ML20155D967
| ML20155D967 | |
| Person / Time | |
|---|---|
| Issue date: | 10/26/1998 |
| From: | Gillespie F NRC (Affiliation Not Assigned) |
| To: | Baranowsky P, Mary Johnson, Mallet B NRC |
| Shared Package | |
| ML20155D966 | List: |
| References | |
| NUDOCS 9811040107 | |
| Download: ML20155D967 (8) | |
Text
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October 26,1998 MEMORANDUM TO: Patnck W. Baranowsky, Manager, Framework Group Bruce S. Mallet, Manager, Rick-Informed Baseline inspection Group l Michael R. Johnson, Manager, Assessment Group l
FROM: Frank P. Gillespie, Director (Original signed by:]
Division of Inspection and Support Programs j Office of Nuclear Reactor Regulation j
SUBJECT:
FRAMEWORK, ASSESSMENT AND RISK-INFORMED BASELINE TEAMS' CHARTERS This memorandum forwards the Framework, Risk-Informed Baseline inspection and Assessment charters to you for implementation by your respective groups. The charters establish the purpose, scope, products / deliverables, and key tasks.
A copy of this memorandum (and attachments) will be made available to various NRC stakeholders and the public for information. Specific questions on the team charter should be directed to the respective team manager.
Attachments : 1. Framework Group Charter
- 2. Risk-Informed Baseline Inspection Group Charter
- 3. Assessment Group Charter q l
CONTACT: James A. Isom 301-415-1109 DISTRIBUTION:
PUBLIC PIPB R/F Central Files E-MAIL:
OPA PMNS S. Collins A. Thadani H. Miller L. Reyes J. Dyer E. Merschoff GTracy SStein DGamberoni CMiller TQuay CBerlinger RBarrett RGallo SBlack JLieberman TTMartin MCunningham DOCUMENT NAME: CHRTMEM.WPD see previous concurrence.
To receive a copy of this document, indicate in the box: "C" = Copy without enclosures *E" = Copy with enclosu.es "N" = No copy OFFICE PIPB: DISP PIPB: DISP E PlPB: DISP NAME *ALMadison MRJohnsorfM FPGillespie DATE 10/2.C./98 10/ 2~) /98 6 10/ /98 OFFICIAL RECORD COPY
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9811040107 981028 PDR ORG NRRA PDR
October 26,1998 MEMORANDUM TO: Patrick W. Baranowsky, Manager, Framework Team Michael R. Johnson, Manager, Assessment Team Bruce S. Mallet, Manager, Risk-informed, Baseline Team FROM: Frank P. Gillespie, Director [ Original signed by:]
Division of Inspection and Support Programs Office of Nuclear Reactor Regulation
SUBJECT:
FRAMEWORK, ASSESSMENT AND RISK-INFORMED BASELINE TEAMS' CHARTERS This memorandum forwards the Framework, Assessment and Risk-informed charters to you for implementation. The charters establish the purpose, scope, products / deliverables for each assignment and key tasks or milestones. This memo also forwards the charter to various NRC participants, managers and NRC departments for information. Please direct specific questions on the team charter to the respective team manager.
Attachments : 1. Framework Team Charter
- 2. Assessment Team Charter
- 3. Risk-Informed Baseline Team Charter CONTACT: James A. Isom g.,
M -g gg 3o'-4' 5-" oS
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b pro.
DISTRIBUTION: (/d .Ad PUBL1C PIPB R/F Central Files @ Receptionists (OWFN and TWFN) q &
E-MAIL: / i OPA PMNS NRC Participan s /S. Collins lA.Thadani H. Miller L. Reyes J. Dyer E. Merschoff GTracy SStein DGamberoni CMiller TQuay CBerlipger RBarrett RGallo SBlack JLieberman TTMartin MCunningham l
\
DOCUMENT NAME: CHRTMEM.WPD
- see previous concurrence.
To receive a copy of this docurnent, indicate in the box: "C" = Copy without enclosures "E" = Copy with enclosures *N" = No copy OFFICE PIPB: DISP 4 PIPB: DISP PIPB: DISP NAME ALMaysHf3 MRJohnson FPGillespie DATE 10fft/98' ts 10/ /98 10/ /98 OFFICIAL RECORD COPY
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, OctobIr 28,1998 7'
MEMORANDUM TO: Patrick W. Baranowsky, Manager, Framework Group Bruce S. Mallet, Manager, Risk informed Baseline Inspection Group Michael R. Johnson, Manager, Assessment Group FROM: Frank P. Gillespie, Director Division of Inspection and Support Programs
! Office of Nuclear ReactorRegulation l
SUBJECT:
FRAMEWORK, ASSESSMENT AND RISK-INFORMED BASELINE TEAMS' CHARTERS This memorandum forwards the Framework, Risk-Informed Baseline Inspection and Assessment charters to you for implementation by your respective groups. The charters establish the purpose, scope, products / deliverables, and key tasks.
A copy of this memorandum (and attachments) will be made available to various NRC stakeholders and the public for information. Specific questions on the team charter should be directed to the respective team manager.
Attachments : 1. Framework Group Charter
- 2. Risk-informed Baseline inspection Group Charter
- 3. Assessment Group Charter CONTACT: James A. Isom 301-415-1109 i
DISTRIBUTION:
PUBLIC PIPB R/F Central Files l
E-MAIL:
OPA PMNS S. Collins A. Thadani H. Miller L. Reyes J. Dyer E. Merschoff GTracy SStein DGamberoni CMiller TQuay CBerlinger RBarrett RGallo SBlack JLieberman TTMartin MCunningham i
DOCUMENT NAME: CHRTMEM.WPD see previous concurrence.
To recorve a copy of this document, indicate in the box: "C" = Copy without enclosures "E" = Copy with enclosures "N" = No copy OFFICE PIPB: DISP PIPB: DISP
- PIPDRISP, NAME *ALMadison MRJohnson FF%hItsspie DATE 10/26/98 10/27/98 10/ W /98 OFFICIAL RECORD COPY I
A FRAMEWORK TASK GROUP CHARTER PURPOSE The purpose of the taskforce is to develop details of the framework for a more objective, risk-informed, performance-based approach to licensee performance assessment and related bases for inspection activities. Information developed as part of the task will be used in the development of risk-informed baseline inspection and performance assessment tasks.
SCOPE l
l This activity includes: articulation of the principais, bases, and logic of the framework; identification and evaluation of performance indicators (Pis) and associated performance j thresholds for initial implementation of the framework; and determining the limitations of Pls '
used for performance assessment and developing inspection bases for rebaselining the inspection program. The work of the taskforce will follow and build on the defining principals and cornerstone development effort that was begun at the Performance Assessment Workshop held September 28,1998, through October 1,1998. It is recognized that this program will evolve and be refined over a period of years. Therefore, the intent the taskforce is to develop sufficient detail to allow the Commission to make a decision on the efficacy and direction of this new approach to licensee oversight and, if approved, lay the groundwork for initial implementation.
PRODUCT By November 25,1998, the taskforce will provide to the Director, Division of Inspection and j Support Programs, NRR and the Director of NRR, documents describing the overall framework, performance indicators and thresholds, and related bases for the inspection program. These documents will contain the principles, bases, logic, and supporting technical information and will be in the form of appendices to a Commission Paper.
KEY TASKS
- 1. Oversight framework development 1 Review and, as necessary, enhance articulation of oversight framework related defining issues (consider including appropriate enforcement items)
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identify and evaluate other framework or regulatory program interface issues (e.g.
role of compliance with respect to risk and performance, role of generic issues, operating experience evaluation and insights, other risk considerations)
Outline safety construct, framework, bases, operational process, interfaces
. Draft oversight framework section !
Intemal review and external coordination
. Finalize oversight framework section Attachment 1
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- 2. PI Development -
Review and, as necessary, enhance articulation of defining issues specific to identification, definition, validation, and limitation of Pls Review and finalize identification of Pls for both power and shutdown a identify PI limitations, inspection interfaces, relation to risk and Maintenance Rule l
Identify and evaluate V&V lasues, phased development of improved (risk-based) !
Pls and implementation issues
. Prepare write-up template for each comerstone
. Prepare write-uo for each comerstone l
. Prepare overview / introductory writeup for Pl section !
Internal review and extemal coordination Finalize Pl section write-up
- 3. PI Thresholds Review and, as necessary, enhance articulation of defining issues specific to thresholds Review and finalize attributes of PI thresholds Review and evaluate NEl proposed thresholds, bases, analyses Perform independent analyses of PI response, evaluate correlation to peer performers Perform analyses of risk sensitivity to changes in performance relevant to Pls Finalize position on, details for, and proposed values of PI thresholds
. Prepare write-up outline for PI thresholds
- Prepare write-up Intemal review and extemal coordination
- Finalize PI threshold write-up
- 4. Inspection Bases Review and, as necessary, enhance articulation of related defining issues (e.g.
purpose / role of inspection, risk context of inspections and findings)
Detail needs for PI V&V, inspection areas not covered (or partially covered) by Pls, performance driven inspections, and principles for risk-informed inspections and evaluation of findings.
Coordinate with inspection rebaselining task group
. Prepare write-up outline
. Prepare write-up
. Intemal review and extemal coordination
. Finalize write-up
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CHARTER RISK-INFORMED REBASELINING INSPECTION PROGRAM TASK GROUP PURPOSE The purpose of the task force is to develop a program for the NRC baseline inspection of power reactor 1.censee performance. The program must be meshed with the programs being developed for the framework, assessment and enforcement. The program must have a sound basis linked to the safety risk.
SCOPE The development is limited to the inspection program for operating nuclear power reactor facilities. . The task force product must address the issues that have been raised regarding the NRC's current and proposed inspection program. A brief summary of some of these is contained in Chairman Jackson's speech entitled, "The Challenge Before the NRC: A Bend in the Road or a Modulation of Trajectory", which was given at the July 14,1998, Senior Management Meeting.
PRODUCT / DELIVERABLE By December 11,1998, the task force will provide to the Director, Division of Inspection and Support Programs in NRR and the Director of NRR, a document describing the developed program and a draft input to a Commission paper. The document will be in the form of a handbook with a general description of the key elements in the inspection program and a >
referenced attachment. The attachment should describe the basis for each key element of the inspection program.
R KEY TASKS TO ACCOMPLISH DURING THE PROJECT i
- 1. Determine from intemal and extemal stakeholders, what should be included in the scope of the baseline inspection program....what are the issues that need to be addressed in the program.
- 2. Determine what the NRC inspector should examine during inspections of nuclear reactor power plants. This should incorporate the results of the Assessment Task Force and work being conducted by the Office of Nuclear Reactor Research. The product of this task should establish the population of inspectable items and key program elements.
- 3. Develop the risk informed basis for each key inspection element. Use this as a basis and develop a hierarchy for the elements.
- 4. Determine the role in the baseline program for the issues developed in item No.1.
- 5. Determine the value-added from each proposed element of the inspection program.
Attachment 2
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- 6. Develop guidance for the inspection program process attributes. Guidance should
!. include type inspection (team vs individual), type inspector (resident, region-based),
depth of inspection, frequency of inspection, link to enforcement, arid link to assessment process. Guidance should also includo how the generic baseline program will be ,
modified with site specific risk information.
- 7. Benchmark inspection programs used by other agencies / industry.
- 8. Communicate results continuously to stakeholders.
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ASSESSMENT TASK GROUP CHARTER PURPOSE The purpose of the assessment task group is to develop the process which will allow the NRC to take various information sources, make objective conclusions on licensee performance, take actions based on these conclusions in a predictable manner, and effectively communicate these results to the licensees and to the public. This task group will also develop recommendations on the best methods to transition from the existing regulatory oversight processes and implement any proposed new oversight processes.
SCOPE The scope of this effort is limited to operating power reactors, and does not include for example:
(1) permanently shutdown and/or decommissioned power reactors, and (2) fuel fabrication or materiallicensees.
PRODUCT / DELIVERABLE .
The task group will deliver recommendations which address each of the key tasks for developing an assessment process and a transition plan. These recommendations need to be completed by the end of November 1998 and will form part of the Commission paper which will forward recommendations for improvement to the regulatory oversight processes.
KEY TASKS TO ACCOMPLISH
- 1. Develop methodology for the integration of the information inputs within the cornerstones so that the assessment results are objective and transparent. Evaluate methods for the integration of risk-significant inspection findings and other information sources with the performance indicator results.
- 2. Develop decision criteria /model so that NRC actions can be taken in a manner that is scrutable and predictable by both the licensees and the public.
- 3. Develop the appropriate frequency for routine assessment of licensee performance.
Identify the appropriate staff positione for conducting assessment, and their '
responsibilities. Determine the level of senior NRC management involvement required for the performance assessments. Develop a process for handling changes in performance indicator results es they occur so that appropriate action is not reliant on the performance of a periodic assessment.
- 4. Determine methods for communicating to both the licensees and the public the ,
assessment results and NRC actions taken. Evaluate methods for taking a graded !
approach to accomplishing this activity or these activities.
- 5. Detem1ine how licensee performance in response to NRC actions is monitored and measu*ed, and how the results feed back into the assessment process. l l
Attachment 3
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- 6. Determine appropriate methods to transition from the current assessment processes.
Develop a recommendation regarding the continued suspension of SALP.
- 7. Develop a recommendation for implementing a new process. Identify the necessary actions required to validate a new process prior to implementation. Evaluate and recommend either a phased-in approach for all licensees or a pilot program with targeted or volunteer participation.
- 8. Identify the necessary program requirements to support a voluntary licensee assessment data reporting process. Develop a recoinmendation on how those licensees who decline to participate in a voluntary program would be accounted for and assessed (interface with framework group).
- 9. Develop a methodology for the continuous self-assessment of program effectiveness subsequent to implementation.
- 10. Interface with Office of Enforcement to develop concepts of how assessment results affect enforcement actions, and how " regulatory significance" is defined and used in the oversight processes.
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