC does not agree with the specific recommendation to track and document in the inspection reports the status of corrective actions for alllicensee-identified issues, including how NRC would respond to nonconformances with planned actions.
Criterion XVI of 10 CFR Part 50, Appendix B, requires licensees to promptly identify and correct failures, malfunctions, deficiencies, deviations, defective material and equipment, and nonconformances. Given the sheer number of issues identified, the efforts required by the NRC to document and track deficiencies regardless of safety significance, as recommended in the GAO report, would be enormous and without a commensurate safety benefit.
Moreover, this task could cause the NRC to redirect increasingly scarce resources away from oversight of ongoing performance and safety issues.
Recommendation 2:
Make licensees' responsiveness to identified problems a major feature of the information provided to the participants of the Senior Management Meetings, including how NRC will respond if problems go uncorrected. For example, NRC should describe the range of sanctions that it willimpose on the licensees on the basis of the potential seriousness of their failure to resolve problems within a predetermined time. These sanctions should range from assessing fines to involuntary shutdown of the plant.
NRC Response:
The NRC agrees that the licensee's responsiveness to identified problems is a critical performance criterion. The current NRC inspection and enforcement programs have well-established requirements that focus on this criterion. (See the response to GAO recommendation 1.)
2
Recent changes to the SMM process, including development of an SMM nuclear power plant performance evaluation template, have clearly emphasized the importance of evaluating the licensee's responsiveness to identified problems. The staff has recently strengthened the corrective action evaluation criteria found in the " Staff Guidelines for Restart Approval"
- (Inspection Manual Chapter 0350), which is the guidance document used by the staff in assessing plants that are in an extended shutdown as a result of performance issues. In addition, the Commission directed the staff to further improve the SMM process by developing better indicators that can provide a more objective basis for judging whether a plant should be placed on or removed from the NRC Watch List. These improved performance indicators and objective measures will enhance staff's ability to take appropriate regulatory actions including additional enforcement where past enforcement actions have not
- been effective.
It should be recognized that the NRC's enforcement policy already identifien sanctions for licensees that fail to resolve problems within a definitive period. The NRC'u enforcement policy provides for matching sanctions for a violation to the safety and regulatory significance of tho violation and establishes a graduated system of sanctions that include noncited violations, notices of violations, civil penalties, and orders to modify, suspend, or revoke a license. The NRC clearly imposes more substantial penalties for more significant problems.
l In determining the significance of a problem and the appropriate enforcement sanction, the l
established process also takes into consideration (1) the licensee's previous opportunity to identify and resolve the problem and (2) the length of time the problem remained unresolved because of the licensee's failure to take corrective actions.
The enforcement history has been an important consideration in the SMM process. However, enforcement actions are taken on a timely basis and are not delayed until the next SMM. As a part of our effort to improve the SMM and the licensee performance assessment process, we will consider ways to enhance the use of enforcement information, Recommendation 3:
Require that the assessment of management's competency and performance be a mandatory component of NRC's inspection process.
NRC Response:
NRC agrees that the performance of the licensee's management is instrumental in the licensee's operational safety performance. It has been, and remains, the staff's practice to conduct performance-based inspections in all areas of facility operation and design and, on the basis of the inspection results, to draw conclusions about the effectiveness of the licensee's management. In this regard, the evaluation of management effectiveness has been an important part of the NRC assessment process.
3
I As part of its effort to improve the SMM process, the staff is investigating the development of management effectiveness assessment tools to improve the current plant performance evaluation methodology. This methodology will evaluate various insights more timely and systematically to identify instances in which management is not effective. Future decisions will be made regarding implementation after the staff completes development activities and successfully tests implementation.
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