ML20154A256
| ML20154A256 | |
| Person / Time | |
|---|---|
| Issue date: | 07/10/1984 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | James Keppler, Murley T, James O'Reilly NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I), NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II), NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III) |
| Shared Package | |
| ML20151H783 | List: |
| References | |
| FOIA-87-868 NUDOCS 8809120123 | |
| Download: ML20154A256 (48) | |
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W ASHING TON, D. C. 20656 JUL 10 1984 h .f. mwG MEMORANDUM FOR:
Thomas E. Murley, Regional Administrator, R-M[
James P. O'Reilly, Regional Administrator, R-II James G. Keppler, Regional Administrator, R-III )-
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John T. Collins, Regional Administrator, R-IV H c/ g John B. Martin, Regional Administrator, R-V FROM: William J. Dircks Executive Director for Operations
SUBJECT:
REGIONAL ADMINISTRATORS' SES CONTRACTS AND OPERATING PLANS The new SES Contract for Regional Administrators is enclosed for review and sig.1ature by each Administrator. Please call me if you have any questions about the elements and standards. After resolving questions, if any, sign and return your contract by July 25, 1984. I will circulate tk 'dministrators' c6ntract to IE, NRR and NMSS for information.
Item 2 of the Program Goals section includes subelements. on IE, NRR and NMSS programs. Item 2 also requires development of a FY 1985 Regional Operating
- A draft Regional Plan, which should be submitted to me by September 17, 1984 l Operating Plan, which includes FY 1985 budget decision units, planned' l
accomplishments, and blank workload and resource tables, is enclosed for your use or modification. In either case, your submitted Operating Plan should l
l include your Region's resource allocation and workload tables, which you should be able to complete after the Comission budget mark. Each Plan must be t
concurred in by IE, NRR and NMSS before submittal. The plan will convey expectations, establish accountability for what is to be accomplished and define workload and resources for each program. The plan will enable adjust-ments to accomodate unanticipated or unbudgeted work, based on coordinated management decisions.
Enclosure 3 provides guidance on the type of information that should be con-sidered in developing individual program area plans. Tho Major Program Planned Accomplishment section should describe reasonable expectations for performance at the fully successful levelt the Performance Standards sections, should The describe fully successful and outstanding perfomance in each program area.
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information in each program area plan should be consistent with other documents and data bases, such as those listed in item 6 of Enclosure 3.
s '
William -h.! Dircks Executive Director for Operations
Enclosures:
- 1. RA SES Contract
- 2. Draft 1985 Regional Operating Plan
- 3. Content in Each Program '-
Area cc: J. G. Davis H. R. Denton R. C. DeYoung P. G. Norry e
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- 1. Safety Responsibility Outstanding A basic characteristic of approach to assigned responsibilities is complete acceptance of the principle that a foremost, overriding responsibility is tne establishment, maintenance, and improvement of safety in operating facilities, facilities under construction, safeguards matters, and other assigned' areas. This recognition of safety as a dominant responsibility is inculcated in most of staff .
Fully Successful A basic characteristic of approach to assigned responsibilities is complete acceptance of the principle that a foremost, overriding responsibility is the e Jablishment, maintenance, and improvement of safety in operating facilities, facilities under sonstruction, safeguards matters, and other assigned areas. This recognition of safety as a dominant responsibility is inherent in directions to staff and interactions with higher management.
Unsatisfactory There is little apparent recognition or acceptance of the principle that a foremost, overriding responsibility is the establishment, maintenance, and improvement of safety in operating facilities, facilities under construction, safeguards matters, and other assigned areas.
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- 2. Principal Regional Assignments .
For the programs 'isted below, prepare a FY 1985 Regional Operating .
Plan and submit it by September 17, 1984. The plan, to be concurred in by cognizant program offices, will reflect the major program activities expected to be accomplished in the Region during the
- fiscal year. The plan also will reflect policy and guidance published by the EDO.
Complete the actions identified in the Regional Operating Plan,
- a. Inspection and Enforcement Programs
- b. Nuclear Reactor Regulation Programs
- c. Nuclear Materials Safety and Safeguards
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- 2. Princioal Regional Assignments (Continued) ,
Outstarding Develops superior, comprehensive operating plan, which clearly identifies and justifies all major objectives and tasks; specifies measurable milestones; defines deliverable work products; and identifies interoffice work procedures and cenrunications. Plan shows unusual perception in interpreting generalized objectives, detailed staff work, careful management review, and thorough interoffice coordination, while retaining flexibility for change '
when necessary.
Consistently exceeds operating plan objectives in terms of quality of work products, scheduled milestones for work task completion, and expenditures of resources within budget. Maintains the plan current during the operating year. Identifies and reaches agreement with -
the program offices on plan revisions justified by demands on Regional resources. Demonstrates a firm commitment to implement the policies and guidance provided by each program office and by the EDO.
' fully Successful Accounts for all readily perceived objectives in developing the operating plan and specified resources, schedules, deliverables, and .
interoffice working procedures. Plan is fully adequate to meet currently identified objectives and includes flexibility to permit changes when necessary.
< Meets operating plan objectives with work products of adequate quality that are completed generally (at least 75 percent of time) according to schedule. Resource expenditures in each program area do not exceed budgeted or operating plan by significant amounts and transfer of Regional resources from one program to another does not preclude adequate accomplishment of all Regional programs. Demon-strates an adequate comitment to implement the policies and guidance provided by each program office and by the EDO.
Unsatisfactory Develops an operating plan which does not: adequately identify and justify major objectives and tasks; clearly relate resource reQui ements to specific tasks, specify measurable milestones; defir.e deliverable work pro % cts; and identify interoffice work procedures ar)d comunications.
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Fails to meet operating plan objectives. Quality of work products is inadequate. More than half of the tasks do not meet scheduled milestones or are not completed during the year. Resource expenditures are not controlled, and resources are shifted among programs without consultation with program offices. Resource distribution among programs does not conform to the budget or operating plan, reflects inadequate knowledge of program and agency priorities, and results in failure to impicment one or rore Regional programs (IE, NRR, NMSS) or several subparts in any of these programs. Lacks a commitme.nt to implement the policies and guidance provided by each program office and by the E00.
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- a. Planning and Organizing Outstanding Provides superior programs for m. t, long-term planning and -
organizing of staff to accomp1.* ,legicnal Operating P'ans Makes exceptionally good use of data systems in managing workload and resources. Intera:ts with directly supeevised subordinates at least as frequently as for "fully successful" standard. Ensures that subordinates understand organizational objectives, assignments.
priorities, and bases. Therefore, adjustments of plans and organization to meet changed assignments or needs are infrequent, because of flexi,'lity in established plans and organization to accommodate many i., 'nges, but when required are always sound and acceptable to direct supervisor.
Fully Successful Provides programs for short and long-tem planning and organizing of staff to accomplish Regional Operating Plans acceptably. Generally includes use of data systems in managing workload and resources. 3 Meets frequently (at least twice a month with same location personnel) with directly supervised subordinates so that they are awcre of Proposed organizational objectives, assignments, and priorities.
adjustments of plan and organization to meet changed assignments or needs are sound and generally acceptabic to direct supervisor.
Unsatisfactory, Little evidence of planning and organization of staff. Makes little t;se of data systems in managing workload and resources. StaffMeets appears disorganized with little cohesiveness or direction.
infrequently (once or twice each calendar quarter) with directly supervised subcrdinates, who appear to have little awareness of Adjustments organizational objectives, assignmtnts, and priorities.
to plans and organization are developed, but generally only upon specific direction to do so, and are usually found to be unacceptable by direct supervisor.
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- b. Timeliness of Work Outstanding
- Can be relied upon almost without exception to produce extremely high quality work expeditiously on or ahead of established deadlines. Serves as an example to other statf elements in this area. Work products are exemplary and demonstrably effective in many areas:
Fully Successful Generally (atleast75%oftime)meetsestablisheddeadlinesfor assigned action items andhr work. Work generally (again, at least 75% of time) is accurate and' complete, requiring only minor revisions.
hsatisfactory Frequently (at least half the time) misses established deadlines for assigned action items and/or work. Frequently (again, at least half ths time), extensive. revision is needed.
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- c. Selection and Development of Staff Outstanding
. Anticipates vacancies and noves promptly and aggressively to acquire replacements. Makes selections promptly on receipt of list of qualified candidates; selections are exceptionally good.
Orientation and integration of new employees is exceptionally smooth
- and effective with essentially no adverse impact on overall staff effectiveness. Is ingenious and innovative in providing recognition of exceptional employee performance, including effective use of Incentive Awards Program. Exceptionally effective in developing
- staff capabilities. Effective and enthusiastic use of agency personnel in staffing for regionalized activities.
i Fully Successful Routinely completes selection of new staff within 3J days of receipt '
of list of qualified candidatest selections are generally good. New employees are promptly oriented to ensure expeditious integration at
' the full performance level. Effectively uses Development Incentive Awards to of staff recognize exceptional employee performance.
capabilities is generally well thought out, strongly biased to correction of carete impediments, especially those
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identified in performance appraisals, and actively pursued.
Marginal use of agency personnel for staffing regionalized activities.
i Unsatisfactory Devotes little attention to staff selection without prodding from, higher management. Encounters frequent proHems in recruitment and hiring; selections show little exercise of judgment. New employees frequently remain confused about their roles for extended periods i and are integrated only slowly. Appears to be indiffere t to exceptional employee perfonnance. Exerts little effort to develop staff capabilities. Ineffective use of agency personnel for staffing regionalized activities. .
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- d. Aooraising SES and non.SES Staff, including all Phases of the Performance Appraisal Process Outstanding Anticipates and plans. various phases of the perfomance appraisal process. Ensures timely development, issuance, and revision of SES
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- d. Aepraising SES and non.SES Staff, including all Phases of the Perfomance Appraisal Proces . (Continued) performance plans and non-SES performance elemants and standards.
Reviews perfomance with each staff cember about Conducts mid. yearexemplary to ensure a com.on understanding of perfomance to date.
perforrance appraisals, follcwing agency procedures and meeting agency time tables.
i Fully Successful Issues SES performance plans and non-SES performance elements and standards timely. Conducts appraisals, associated reviews, and other associated performance appraisal functions fai,rly, objectively, and generally in accordance with agency procedures and time tables. _
Unsatisfactory Shows little evidence of planning the performance appraisal process, issues perfomance elements and standards that do not provide a good basis for appraising staff perfomance. Conducts perfomance appraisals unfairly, not objectively, or generally not in accordance with agency procedures and time tables. .
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- e. Resource Utilization Outstanding Anticipates demands extremely well and distributes workload effectively and equitably, consistent with staff capabilities.
Staff responds to heavy demarids with esse and dispatch and maintains Exceptional high productivity of very high quality work prcducts.
ability to accommodate changing priorities. Planning for changing resource needs as part of budget preparation is well thought out and is presented cogently and timely. In-depth consideration is given and consistently constructive proposals are developed and pursued:
to improve effectiveness of resources through revision of regionalized programs; to emphasize safety-sensitive areas; and to take advantage of activities of licensing, inspectiqn, and administrative offices.
Fully "9ccessful Routinely assigns work to ensure effective use of available resources, as needed. Restructures staff respensibilities to meet dema nds . Identifies need for adjustments in staffing levels to meet
- c hanging priorities, and communicates these to higher management clearly, cogently, and timely. Consideration is given and generally constructive proposals are developed and pursued: to impro,e .
effectiveness of resources through revision of regionalized programs; to emphasize safety-sensitive areas; and to take advantage.
of activities of licensing, inspection, and administrative offices.
Unsatisfactory Little evidence is Work flow is haphazard and undisciplined.
available to indicate staff accountability for specific actions.
Frequent maldistribution of workload leading to ineffective and/or slow productivity. Displays little interest in or capability for acconrod; ting changing priorities Frequently slow to identify need for changes in staffing levels to meet changing priorities.
Responsiveness to need for budget planning data thereon is slow and/or superficial. Little consideration is given and few constructive proposals are developed and pursued: to improve effectiveness of resources through revision'of regionalized programs, to emphasize safety-sensitive areas; and to take advantage of activities of licensing, inspection, and administrative offices.
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- f. Equal Employment and Affire.3tive Action Efforts 0u ts ta r. ding Displays exceptional capability in this area and, to the extent opportunities permit, is instrumentalt in attracting women and .
minority candidates; in increasing the numbers of wcmen and minority personnel in the organization; and in implementing effective programs directed toward their career development potential.
Fully Successful Actions in recruitment and selections and in development of personnel appropriately reflect consideration of NRC policy Clear on equal employment opportunities and affirrnative action programs.
- evidence is available that, to the extent opportunities permit, strong efforts are made to increase the numbers of women and minor-ities at all levels in organization, and to carefully consider training opportunities to correct areas where improvements are needed for career progress.
Unsatisfactory Is either not knowledgeable of NRC policy on equal employment opportunities and affirmative action programs or appears indifferent to implementing those policies. t.ittle evidence exists that, to the extent opportunities permit, serious efforts are made to recruit, select, and develop women and minority employees at all organizational levels. ,
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- g. Represent NRC Outstanding Consistently demonstrates leadership in representing NRC and in encouraging Regional staff to represent NRC in responding to inquiries from the public, representatives of other agencies, and
- State and local officials. Cooperate with Offices of Public Affairs and State Programs to ensure dissemination of information as need arises and in a manner fully acceptable to those offices and to E00.
Fully Successful Actively participate and encourage Regional' staff to par.ticipate in developing and presenting response to inquiries from the public, representatives of other agencies, and State and local officials.
Cooperate with Office of Public Affai s and State Programs to ensure dissemination of infomation as need arises in a manner generally acceptable to those offices and to E00.
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- Fail to participate or to ene.ourage Regional staff to participate in developing and presenting response to inquiries from the public,
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- g. Represent NRC (Continued) representatives of other agencies, and State Fail andto local officials; cooperate withor frequently provide inadequate participation.
tne Offices of Public Affairs and State Prograr.s to ensure dissemination of infomation when need arises.
- h. InterofficeCooperationtoAchieveDefinedAcencyObjectives
. Outstanding Management is such that actions taken to achieve overall NRC unity in implementation of programs and unifomity with like organiza-tional elements are exemplary and demonstrably effective in many areas.
Fully Successful Management is such that the necessity for overall NRC unity in implementation of programs is emphasized and reasonable . steps are taken to achieve unifomity with like organizational elements in the major objectives and philosophy of operation even though the detailed methods of operation may differ.
Unsatisfactory Management is such that there appears to be little recognition of the need for NRC unity in program implementation, and few steps are taken to achieve unifomity with like organizational elements in the major objectives and philosophy of operation even though the detailed methods of operation may differ.
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PERFORM ANCE PLANNING AND APPRAISAL. ,
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Individual performance
- a. Problem Solving Outstanding Ability to anticipate and solve problems is clearly of superior quality. A set of alternatives or a specific reconnended solution The result is -
is developed in each instance and clearly presented.
almost always acceptable to the supervisor. Unanticipated problems almost never interfere with accomplishment of program goals.
. Fully Successful Is adept at anticipating problems and at defining critical issues, obtaining whatever assistance is needed to address the critical issues. Reaches a resolution that is timely and acceptable to the supervisor in at least 75% of assignments. Generally responds to unanticipated problems with only minimal impact on accomplishment of, program goals.
Unsatisfactory Displays little or no ability to interpret or solve problems.
Frequent advice and assistance from higher management is needed to complete. assignments. Response to unanticipated problems frequently interferes with accomplishment of program goals.
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- b. Interpersonal Skills ,
Outstanding Motivates large majority of those supervised to exceed fully acceptable levels of performance in many areas. Very rarely requires assistance of higher management to resolve differences of opinion. is often commended by peers, union representatives, other offices, and outside agencies and organizations for abilities.
Fully Successful Demonstrates ability to motivate most of those supervised to perfonn in fully acceptable manner. Generally resolves differences of Is opinion without the need for involvement of higher nyanagement.
effective in relations with employees, peers, union representatives, management of other offices, and outside agencies and organizations.
Unsatisfactory Has little talent for staff motivation. Frequently requires assistance of higher management to resolve differences of opinion.
Is frequently criticized by employees, peers, union representatives, outside agencies or organization!.. or other offices for inefficient performance. .
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- c. Initiative .
. Outstanding Initiative is clearly of superior quality. While directed msinly at the policies and programs of involved organization, on many occasions it involves considerations impacting in a constructive nanner on the performance of other segments of the agency. No advice from higher management is needed to initiate actions.
Results are acceptable to supervisor in nearly all instances.
Fully Successful Takes initiative in developing policy, implementing programs, and establishing procedures to integrate and standardizg practices throughout the office. Practices are generally consistent with supervisor's philosophy. Takes action independently and effectively - '
to improve performance of the organization.
Unsatisfactory Displays little or no initiative. Frequent direction from higher
' management levels is needed to initiate actions needed to prevent problems, to limit their impact, or to develop measures for prompt resolution. .
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- d. Soecial Task Assignments ,
Outstanding Aggressively seeks and initiates special task assignments in areas of individual excertise and Regional capabilities. Manages these assignments in a highly effective manner with an outstanding degree of interoffice interaction and coordination of the task work and results. Work products tee of consistently high quality to enable them to be approved without additional staff work or revision.
Completes special task assignments on schedule and without unanticipated impact on program completion.
Fully Successful Readily accepts proposed special task assignments in areas of individual expertise and Regional capabilities. Manages these assignments effectively with an adequate degree of interoffice interaction and coordination of the task work and results. Work products are of good quality and can be approved without significant additional staff work and revision. Completes most special task assignments on schedule without significant unanticipated impact on 3rogram completion. Identifies in advance schedule slippages and proposes reasonable schedule revisions that reflect other work priorities but do not impact significantly on agency needs for .
special task completion.
Unsatisfactory Resists accepting special task assignments. Poorly manages special tasks that are assigned and does not provide an adequate degree of interoffice interaction and coordination. Work pr W ets are of pocr quality and require significant revision or assignment to someone else before they can be approved. Schedules are consistently not No
- met, and umanticipated impact on program completion occurs.
effort is evident to identify slippages, and agency needs for task completion are impacted significantly by delays.
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{ ,
ENCLOSURE 2 e
DRAFT
~
REGIONAL OPERATING PLAN FY 1985 9
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e
!. Intreduction The Regional Operating Plan is a statement of the major program objectives of the regions for FY 85. This plan implements the guidance included in the Policy and Planning Guide (PPG) E00 Program Guidance, and program office guidance. These guidance documents are an integral part of the Regional Operating Plan. This plan also reflects the decisions of the ED0 and the Commission during the FY 1986-1987 budget review cycle.
!!. ED0 Program Guide -
Policy EDO Program Guidance for FY 1984-1987 was issued on May 22, 1984 Guidance applicable to Regional operations is paraphrased below.
EDO Program Guidance '
Paragraph
!!. Policy 1. Give highest priority to the safety of operating facilities.
II. Guidance 1. Focus operating reactor inspections on licensee perforvence. Use AE00 and SALP reviews to help focus inspection activities, to allocate Regional resources, and to assess licensee management of operating facilities.
Give priority to poorly performing licensees. Find innovative approaches to inspecting operating reactor facilities.
^
t
.- 2 .
o
!! Guidance 9. Focus operating reactor inspections on maintenance (including preventive) and surveillance activities.
Increase direct observation. Eliminate marginal inspection activities. Use PRA in establishing inspection priorities.
(See VI!!.C Guidance 3)
!!!. Policy 1. Improve NRC activities that affect the quality of nuclear plants.
~.
!!!. Policy 2. Understand the cause of problems at facilities under construction and at operating facilities.
l
!!! Policy 3. Pursue aggressively: utility management for safely l
cperating and maintaining nuclear plants; quality in l
utility operations, procedures, systems, and components; and better guidance for treatment of plant systems, components and equipment that can adversely affect safe
. operation.
- !!!. Policy 4 Highlight the necessity for highly trained and qualified professionals to manage licensee, contractor, and vendor functions related to safety.
!!! Guidance. None directed specifically at Regional Offices.
IV.A. Guidance 2. Implement the Commission's policies on plant-specific
3-e backfittir.g as described in 48 FR 44173, September 28, 1983; in SECY 83-321; and in SECY 83-505 as approved and modified by the Commission.
IV.A. Guidance 4 Assist NRR, as necessary, in establishing and maintaining implementation schedules for new and existing ' regulatory ,
requirements for power reactor licensees.
IV.O. Policy 1. Continue to implement the decentralization policy goals '
approved by the Commission in October 1981.
19.0. Guidance 1. Keep licensees informed of the nature and extent of decentralization.
IV.F. Policy 1. Apply the enforcement program effectively, uniformly, firmly, and fairly to ensure compliance with NRC safety and safeguards requirements.
IV.F. Policy 2. Ensure appropriate corrective actions by licensees. Take prompt and vigorous action against noncompliance.
IV.F. Policy 3. Perform thorough inspections to identify the cause of l noncompliance.
IV.F. Policy 4 Encourage aggressive safety approach by licensees. Give credit for prompt reporting and.for prompt, thorough, and whole-hearted corrective action.
' o 4
o Expedite enforcement actions to issue proposed civil IV.F. Guidance 2.
penalty within 8 weeks after inspection or investigation.
Promptly and vigorously implenent the published (49 FJt 8583, March 8, 1984) enforcement policy.
Ensure that Regional activities do not delay r~eactor IV.G. Guidance 1.
startup unnecessarily.
Assist NMSS as necessary with RERs.
Y.A. Guidance 2. ..
Continue to provide resident inspectors and health VI. Guidance 1.*
physicists to support NRR in TMI-2 cleanup.
V111.A. Guidance 1.*The Chairran of the Safety Goal Evaluation Plan Steering Group should brief the Commission about every 3 to 4 months.
Vl!!.C. Guidance 3. Use PRA in setting reactor inspection priorities. (See !!
Guidance 9.)
- RegionIonlj
e.
5-e
!!!. Inspection and Enforcement Programs A. Overview The purpose of the Inspection and Enforcement (!E)programis: (1)to determine through inspection whether licensees comply with NRC regulations ,
and whether licensees adequately protect the public health and safety and theenvironment;and(2)tomaintaineffectiveanduniformenforcement.
The IE Regional workload consists mainly of: (1) reactors under construction; (2) reactors in operation; (3) vendors and quality assurance; (4) enforcement, technical support, and incident response; (5) fuel cycle and materials; and (6) specialized technical training. Regional offices inspect licensees, initiate (andlargelycomplete)enforcementactions,systematicallyassess licensee performance, respond to incidents, and provide inspection related support to IE, 01, and other offices.
B. Decision Unit 1 - Reactors Under Construction The Reactors Under Construction inspection program consists of independent, routine (scheduled), and reactive (unscheduled) inspections by resident and region-based inspectors, Reside.ats assume a portion of the inspection activity previously conducted by region-based inspectors, substantially increasing direct verification of licensee performance through direct obre!*va*lon and indvendent ne surements.
n 6-Resource Allocation FY-85 RI RI! RIII RIV RV Total Inspect Reactors Under FTE Construction PS$
Inspection at (FTE)
Selected Sites (PS$) .
CAT Inspections FTE PS$
Total FTE PS$
FTE = Professional Staff Years (Direct Labor Only) -
PSS = Program Support X($000)
Resource figures are based on the as contained in the Book.
Workload RI RI! RI!! RIV RV Total Pre-CP Units Early Stage Units Mid Stage Units '
Late 5tage Units Total Major Program Planned Accomplishments The major Program Planned Accomplishments for this Decision Unit are as defined in the attached Resource and Work Actions Tracking (RWAT) DocJment.
The tracking of resources and work actions as related to each Planned Accomplishment will be perforred in accordance with the RWAT docurent.
I Performance of the identified Program Planned Accomplishments within the tire frames and resources allotted assumes normal site workload
e e 7
t requirements. Unusual workload requirements, as related to problem facilities and the resultant impact upon routine programs, are to be coordinated and resolved with the Program Office.
Performance Standards Quality implementation of inspection programs, generally within the time limits specified by applicable Manual Chapters and agreed upon by the Regional and Program Offices, is considered fully successful performance.
Quality implementation of inspection programs, completion of all planned activities within the agreed time limits, and demonstration of an in-depth, evaluative inspection program constitute outstanding performance.
C. Decision Unit 2 - Reactors in Operation Resources associated with the Reactors in Operation program are utilized for independent, rot *'9e (scheduled), and reactive (unscheduled) inspections. Nuclear reactors inspected are: power reactors in preop testing, startup testing, and power operationi and nonpower (testand research) re' actors. The inspection program will continue to place emphasis on direct observation of plant' operations at each nuclear reactor unit. A significant portion of this effort is performed by resident inspectors. Inspection program emphasis for the resident inspectors is placed on observation of licensee practices and on operational safety
8-verification. Region-based inspectors inspect in specialized areas, inspect in technical depth, and follow up allegations.
Resource Allocation FY-55
,R_I, RI! RI!! RIV RJ Total Inspection During (FTE Preop Testing (PS$
Inspection During (FTE Startup (PS$
Inspection at (FTE '
Reactors in Operation (PS$ .
Inspection at FTE Selected Sites PS$
EPLicensing, Appraisal,(FTE) and Licensing Actions (PS$)
Inspection at Non- FTE Power Reactors PS$
FTE = Professional Staff Years (Direct Labor Only)
FS$=ProgramSupportX($000)
Resource figures based on as contained in Book.
Workload RI RII RI!! RIV- RV Total Power Reactors Nonpower Reactors Major Progran Planned Accomplishments The major Program Planned Accomplishments for this Decision Unit are as defined in the attached Resource and Work Actions Tracking (RWAT)
.g.
The tracking of resources and work actions as related to each Document.
Planned Accomplishment will be performed in accordance with the RWAT document.
Performance of the identified Program Planned Accomplishments within the time frames and resources allotted assumes normal site worklo'ad requirements.
Unusual workload requirements, as related to problem facilities and the l resultant impact upon routine programs, are to be coordinated and resolved l with the Program Office. -
Performance Standards :
Quality implementation of inspection programs, including completion of the minimum inspection program, st.bseantial completion of the basic program, f
and completion of supplemental inspections as needed within the time limits specified by applicable Manual Chapters and agreed upon by the Regional and the Program Offices, is considered fully successful performance.
Quality implementation of inspection programs, as described for fully successful perfonnance, that are well managed as indicated by full utili-zation of sit.P findirigs and that demonstrate an in-depth, evaluative inspection approach constitutes outstanding performance, f
- 0. Decision Unit 3 - Vendors and Quality Assurance f
. l f
Resourced for Vendor Inspection will be provided by HQ in FY 1985.
Resources for Quality Assurance will be provided mainly by HQ, but some !
s I
+" '
10 -
Regional staffing will be required for changes to already licensed QA programs. There also will be some Regional participation in the IDI program.
_ Resource Allocation FY 55 RI RI! RIII RIV
- RV Total ,
QA Licensing FTE Actions PS5 101 (FTE)
(PS$) _
Total FTE PSS Major program Planned Accomplishments The major Program Planned Accomplishments for this Decision Unit are as defined in the attached Resource and Work Actions Tracking (RWAT) Document.
The tracking of resources and work actions as related to each Planned Accomplishment will be perfomtd in accordance with the RWAT document.
Perfohnance of the identified Program Planned Accomplishments within the time frames, and resources allotted assumes normal site workload require-ments. Unusual workload requirements and the resultant impact upon routine programs are to be coordinated and resolved with the Program Office.
Perfore.ance Standards Quality implementation of assigned QA licensing and 101 activities, generally within the time limits specified by applicable Manual Chapters
y----
f i
j e ;
and agreed upon by the Regional and progran Offices, is censidered fully :
l successful perfortnance. Quality implementation, completion of all planned '
activities within the agreed time limits, and demonstration of Regional !
r comitment to assigned QA licensing and 101 activities constitutue outstanding performance.
i E. Decision Unit 4 - Enforcement. Technical Support, and Incident Response Regional resources associated with the Enforcement, Technical Support and l l
Incident Response programs include staff and funds for enforcement coordin-(
ation, SALP, laboratory / technical support, Regional incident response, tech-nical equipment, technical support to investigations and allegation follow-up. [
t Resource Allocation '
FY-85 i R1 RI! RI!! RIV RV Total Enforcement (FTE) ,
Coordination (PS5) i SALP (FTE) !
(PS$) !
I t
Lab / Tech. (FTE)
Support . (PS$)
Regional Incident (FTE) l Response (PS$) l Tech. Equipment FTE PS3 !
Tech. Support (FTE) to Investigations (pS$) ,
r Allegation (FTE) [
Follow-up (PS$) ;
i 1- .-
, gg ,
i and agreed upon by the Regional and Program Offices, is considered fully l
successful performance. Quality implementation, completion of all planned l activities within the agreed time limits, and demonstration of Regional I
consnitment to assigned QA licensing and IDI activities constitutue cutstanding performance, t
)
E. Decision Unit 4 - Enforcement. Technical Support, and Incident Response '
l
)
! Regional resources associated with the Enforcement, Technical Support and i 1 . I j Incident Response programs include staff and funds for enforcement coord!n-l ation, SALP, laboratory / technical support, Regional incident response, tech- ,
nical equipment, techn cal support to investigations and allegation follow-up. l 4
1
, Resource Allocation j n-55 , ;
} RI RI! RI!! RIV RV Total !
l l Enforcement (FTE) l Coordination (PS$)
i i
- Lab / Tech. (FTE) t
! Support , (PS$) l J
Regional Incident (FTE) -
l Response (PS$) !
l Tech. Equipment (FTE)
(PS$)
J l Tech. Support (FTE) }
to Investigations (PS$) l ati FTE :
Allegowon Foi up PS$ !
Total (FTE
] (PS$)) ;
1
y 12 o
Major Program Planned Accomplishrents The major Program Planned Accomplishments for this Decisicn Unit are as defined in the attached Resource and Work Actions Track'.ng (RWAT)
Document. The tracking of resources and work actions as related to each Planned Accomplishment will be performed in accordance with the RWAT Document.
Performance of the identified Program Planned Accomplishments within the time frames ' resources allotted assumes normal workload requirements.
Unusual workiced requirements and the resultant impact upon routine l
programs are to be coordinated and resolved with the Program Office.
Performance Standards Quality implementation of programs within this Decision Unit, generally in I
accordance with applicable NRC and Program Office policies and procedures.
constitutes fully successful performance. Quality in.plementation of programs in accordance with applicable policies and proceouris, submittal of all enforcement actions within the time periods agreed upon by Regional and the Program Offices, and maintenance of a hig51y ceptble emergency response program constitute outstanding perform 6nce.
F. Decision' Unit 5 - Fuel Cycle and Materials Resources associated with Fuel Cycle and Materials programs are utilized for independent, routine (scheduled), and s','.
.t(unscheduled)
l a- .
j 1
l r
inspections in the areas of radiation safety, material control and accounting, and physical security.
Resource Allocation FY 85 R' RII RIII RIV RV Total Fuel Facility (FTE)
Inspections (PS$)
Materials Inspections (FTE) and Waste Management (PS$)
Total (FTE)
(PS$) ..
FTE = Professional Staff Years (Direct Labor Only)
PS$ = Program Support X($000)
Resource figures based on as contained in Book.
Workload RI RI! RIII RIV RV Total Uranium Fuel Fabrication Advanced Fuel R&D and Pilot Facilities UF-6 Spent Fuel Storage Uranium Mills MaterialsLicenseesto Be Inspected ,
Major Program Planned Accomplishments The major Program Planned Accomplishments for this Decision Unit are as defined in the attached Resource and Work Actions Tracking (RWAT)
.' u t
Document. The tracking ot resources and work actions as related to each Planned Accomplishment will be performed in accordance with the RWAT document.
Performance of the identified Program Planned Accomplishments within the time framcs and resources allotted assumes normal workload requirements.
Unusual workload requirements, as related to problem facilities and the resultant impact upon routine programs, are to be coordinated and resolved with the program Office.
Performance Standards Implementation of an evaluative, independent inspection effort that generally completes the applicable inspection modules is considered fully successful performance. Implementation of an aggressive, independent, evaluative inspection program, along with substantial completion of the applicable inspection modules, constitutes outstanding performance.
G. Decision Unit 6 - Specialized Technical Training I .
Regional staffing resources are utilized in the "Grow-Your-Own" inspection l training program.
V I
m Resource Allocation FY 85 RI, RII RIII RIV ftj/ Total "Grow-Your-Own (FTC Training (PS$
Total (FTE)
(PS$)
Major P- jrqm Planned Accomplishments The major Program Planned Accomplishments for this Decision Unit are as defined in the attached Resource and Work Actions Tracking (RWAT)
Document. The tracking of resources and work actions as related to each Planned Accomplishment will be performed in accordance with the RWAT
, document.
Performance of the identified Program Planned Accomplishments within the time frames and resources allotted assumes normal workload requirements.
Unusual workload requirements and the resultant impact upon training progra,ms are to be coordinated and resolved with the Program Office.
Performance' Standards Quality implementation of programs within this Decision Unit, generally in accordance with applicable NRC and Program Offices policies and procedures, constitutes fully successful performance. Quality imple-mentation of programs in accordance with applicable policies and procedures and agreed upon by Regional and Prograin Offices constitutes outstanding performance.
IV. Nuclear Materials Safety and Safecuards A. Overview The purpose of the Nuclear Materials Safety and Safeguards (NMSS) program is to ensure adequate protection of the public health and safety and the environment in the design, siting, construction, and operation of nuclear fuel cycle facilities, including nuclear waste storage and disposal facilities, and in the utilization and transportation of nuclear ,
materials. Regional Offices are responsible for performing certain safety, environmental, and safeguards reviews as related to: (1) fuel cycle facility and nuclear material safety, (2) safeguards, and (3) low level waste management.
B. Decision Unit 1 - Fuel Cycle Facility and Nuclear Material Safety Resources associated with Fuel Cycle Facility and Nuclear Material Safety are utjlized for policy and regulation implementation and for licensing casework.
Resource Allocation FY-85 RI RII RIII RIV RV Total Policy and Regulation (FTE)
Implementation (PS$)
Licensing Casework FTE PS$
Total FTE
, (PS$)
i
.- 17 FTE = Professional Staff Year (Direct Labor Only)
Materials Licensing Workload RI RII RIII RIV RV Total New Applications Amendments Renewals .
Total Major Program Planned Accomplishments The major Program Planned Accomplishments for this Decision Unit are as defined in the attached Resource and Work Actiuns Tracking (RWAT)
Document. The tracking of resources and work actions as related to each Planned Accomplishment will be performed in accordance with the RWAT Document.
Performance of the identified Program Planned Accomplishments within the time frames and resources allocated assumes normal workload requirements.
Unusual workload requirements resulting from excessive or prelem applications and the resultant impact upon the planned work act, cities are to be coordinated and resolved with the' Program Office.
Performance Standards Quality implementation of programs within this Decision Unit, including completion of the projected nunter of licensing cases as defined in the
o t
P.WAT Document, is considered fully successful performance. Completion of a significantly greater number of licensing reviews than projected is
- tnsidered outstanding performance.
C. Decision Unit 2 - Safeguards Resources associated with safeguards are utilized for policy and regulation implementation, oti,er technical activities, and licensing casework and technical assistance. .
Resource Allocation
- FY-85 RI RII RIII RIV RV Total Policy and Regulation (FTE) :
Implementation (PS$)
Other Technical FTE Activities PS$
Licensing Casework & (FTE)
Technical Assistance (PS$)
Total * (FTE)
(PS$) i Major Program Planned Accomplishments i
The major Program Planned Accomplishments for this Decision Unit are as defined in the attached Resource and Work Actions Tracking (RWAT) i Document, The tracking of retources and work actions as related to each ,
L Planned Accomplishment will be performed in accordance with the RWAT Document.
o Performance of the identified Program Planned. Accomplishments within the time frames and resources allocated assurer, normal workload requirements.
Unusual workload requirements resulting from excessive or problem applications and the resultant impact upon the planned work activities are to be coordinated and resolved with the Program Office.
Performance Standards Quality implementation of programs within this Decision Unit, including _
completion of the projected number of licensing cases as defined in the RWAT Document, is considered fully successful performance. Completion of a significantly greater number of licensing reviews than projected is considered outstanding performance.
D. Decision Unit 3 - Low Level Waste Management i Resources associated with Low Level Waste Management are utilized for policy and regulation implementation, other technical activities, and licensing casework.
Resource Allocation FY-85 RI RII RI!! RIV RV Total Policy and Regulation (FTE)
Implementation (PS$)
Other Technical (FTE) i Activities (PS$)
Licensing Casework FTE P3$
Total (FTE)
(PS$)
20 -
o Majnr Program Planned Accomplishments The major Program Planned Accomplishments for this Decision Unit are as defined in the attached Resource and Work Actions Tracking (RWAT)
Docurent. The tracking of resources and work actions as related to each Planned Acromplishment will be performed in accordance with the RWAT Document.
Performance of the identified Program Planned Accomplishments within the time frames and resources allecated assumes normal workload requirements.
Unusual workload requirements resulting from excessive or problem applications and the resultant impact upon the planned work activities are to be coordinated and resolved with the Program Office.
Performance Standards Quality implementation of programs within this Decision Unit, including completion of the projected number of licensing cases as defined in the RWAT Document, is considered fully successful performance. Completion of a significantly greater number of licensing reviews than projected is considered outstanding performance.
p 2 , . . .
o V. Nuclear Reactor Regulation A. Overview The purpose of the Nuclear Reactor Regulation (NRR) program is to ensure adequate protection of public health and safety and the environment in the design, siting, construction, and operation of nuclear reactors. Regional Offices are responsible for certain review and licensing activities related to: (1) operating reactors, (2) systematic safety evaluation of.
operating reactors, and (3) operator licensing.
B: Decision Unit 1 - Operating Reactors Resources allotted for Operating P.Sactors provide for regional technical reviews of both multiplant and plant-specific operating reactor licensing actions, as assigned by the Program Office, In addition, most licensing functions for the Fort St. Vrain Nuclear GeneratingStation(FSV)weretransferredtoRegionIVonDecember3, 1982, with policy oversight remaining vested with NRR. Principally, Region IV is responsible for: (1) reviewing, processing, and taking final action on all licensing actions related to FSV except those related to genericissues;(2)issuingorderstosuspend, modify,orrevokeLirsnse No OPR-34; (3) reviewing, evaluating, and making safety findings on issues, problems, and incidents related to the operation of FSV; (4) coordinsting with Headquarters on matters involving licensing actions requiringconsultationwithotherNRCoffices;and(5) reviewing,
r-
.. , ~ > .
22 O
e'aluating, and processing multiplant action items relating to FSV as assigned by NRR.
Resource Allocation FY 85 RI RII RIII RIV RV Total Licensing Actions FTE PS$
Project Management FTE PS$
Section Supervision FTE ,
PS$
Total (FTE)
(PS$)
Workload RI RII RIII RIV RV Total Plant Specific Multiplant(0660/0737)
Multiplant, A-E Total Major Program Planned Accomplishments The major Program Planned Accomplishments for this Decision Unit are as shown in the above table and the attached Resource and Work Actions Tracking (RWAT) Document. The tracking of resources and work actions as related to each Planned Accomplishment will be performed in accordance with the RWAT Docunent.
a . ~
- The number of licensing actions, type of licensing action, delivery da from NRR, and scheduled completion date will be jointly negotiated and agreed upon between each Region and NRR.
To the extent that these negotiations affect the above workload and resource levels they will be included in updates of the Operating Plan.
The above will hold if Regional Office responsibility consists of either a completed SER or partial technical input to an SER.
Delays due to poor quality of licensee submittals may require revisions of completion dates for the associated action. -
_ Performance Standards Fully successful performance for each region will be completion of ali assigned actions received on schedule frcm NRR by the agreed upon due d and within the above delineated resources, coupled with a favorable evaluation of program management by NRR. Outstanding performance can be accomplished by completing a substantial number of actions ahead of schedule or completing all actions on schedule with less than the allotted resources, coupled with a highly favorable evaluation of program management by NRR.
C.
_ Decision Unit 2 - Systematic Safety Evaluation of Operating Reactors, Resources associated with this Decision unit are for assisting NRR with the Integrated Safety Assessment program.
r- ,
e e 24 t
, Resource Allocation FY-85 RI RI! RIII RIV RV Total Integrated Safety (FTE)
Assessment Program (PS$)
Total FTE PS$ -
D. Decision Unit 3 - Operator Licensing On October 1, 1983, under the oversight of NRR, all regions were transferred the responsibility for conducting operator license examinatons. Responsibility for administration of the operator licensing technical assistance program will rema.in with NRR in FY 1985. Regional staff will serve as technical monitors for all contracts under the prog ram. Resources to accomplish operator licensing examination by the Regions in FY 1985 are as follows:
Resource Allocation
. FY-85 RI RI! RIII RIV RV Total Licensing Ex'aminations FTE PS$
l Generic Activities FTE PS$
l Section Supervision (FTE)
(PS$)
Total FTE PS$
I
l-r Workload RI RII RIII .RIV RV Total Initial Replacement Requalification Certification -
Nonpower Total Major Program Planned Accomplishments ' ' '
The major Program Planned Accomplishments for this Decision Unit are as shown in the above table and the attached Resource and Work Actions Tracking (RWAT) Document. The tracking of resources and work actions as related to each Planned Accomplishment will be performed in accordance with the'RWAT Docunwnt.
These projections will need to be reviewed periodically and, as necessary, adjusted to reflect factors such as licensee availability and preparation that will affect Regional ability to accomplish the planned workload.
Perfonnance Standards Execution of the Regional reactor operator licensing examination program which results in minimum delay to OL decisions or minimum impact on plant operations is considered fully successful performance. Outstanding performance is constituted by executi'.n of a program that results in no delays to OL decisions or no adverse impact to plant operations.
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9 ENCLOSURE 3 Regional Operating Plans Content in Each Program Area
- 1. Qualitative description of expectations.
- 2. Numerical goals as appropriate.
Express in measurable units of work, time, etc. (e.g., number of actions or inspections completed; time to prepare enfojcement ,
packages or issue inspection reports, SALP reports, or materials licenses, number of licenses issued).
- 3. Rescurce allotments to achieve expectations Budget estimates as modified by operating year predictions agreeable to Regional and Program Offices.
- 4. Milestones occurring before the end of FY 1985 that are critical to agency effectiveness.
- 5. Performance standards for fully successful and outstanding performance.