ML20211Q137
| ML20211Q137 | |
| Person / Time | |
|---|---|
| Issue date: | 07/22/1999 |
| From: | Merrifield J NRC COMMISSION (OCM) |
| To: | Vietticook A NRC OFFICE OF THE SECRETARY (SECY) |
| Shared Package | |
| ML20211Q113 | List: |
| References | |
| SECY-99-176-C, NUDOCS 9909140205 | |
| Download: ML20211Q137 (3) | |
Text
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NOTATION VOTE RESPONSE SHEET TO:
Annette Vietti-Cook, Secretary l
FROM:
COMMISSIONER MERRIFIELD
SUBJECT:
SECY-99-176 - PLANS FOR PURSUING PERFORMANCE-BASED INITIATIVES Approved Disapproved Abstain Not Participating COMMENTS:
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Commissioner Merrifield's Comments on SECY-99-176 1 disapprove the staff's recommendation for the reasons discussed below.
in their votes on SECY-98132, both Commissioners Diaz and McGaffigan provided insights regarding building a foundation to support performance-based regulation. The associated SRM captured these insights and directed the staff to use them to enhance its plans for pursuing performance-based initiatives. I expected the staff to use these insights as a platform upon which to launch its efforts to develop a well thought out plan which integrates staff activities and provides concrete and tangible milestones. Having reviewed SECY-99-176, I believe the staff missed the mark.
I applaud the staff for their efforts associated with the individual NRR and NMSS performance-based initiatives that are currently ongoing. However, the stated purpose of SECY-99-176 is to obtain Commission approval of plans for pursuing performance-based initiatives consistent with the direction in the SRM to SECY-98-132. The key word in that statement is " plans". From my i
perspective, the paper left many unanswered questions and the plans came across as an unfocused and open-ended research project. The plans lack: 1) key milestones and deliverables,2) a clear portrayal of what the staff is striving to accomplish and how the various activities are linked to that outcome, and 3) a clear description of how the proposed staff activities are being integrated and managed. Given that performance-based regulation is a key component of the agency's Strategic Plan and Performance Plan, and that agency j
resources are constrained, the staff's plans for furthering performance-based initiatives must be comprehensive, well-integrated, and facilitate effective and efficient utilization of resources. It was not clear from the plans laid out in SECY-99-176 that the agency will be in a better position to increase performance-based regulation in 1-2 years than it is now.
At the risk of shifting the staff's focus away from my primary concerns discussed above, I feel it is important to point out individual issues discussed in SECY-99-176 that not only left me with unanswered questions but raised concerns about how effectively we are utilizing our resources.
For example:
1.
The staff indicates that it recently completed a research project designed to improve the understanding and implementation of performance-based approaches to regulations and states that the results are in NUREG/CR-5392. What is lacking is a discussion of how this research enhanced our understanding of performance-based regulation and how it will be used to further our efforts. Without such a discussion, the value of our research efforts could and should be called into question.
2.
Related to Example 1, after discussing NEl's perspective on further research, the staff states,"Being mindful of the NEl comments, the staff will focus on how application of research insights have benefitted the projects and (to] assure that future research insights will provide high value." I believe such a focus should always be at the forefront of our research activities, regardiess of stakeholder scrutiny.
3.
The staff discusses how acceptable approaches to meeting regulatory requirements are provided in guidance documents such as regulatory guides and Standard Review Plan j
sections, and reiterates that CRGR reviews new criteria before they are used.
Imraediately following that discussion, the staff presents valuable stakeholder feedback that most of existing rules are not viewed as overly prescriptive, but the prescriptiveness
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may arise from sources such as guidance documents. Embedded in this discussion is a statement indicating that CRGR will evaluate whether it should increase its emphasis on performance based concepts. I find it hard to believe that much evaluation is necessary on whether" CRGR emphasis should be increased. Rather, the evaluation should focus on 1) how this increased emphasis will manifest itself and 2) how CRGR's activities will be integrated into the overall plan.
The staff should understand that my comments are not meant to undermine their efforts in this area. Instead, my comments are meant to reflect my strong belief that transition to performance-based regulation is a high priority for this agency. To support this transition, which is described in NRC's Strategic Plan and Performance Plan, our plans in this area must provide a clear road map to success with well-defined goals and milestones. Furthermore, given our budget constraints, it is imperative that we ensure our activities associated with performance-based regulation are well-integrated so that agency resources are utilized effectively and efficiently.
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September 13, 1999 SECRETARY MEMORANDUM TO:
William D. Travers Executive Director for Operations t/
FROM:
Annette Vietti-Cook, Secretary
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SUBJECT:
STAFF REQUIREMENTS - SECY-99-176 - PLANS FOR PURSUING PERFORMANCE-BASED INITIATIVES The Commission supports the ongoing performance-based staff activities described in the paper. However, the Commission disapproved the staff's overall proposed plan because it lacked specificity with respect to detailed activities and schedules.
The staff should proceed to develop high-level guidelines to identify and assess the viability of candidate performance-based activities. These guidelines should be developed with input from I
stakeholders and the program offices, and should include discussion on how risk information might assist in the development of performance-based initiatives. The guidelines should be provided to the Commission for information. The staff should also propose an appropriate schedule for periodically updating the Commissi n on its plans and progress in identifying and o
developing performance-based initiatives.
(EDO)
(SECY Suspense:
2/25/00) cc:
Chairman Dieus Commissioner Diaz Commissioner McGaffigan Commissioner Merrifield OGC CIO i
CFO OCA OlG OPA Office Directors, Regions, ACRS, ACNW, ASLBP (via E-Mail)
]
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