ML20216C159

Division of Nuclear Matl Safety FY97 Self-Assessment Plan

ML20216C159
Person / Time
Issue date:	04/02/1998
From:	NRC
To:
Shared Package
ML20216B889	List: ML20216B884 ML20216B928 ML20216C159 ML20216C170 ML20216C195 ML20216C204
References
PROC-980402, NUDOCS 9804140353
Download: ML20216C159 (8)

Text

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l u-t DIVISION OF NUCLEAR MATERIALS SAFETY.

FY97 SELF-ASSESSMENT PLAN i

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1 9804140353 980402 PDR ORG NOMA Attachment 26-p ,

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DNMS Self-Assessment Plan for Fiscal Year 1997 Objectives:

1. To establish a process by which the Division of Nuclear Materials Safety (DNMS) conducts its periodic assessment of performance.

2. To provide a systematic approach to evaluate strengths and weaknesses in the programs assigned to DNMS.

3. To provide input into decisions where the performance should be modified to make work better or improve to the expected level.

Process:

The routine process consists of the following:

1. Quarterly evaluations and reporting of results to the Division Director by {

each Branch, the Agreement State Program Officer, and the Technical  !

Assistant (for laboratory activities) using the performance indicators and 1 measures specified in this plan. Some elements and their measures must be reviewed monthly to effectively correct poor performance. These are  ;

indicated by an "*" next to the standard. '

2. Annual evaluations at the Division Director level, independent of the Branches, in program areas listed below for Fiscal Year 1996:

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a. Allegation plan timeliness and implementation (scheduled for March {

1997). l

b. Inspection report quality (two peer reviews scheduled for December j 1996 and June 1997). '

c. Review of implementation of IMPEP corrective actions (scheduled for i January 1997).

d. Review of license exemptions issued (scheduled for February 1997).

e. Materials licensing action quality (conformance to SRPs, etc.)

(scheduled for May 1997).  !

f. Review of fuel facility security and emergency plan changes (scheduled for November 1996).

g. Security of Financial Assurance documents (requiied annually by MD 8.12) s

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Performance will be measured in a " windows" format with an overall " roll-up" indir,ator for each Branch based on performance indicators for each element. The de6nition for the overall and each element indicators is as follows:

For Ratina Overall Performance in Each Branch GREEN All indicators in the elements are green.

YELLOW One or more yellow ratings for elements indicators.

RED One or more red ratings for element indicators.

For Ratina Each Element Indicator in Each Branch GREEN Performance meets or exceeds the expected standard.

YELLOW Performance generally satisfactory, but needs improvement to meet or exceed the standard.

RED Performance is unsatisfactory, since it does not generally meet the standard.

PERFORMANCE ELEMENTS AND STANDARDS Proaram Area: On Site

1. Performance Element: On site time Standard:

-For the materials program the Branch hours expended on inspections meets 28% of the time allocated for inspection.

-Onsite time in accordance with Regional goals for fuel facilities.

-Backshift inspections performed in accordance with Regional goals.

-Licensing site visits for significant changes to programs.

-lMPEP reviews assigned to the Agreement State Program Officer (ASPO) completed in accordance with assigned schedules.

-Support to Agreement States provided when requested by States and agreed to by Region ll management.

2. Performance Element: Use of technically qualified staff Standard:

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-Staff training complated in accordance with MC_1246 (or MC 1245~

for staff previously qualified). .

l -For those staff qualified under MC 1245, completion of courses in MC 1246 in accordance with the Training Plan.

-Staff used are qualified for job assigned.

-incident response training completed as identified in regional training procedures. (10/3/95 memo from AEOD)

-Management oversight of staff in field in accordance'with ROI and.

MC.

-Annual IMPEP training completed for IMPEP team members.

' 3. . Performance Element: Appropriate backup for functions Standard:

-Qualified backup individuals for each key function performed by Branch.

-Individuals available to perform key functions each day of business (e.g., classified document handling in FFB, safe closure each day, processing license applications, processing reciprocity requests, evaluation of events).

4. Performance Element: Adequate use of budgeted FTE's Standard:

-Actual expenditures meet budgeted FTE's in Regional Operating Plan.

.. Proaram Area: On Time

1. Performance Element: Allegation follow-up Standard:

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-Allegations timely closed in accordance with MD 8.8 and ROI 1030.

-180 day total for closure

-plans approved prior to inspection

-referrals to Agreement States within 30 days.

2. Performance Element: Inspections performed Standard:

-No overdue inspections (in accordance with IMC 2600,2800 and/or 2545).

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-Inspections of new materials licenses in accordance with IMC 28bO.

j -Inspections of Navy and reciprocity licenses in accordance with IMC.

-Survey meters calibrated and sample analyses completed in accordance with schedules established.

3. Performance Element: License reviews Standard:

-New materials licensing cases completed within timeliness specified in Regional Operating Plan. Effectively reduces backlog of old cases.

-Security plan reviews for fuel facilities and research reactors completed within the timeframes specified in Regional Operating Plan.

-Materials license and security plan change applications processed timely.

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-Reciprocity reviews timely processed. (Within two working days of receipt).

-Acceptance reviews completed within 30 days of receipt.

4. Performance Element: Open items Standard:

-Unresolved items closed within six months of identification.

-lFI's closed within 12 months of identification in most cases with less than 10 cases over 12 months old and no case over two years old.

5. Performance Element: Event Response

-Events responded to in accordance with safety significance.  !

-Response to medical events and abandoned sources meets )

timeframes specified in IMC.

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-Abnormal occurrences identified within quarter of occurrence and  !

processed in accordance with timeframes in MD 8.1 and guidance j from AEOD. '

l -Coordination of significant events to program office within one working day.

,_ -PNs and Morning Reports meet timeliness goals of ROls.

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6. Performance Element: Documentation of results Standard:

-inspection reports issued within timeframes in IMC (max = 30 days I L for routine).

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-Materials field note inspection reports reviewed and issued within 30 days of end of inspection.

-inspection reports and materials licenses timely filed in~ docket files.

-Draft IMPEP reports provided to SP within 30 days of exit (for those IMPEPs where ASPO is team leader). For those cases where Region 11 ASPO is a team member, draft inputs to the report in five working days.

7. Performance Element: Enforcement actions Standard:

-Routine enforcement cases' delegated to Region completed within 49 days of inspection completion date.

-Routine enforcement cases not delegated to Region - memorandum to OE within 42 days if inspection completion date.

-Exempt cases (less than 100 days total)

8. . Performance Element: Action items -

Standard:

-Completion of action items (DAFFYs and DAITs) within timeframes established by the requestor.

Proaram Area: On Taraet

1. Performance Element: Technical quality l

Standard:

-inspection findings well-founded (supported by facts and relationship to regulations clear).

-Inspection safety issues identified and followed up; generic safety issues addressed.

-Follow-up inspections address open items from previous inspections.

-inspections and license review performed in accordance with j guidance in IMC and NMSS P&G Directives. '

-Results and scope of inspections and license reviews are performance based.

.-Licenses address request or communicate difference to applicant.

-inspection and license review findings reviewed by management.

-!MPEP reviews in accordance with MD 5.6 and IMPEP Manual. ,

Recommendations to Management Review Board well founded -

technically and performance-based. {

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-Sufficient number of operable survey meters a

2. Performance Element: Allegation follow-up Standard:

-Closure packages and documentation addiess allegations and reference inspection reports.

-Inspection plans adequate to address allegations and not discloce alleger.

-Findings reviewed by management.

-Safety significance addressed.

3. Performance Element: Completion of planned program Standard:

-Completion of budgeted core and total materials license casework (from C-3).

-Completion of budgeted core and totalinspections (from C-3 and Due List).

-Maintenance of fuel facility site activities matrix and review for trends.

-Technical assistance to states, state regulation reviews, and l 1

exchange of information is provided as needed.

4. Performance Element: Inspection report and license documentation Standard:

-Management review and signature in accordance with ROl's.

-Reports and licenses contain few typographical errors.

-Peer review results indicate reports consistent with IMC.

-Licenses consistent with NMSS P&G Directives and SRP's.

5. Performance Element: Enforcement actions Standard:

-Final actions taken in accordance with enforcement policy.

-Violations have basis in requirements and written to have parallelism between requirement and " contrary to" statement.

-NCV's issued in accordance with criteria in enforaement policy.

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6. Performance Element: Event response Standard:

-Incoming events evaluated and safety significance identified.

-Safety issues followed up.

-Special inspections (e.g., medical misadministrations, AIT's) follow guidance in MDs' and MC's.

-Incident response procedures for agency response followed.

-Generic safety issues addressed.

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