ML20059L889

Requests Commission Approval of Proposed Guidelines for Activation & Conduct of Accident Review Groups Reporting to Commission

ML20059L889
Person / Time
Issue date:	10/04/1993
From:	Taylor J NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
To:
References
SECY-93-274, NUDOCS 9311170477
Download: ML20059L889 (30)

Text

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POLICY ISSUE October 4, 1993 szcy_,3_224 (Notation Vote)

FOR:

The Commissioners FROM:

James M. Taylor Executive Director for Operations

SUBJECT:

ACCIDENT REVIEW GROUPS REPORTING TO THE COMMISSION PURPOSE:

To obtain Commission approval of proposed guidance for activation and conduct of Accident Review Groups reporting to the Commission.

BACKGROUND:

SECY-92-413, " Incident Investigation Options Reporting to the Commission,"

dated December 16, 1992, provided a proposed framework for incident investigation options that may be activated by the Commission when an event of extraordinary safety significance occurs. The Commission approved, with certain modifications, in Staff Requirements Memorandum (SRM) SECY-92-413, the proposed framework for establishing, as appropriate, Incident Investigation Groups that would report to and be supervised by the Commission. The modifications were related to the leadership, composition of the membership, and the charter for a group.

The SRM directed the staff to proceed to develop, for Commission review, the Incident Investigation Group framework as an added element of the current incident investigation process. The SRM further required that the staff

Contact:

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. Rubin, AE0D NOTE:

TO BE MADE PUBLICLY AVAILABLE WHEN THE FINAL SRM IS MADE AVAILABLE t

8 9311170477 931004 PDR SECY I

93-274 PDR

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specifically address the threshold for activation, how members would be selected, and how the group would function.

In response to the SRM, this paper provides a proposed new Management Directive (MD) 8.9, " Accident Investigation" for the activation and conduct of Accident Review Groups (ARG)

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reporting to the Commission.

(" Incident Investigation Group" was changed to t

" Accident Reviev Group" (ARG) to avoid a possible misunderstanding about the relationship of the group to the Office of the Inspector General (OIG) by j

individuals outside the NRC.)

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f DISCUSSION:

The enclosed new MD 8.9 provides guidance for activation, conduct, I

cocumentation, and followup activities for Accident Review Groups reporting to

'i the Commission. As described in the enclosure, an ARG would provide the NRC's l

fact finding investigatory response to an event of extraordinary safety significance at an NRC-licensed facility. The MD 8.9 provides the structure and process to promptly initiate and provide support for an ARG, but is not

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intended to constrain the independence and self-direction of an ARG once chartered.

In general, an ARG would be considered for an event that poses a significant hazard to public health and safety or the environment or involves high public, media, congressional or Executive Branch interest.

The specific event characteristics that describe the threshold for consideration of a i

possible ARG esponse are included in the enclosure and are appropriate for an i

operational went that is extremely safety significant and could Mye profound regulatory implications.

4 The Commission would decide whether to activate an ARG, and would select the Director, ARG and would approve its members and charter. The activation process includes establishment of an accident investigation support staff, which would be proposed by the Executive Director of Operations (E00) and would report to the Commission. The role of the support staff would be to support the Commission in: establishing and activating an ARG, selecting the Director, ARG and developing the ARG charter; coordinating staff technical and administrative support for the ARG during its investigation and report preparation phases; and developing NRC followup actions.

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i To enhance credibility and the public acceptance of independence, the ARG

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I would normally be led by an individual from outside of the NRC. When an ARG l

is activated, appropriate individuals outside the NRC would be informed of the j

f investigation and requested to participate in order to bring a more diverse i

perspective and expert knowledge to the investigation. Thus, NRC senior j

technical and legal embers on the ARG would be substantially complemented by l

such other expertise as may be necessary and may include experts from i

utilities (e.g., licensees); industry groups (e.g., Institute of Nuclear Power j

j Operations, national laboratories, legal organizations, financial organizations, Electric Power Research Institute); equipment vendors (e.g.,

4 nuclear steam system suppliers); or architect-engineer and engineer-contractor organiza'. ions. Appropriate experts from scientific societies and universities 1

may also be invited to participate on the ARG. When the offsite response is 4

to be assessed, appropriate experts from the Federal, State, and/or local agencies, may be requested to participate in the investigation.

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The MD 8.9 provides guidance for the scope and conduct of the investigation including collection, analysis, and documentation of factual information and evidence necessary to determine the conditions, circumstances, and probable l

causes pertaining to the incident and whether the actions of the NRC contributed to the cause or the course of the event.

If (as is likely) there i

is an NRC incident response, the ARG investigation would begin only after the NRC Director of Site Operations in consultation with the licensee, has l

established that the emergency response phase is over. The NRC response personnel on site would provide support as needed to ensure efficient and i

effective transition from incident response to incident investigation, so as not to interfere with plant safety.

The MD aisc addresses investigation followup, including the ARG report, f

recommendations of individual ARG members, and the assignment of NRC followup actions to address ARG findings. The ARG would prepare and transmit its final report to the Office of the Secretary for distribution to the Commission and the EDO after completing its field investigation. The Commission would approve the NRC followup actions to address the findings documented in the ARG report. The support staff would support the Commission in coordinating the development of the required followup actions. The existing Incident Investigation Manual (NUREG-1303) provides sufficient operational guidance to support the activation and conduct of an ARG.

COORDINATION:

The Office of the General Counsel has reviewed this paper and has no legal objection.

RECOMMENDATION:

r That the Commission approve the proposed new Management Directive 8.9,

" Accident Investigation" including Handbook 8.9.

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.T lor' ecutive irector for Operations

Enclosure:

l Proposed New Management Directive 8.9 " Accident Investigation" t

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4 Commissioners' comments or consent should be provided directly to the Office of the Secretary by COB Wednesday,_ October 20, i

1993.

Commission Staff Office comments, if any, should be submitted j

to the Commissioners NLT Wednesday, October 13, 1993, with an information copy to the Office of the Secretary.

If the paper is of such a nature that it requires additional review and comment, the Commissioners and the Secretariat should be F

apprised of when comments may be expected.

DISTRIBUTION:

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I Volume 8, Licensee Oversight Programs Accident Investigation Directive 8.9 j

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Policy..........................................................

1 O bj ect i v es.....................................................

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Organizational Responsibilities and Delegations of Authority..........

2 Th e Commissio n..................................................... 2 The Director. Accident Review Group (ARG)............................. 2 The Executive Director for Operations (EDO)........................... 2 i

The Director, Office for Analysis and Evaluation of Operational Data (AEOD). 2 Office Directors and Regional Administrators............................. 2 i

De fi n i t io n s............................................................ 3 t

Accident Investiga tion................................................. 3 l

L Accide nt Resiew G roup............................................... 3 Event of Extraordinary Safety Significance................................. 3 l

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Ap plicab ili ty....................................................

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4 Em pl oye e s.......................................................... 4 i

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H a n d b oo k......................................................

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j U. S. Nuclear Regulatory Commission Volume: 8 Licensee Oversight Programs AEOD Accident Investigation Directive 8.9 Policy (8.9-01) 1 It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to investigate significant operational events invohing reactor or nonreactor facilities licensed by the NRC. An operational event of extraordinary safety significance that poses a significant hazard to public health and safety, or the emironment, or involves high public, r

media, congressional, or executive branch interest, at the discretion of the Commission, may involve a response by an Accident Review i

Group (ARG). Once established and chartered, an ARG will function in an independent and self-directed manner, subject only to the l

oversight of the Commission.

Objectives (8.9-02)

To promote public health and safety and provide for the common defense and security by preventing the recurrence of accidents at

icensed facilities. (021)

To ensure that an accident is investigated in a manner that is timely, e

objective, systematic, credible, and technically sound; that factual information pertaining to the accident is documented: and that probable causes are ascertained. (022)

To increase the effectiveness of NRC regulatory programs and e

licensee safety by the prompt dissemination of the facts, conditions, circumstances, and probable ca uses of the accident and the identification of appropriate followup actions. (023) e To improve regulatory oversight of licensee activities by uncovering facts that could show whether the regulatory framework or regulatory process contributed directly or indirectly to the cause or the course of an accident. (024)

Approved: (Draft 09/23/93) 1

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Volume 8, Licensee Oversight Programs Accident Investigation Directive 8.9 Organizational Responsibilities and Delegations of Authority (8.9-03)

The Commission t

(031)

Approves the investigation of an event of extraordinary safety significance by an ARG and approves the followup actions assigned as a result of the investigation.

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The Director, Accident Review Group (ARG)

(032) l Directs and manages the ARG and ensures that the objectives for the investigation are met. The Director, ARG, reports directly to the Commission.

The Executive Director for Operations (EDO)

(033; As requested by the Commission, ensures support for the activation and conduct of an accident investigation by an ARG and ensures that followup actions are taken as a result of the investigation.

i The Director, Office for Analysis and Evaluation of i

Operational Data (AEOD)

(034) l Maintains responsibility for the establishment and maintenance of an ARG investigatory capability.

OfTice Directors and Regional Administrators (035)

As requested by the Director, ARG, and the Commission, support the conduct of an ARG investigation.

2 Approved: (Draft 09/23/93)

Volume 8 Licensee Oversight Programs 9

Accident Investigation Directive 8.9 1

Definitions I

(8.9-04)

Accident Investigation i

(041)

A formal process conducted for the purpose of preventing accident 4

recurrence that involves the gathering and analysis ofinformation; the determination of findings and conclusions of fact, including the determination of probable cause(s) of the accident; and dissemination of the investigation results for review by NRC, the nuclear industry, the licensee, and the public.

Accident Review Group (042)

A group of experts who do not and have not had previous significant involvement with licensing, inspection, enforcement, operational, or response ac:ivities at the affected facility and who perform the NRC's investigation of the accident. An individual outside the NRC usually leads the ARG.The members of the ARG are composed of NRC staff f

experts and experts from outside the NRC. Because the ARG reports directly to the Commission, the activities of the ARG are independent i

of regional and headquarters office management.

Event of Extraordinary Safety Significance (043) i Any radiological, safeguards, or other safety-related operational event at an NRC-licensed facility that poses a significant hazard to public health and safety, or the emironment, or involves high public, media, congressional, or executive branch interest. An event of extraordinary safety significance may be referred to as an accident.

Such an event generally has very serious safety implications and may i

have profound regulatory implications.

Characteristics of an event for which an ARG response might be considered may include one or more of the following:

The event led to a general emergency at a reactor facility. (1)

The event involved an external release of radioactive material that resulted in at least partial implementation of radiologically justified protective measures for the public. (2)

Approved: (Draft 09/23/93) 3

Volume 8, Licensee Oversight Programs Accident Investigation Directive 8.9 Event of Extraordinary Safety Significance (043) (continued)

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The event involved severe damage to a significant fraction of the core of a power reactor, a major criticality accident, or a major fire or explosion releasing large quantities of radioactive materials l

within the facility. (3)

The event involved sufficiently serious circumstances, including I

security or safeguards concerns, or involved characteristics of great national or international interest, the investigation of which would I

best serve the needs and interests of the Commission. (4) j Applicability (8.9-05) i Employees

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(051)

This directive and handbook apply to the Commission and staff employees of NRC headquarters and regional offices.

Handbook (8.9-06)

Handbook 8.9 establishes responsibilities and functions of the l

Commission and NRC offices for an ARG response; provides objectives and authorities for a nuclear accident investigation; outlines the ARG response; establishes ARG support and followup responsibilities; and provides general guidance.

4 References (8.9-07)

1. NUREG-1303. Rev.

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" Incident Investigation Manual,"

September 1992.

2. NRC Management Directive 8.2, "NRC Incident Response Plan" (formerly MC 0502).

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Accident Investigation Directive 8.9

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References (8.9-07) (continued)

3. Office for Analysis and Evaluation of Operational Data Procedure No.12," Incident Investigation Team Administrative Requirements," March 1992.

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Accident Investigation Handbook 8.9 Parts I - III-Contents Part I i

Accident Investiga tion...............................................

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i G e n e ral (A)......................................................

1.

Responsibilities (B)................................................

1 The Commission (1)..................................

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The Executive Director for Operations (EDO) (2).......

1 The Director, Office for Analysis and Evaluation of Operational Da ta (AEOD) (3).........................................

2 The Director, Office of Nuclear Reactor Regulation (NRR) (4).......

3 The Director, Office of Nuclear Material Safety and Safeguards (NMSS) (5)..

3 Regional Administrators (6).......

4 The Director, Office of Administration (ADM) (7).................

5 The Director, Office of Public Affairs (OPA) (8)....

5 The Director, Office of Nuclear Regulatory Research (RES) (9).......

6 The Office of the General Counsel (OGC) (10)................

6 The Director, Office of Congressional Affairs (OCA) (11)............

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The Director, Office of Investigations (OI) (12)............. -.......

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Office of the Inspector General (OIG) (13)......................

7 The Director, Office of State Programs (OSP) (14)...............

7 The Director, Office of International Programs (OIP) (15)......

7 Part II I

1 Acciden t Review G roups.............................................

8 Objectives of an Accident Review (A)..................................

8 Scope of an Accident Investigation (B).................................

8 Sch ed ul e (C).....................................................

9 Group Composition and Membership (D).............................

10 D u ti e s ( E).......................................................

11 Conduct of an Accident Investigation (F)...............................

12 Accident Review Group Report and Individual Member Recommendations (G)...........................................

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Accident Investigations Handbook 8.9 Parts I - III i

Contents (continued) t Part II(continued)

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Volume 8, Licensee Oversight Programs Accident Investigation l

Handbook 8.9 Part I Part I Accident Investigation General (A)

This part outlines the responsibilities of the Commission and the responsibilities and support functions of NRC headquarters and regional offices in the activation, conduct, and followup for an accident investigation.

Responsibilities (a)

The Commission (1)

Determines whether an event of potentially extraordinary safety significance is to be investigated by an Accident Review Group (ARG). (a)

Selects the Director of the ARG and approves the members of the e

ARG, provides policy and overall direction to the ARG, and ensures the independence of the ARG. (b)

Approves the NRC followup actions to address the findings documented in the ARG report. (c)

The Executive Director fce Operations (EDO) (2)

Identifies the potential health and safety issues and provides e

recommendations to the Commission on events that may warrant an accident investigation response. (a)

As requested, identifies and provides staff to be members of an e

ARG. (b)

Approved: (Draft 09/23/93) 1

Volume 8g Licensee Oversight Programs Accident Investigation Handbook 8.9 Part I i

Responsibilities (B)(continued) i The Executive Director for Operations (EDO) (2) (continued) i As requested by the Commission, provides resources for an e

accident investigation support organization that reports directly to the Commission to support ARG activation, investigation, and report preparation activities, and development of NRC followup actions. (c)

The Director, Office for Analysis and Evaluation of Operational Data (AEOD)(3)

Maintains, with the assistance of other NRC offices, an accident investigation capability to meet the objectives set forth in this directive. (a)

Ensures that investigation procedures that are used for incident investigations and may be used for an accident investigation are developed and maintained. (b)

Provides to the Executive Director for Operations (EDO), in consultation with the appropriate regional administrator and the Director, Office of Nuclear Reactor Regulation (NRR), or the Director Office of Nuclear Material Safety and Safeguards (NMSS), potential safety issues and recommendations on events that may warrant an ARG response. (c)

As requested, identifies and provides staff to be members of an e

ARG. (d)

As requested, provides staff for the administrative, technical, and e

accident investigation methods requirements of an ARG and an ARG support organization. (e)

Establishes and maintains rosters of potential NRC staff members who are certified through formal training in incident investigation to participate in an accident investigation. (f)

Establishes and maintains rosters ofindustry groups and non-NRC personnel that may be appropriate sources of experts who may be nominees to participate in an accident investigation. (g) 2 Approved: (Draft 09/23/93)

Volume 8, Licensee Oversight Programs Accident Investigation Handbook 8.9 Part I Responsibilities (a)(continued)

The Director, Office for Analysis and Evaluation of Operational Dala (AEOD)(3)(continued) i Identifies needed training and coordmates trammg regmrements e

for incident investigation and accident investigation through the Technical Thrining Center. (h)

The Director, Office of Nuclear Reactor Regulation (NRR) (4)

Provides to the EDO,in consultation with the appropriate regional e

administrator and the Director, AEOD, potential safety issues and recommendations on reactor facility events that may warrant an ARG response. (a)

Aa requested, identifies and provides staff to be members of an ARG invohing a reactor facility. (b) l l

As requested, provides staff for the administrative ar j technical i

needs of an ARG and an ARG support organizatior. (c)

Identifies industry groups and non-NRC persorael that may be e

appropriate sources of experts who may be norainees to serve on an ARG invoMng a reactor facility. (d) i The Director, Office of Nuclear Material Safety and Sa> guards (NMSS)(5)

Provides to the EDO,in consultation with the appropriate regional e

t administrator and the Director, AEOD, potential nuclear materials or safeguards issues and recommendations on fuel cycle facility or materials-related events that may warrant an ARG response. (a)

As requested, identifies and provides staff to be members of an ARG invohing a fuel cycle facility or a materials licensee. (b)

As requested, provides staff for the administrative and technical needs of an ARG and an ARG support organization. (c) 4 Approved: (Draft 09/23/93) 3

Volume 8g Licensee Oversight Programs l

Accident Investigation Handbook 8.9 Part I i

Responsibilities (a)(continued)

The Director, Omce of Nuclear Material Safety and Safeguards (NMSS) (5) (continued) i Identifies industry groups and non-NRC personnel that may be appropriate sources of experts who may be nominees to serve on an ARG invoMng a fuel cycle facility or a materials licensee. (d)

I Regional Administrators (6) s Proside to the EDO, in consultation with Director, NRR, or the i

e Director, NMSS, and the Director, AEOD, potential safety, nuclear materials. or safeguards issues and recommendations on events that may warrant an ARG response. (a)

As requested, identify and provide staff to be members of an i

ARG. (b)

As requested, provide staff for the administrative and technical needs of an ARG, including staff to moc.itor licensee troubleshooting activities to assess equipment performance, and an ARG support organization. (c)

Assist in identifying industry groups and non-NRC personnel that e

may be appropriate sources of experts who may be nominees to

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serve on an ARG. (d)

Make appropriate State notifications of an ARG response. (e)

For an ARG response, issue a Confirmatory Action Letter, as e

appropriate, to the affected licensee requiring that, within the I

constraints of ensuring safety, relevant failed equipment and areas are quarantined and subject to agreed-upon controls for troubleshooting; and that information and data related to the

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event is protected. (f) l As Director of Site Operations, whose responsibilities are e

described in Management Directive 8.2,"NRC Incident Response Plan"(formerly MC 0502), approve the initiation of the ARG's onsite activities. (g) 4 Approved: (Draft 09/23/93)

Volume 8 Licensee Oversight Programs 0

Accident Investigation Handbook 8.9 Part I

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Responsibilities (s)(continued)

Regional Administrators (6)(continued) i As requested, provide assistance in briefing and providing e

background information to the ARG when it arrives onsite. (h) i As requested, coordinate with the Director, ARG, to identify, add, e

and remove equipment and areas from the quarantined list, within the constraints of ensuring plant safety, equipment testing, maintenance requirements, and determining causes for equipment anomalies, until the Director, ARG, assumes responsibility. (i)

I The Director, Omce of Administration (ADM) (7)

As requested, provides staff for the administrative needs of an ARG and an ARG support organization. (a)

As requested, provides staff to assist in writing, editing, word processing, printing, and distributing an ARG report. (b) t As requested, provides advice and assistance on the protection of e

classified or sensitive unclassified information related to an accident investigation. (c)

Prosides adsice and assistance in the procurement of e

management, technical, and administrative resources needed to implement an accident investigation. (d) i i

The Director, Omce of Public AITairs (OPA) (8)

Follows established NRC public affairs policies for keeping the e

press and public informed ofinformation related to an accident investigation. (a)

As requested, identifies and provides staff to support the public affairs needs of an ARG. (b) i Approved: (Draft 09/23/93) 5

i Volume 8g Licensee Oversight Programs Accident Investigation Handbook 8.9 Part I Responsibilities (n)(continued)

The Director, Omce of Public AITairs (OPA) (8) (continued)

Arranges for press releases and briefings and informs the public of exit meetings, as appropriate. Coordinates these activities with the appropriate headquarters offices, regional administrator, and the Director, ARG. (c)

The Director, Omce of Nuclear Regulatory Research (RES) (9)

As requested, identifies and provides staff to be members of an ARG. (a)

As requested, provides staff for the administrative and technical needs of an ARG and an ARG support organization. (b)

Identifies industry groups and non-NRC personnel that may be appropriate sources of experts who may be nominees to serve on an ARG. (c)

The Omce of the General Counsel (OGC)(10)

As requested, identifies and provides staff to be members of an ARG. (a)

As requested, provides staff for the administrative and legal needs of an ARG and an ARG support organization. (b)

Identifies outside groups and non-NRC personnel that may be appropriate sources of experts who may be nominees to serve on an ARG. (c)

The Director, Omce of Congressional Affairs (OCA)(11)

Makes congressional notification of an ARG response.

The Director, Omce ofInvestigations (OI) (12)

As requested,-identifies and provides staff to be members of an ARG.

6 Approved: (Draft 09/23/93)

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Volume 8, Licensee Oversight Programs Accident Investigation Handbook 8.9 Part I i

Responsibilities (B)(continued)

Office of the Inspector General (OIG) (13) 4 i

May provide staff to participate as observers of an ARG mvestigation in coordination with the Commission.

The Director, Office of State Programs (OSP) (14)

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Assists in identifying State agency personnel that may be e

appropriate sources of experts who may be nominees to serve on i

an ARG. (a)

Coordinates NRC interactions with State agencies for an ARG response. (b)

The Director, Office of International Programs (OIP) (15)

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Coordinates interaction with Department of State and foreign governments when an ARG response involves entities such as manufacturers in foreign countries.

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Volume 8, Licensee Oversight Programs Accident Investigation Handbook 8.9 Part II Part II Accident Review Groups This part provides guidance on the investigatory response by an Accident Review Group (ARG).

Objectives of an Accident Review (A)

The objectives of an ARG are as follows:

• To conduct a timely, thorough, systematic, formal, and independent investigation of the facts of an accident occurring at a facility licensed by the NRC. (1)

To collect, analyze and document factual information and evidence sufficient to determine the conditions, circumstances, and probable causes of the accident. (2)

Scope of an Accident Investigation (B)

The investigation performed by an ARG involves fact-finding, including the determination of probable causes, for an event of extraordinary safety significance (as defined in this directive). The scope of the investigation must be sufficient to ensure that the following is accomplished: (1)

The accident is clearly understood (a) e The relevant facts and circumstances are determined and e

collected (b)

. The probable causes and contributing causes and findings and conclusions are determined and substantiated by the esidence associated with the accident (c) 8 Approved: (Draft 09/23/93)

Volume 8g Licensee Oversight Programs Accident Investigation Handbook 8.9 Part II Scope of an Accident Investigation (a)(continued)

The scope of the investigation includes conditions preceding the accident, accident chronology, systems response, equipment performance, human

factors, licensee management and organizational factors, precursors to the accident, emergency response, safety significance, and radiological considerations. The ARG must consider whether licensee activ.' ties preceding and during the accident were timely and adequate and whether NRC actions or inactions contributed to the cause or the course of the accident.

Additionally, the ARG must determine whether any one or a combination of the following played a role in the accident: (2)

Institutional conditions such as the regulatory framework, e

including the NRC regulatory process, organization, management, and interactions (a)

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e External conditions such as the licensee's financial circumstances (b) f Industry or supplier circumstances (c)

The scope of the ARG investigation may also include an assessment of i

the offsite emergency response of State, local, and other Federal agencies,if directed by the Commission. (3)

The scope of the ARG investigation is established in a charter mutually agreed upon and approved by the Commission and the i

Director, ARG. The scope of the invest'gation does not include a specific assesstnent of violations of NRC rules and requirements. (4) t Schedule (C) t t

The ARG should be activated as soon as practicable after the safety i

significance of the operational event is determined and will begin its investigation as soon as practicable after the emergency has been downgraded to the point where the facility at which the accident occurred is placed in a safe, secure, and stable condition and radiological conditions permit safe site access. If there is an NRC incident response, the ARG investigation will begin only after the NRC Director of Site Operations, in consultation with the licensee, i

Approved: (Draft 09/23/93)

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Schedule (C)(continued) r approves the initiation of onsite activities. The ARG should provide f

periodic reports outlining the status, plans, and significant safety i

findings. (1) l The Commission and the Director, ARG, shall agree upon the I

schedule for completing the investigation and submitting the ARG's final written report. As a guideline, the final report should be transmitted to the Office of the Secretary (SECY) for distribution to the Commission and the EDO about 75 days after completion of the field investigation. (2) i After distribution of the final report, SECY should normally schedule a meeting for the ARG to brief the Commission on the results of the 2

investigation. Information contained in the report will not to be released until a copy of the final report is placed in the Public Document Room (PDR), which usually occurs during the day of the l

Commission briefing. If deemed necessary, SECY should forward a copy of the final report to the affected licensee before the Commission l

briefing and should promptly forward a copy of the final report to the PDR. Following the Commission briefing, SECY will transmit a copy of the final report to the licensee and the EDO for staff review and comment before the Commission defines and assigns NRC followup actions. (3)

Group Composition and 1

Membership (D)

The number of members and the areas of expertise required for the ARG will be determined on the basis of the type of facility involved, the characteristics of the accident, and the ARG charter, Areas of expertise will include the requisite technical, legal, and management disciplines and such other areas of specialization as may be necessary, such as financial expertise. ARG members are selected on the basis of l

their expertise, their potential contributions to the investigation, and

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their freedom from significant involvement in the licensing, l

inspection, and operation of the facility involved or other activities associated with issues that had a direct bearing on the cause or course of the accident. (1) 10 Approved: (Draft 09/23/93)

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Accident Investigation Handbook 8.9 Part II i

Group Composition and Membership (o)(continued)

The membership of the ARG should be composed,in part, of expert staff from the NRC. Appropriate outside individuals will be requested to participate as members in the investigation. The Director, ARG, will usually be an indisidual from outside NRC. Other outside individuals will be selected on the basis of their unique knowledge and expertise and should also be independent from significant prior involvement in activities associated with issues that had a direct bearing on the cause or the course of the event. The ARG should 4

consist of a larger proportion of non-NRC representation than is normally the case for an Incident Investigation Team. (2)

The background of each candidate member of the ARG will be carefully evaluated before selection to ensure impartiality and independence. Individuals possessing a high degree ofingenuity and resourcefulness should be selected to ensure that the investigation is conducted in a timely, professional, thorough, and coordinated manner. (3) t Duties (E)

The ARG carries out the NRC fact-finding investigation of the accident and is authorized and responsible for pursuing all aspects of an accident that are within its scope as defined in this directive and the ARG charter. NRC response personnel onsite shall provide support as j

needed to ensure the efficient and effective transition from response to investigation of the accident in a manner that will not interfere with l

safety at the site of the event. (1)

The following duties of the Director, ARG, are in addition to the duties defined elsewhere in this directive and handbook: (2)

Selects the members and concurs on the charter and schedule of the ARG. (a)

Directs and manages the ARG in its investigation and ensures that the objectives and schedules are met for the investigation as defined in this directive and handbook and the ARG charter. (b)

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Volume 8g Licensee Oversight Programs Accident Investigation i

Handbook 8,9 Part II l

Duties (E)(continued)

. Receives general direction and supervision from the Commission. (c) l Identifies, adds, and removes equipment and areas from the quarantined list, within the constraints of ensuring plant safety, i

equipment testing, maintenance requirements, and determining causes for equipment anomalies, after arriving onsite. (d) l Serves as principal spokesperson for the ARG activities in interacting with the licensee, the Commission, NRC offices, the Advisory Committee on Reactor Safeguards (ACRS), the Advisory Committee on Nuclear Waste (ACNW), or the. Advisory Committee on Medical Uses of Isotopes (ACMUI), the news media, and other organizations on matters involving the investigation. (e)

Provides status reports, as requested, documenting ARG activities and significant safety findings that may require timely remedial actions or issuance of information notices, bulletins, or orders. (f)

Identifies and requests that the Commission provide additional ARG resources (e.g., additional members, consultants, contractor i

assistance), as needed. (g)

Ensures,in cooperation with the ARG members and the technical writer / editor, preparation of the final report within the timeframe agreed upon by the Commission. (h)

Works with the Office of Public Affairs in providing the news 4

media with information on ARG activities. (i)

Conduct of an Accident Investigation (F)

The investigation process used by the ARG must be structured to maintain independence, objectivity, and thoroughness. The ARG may use as guidance the investigation principles and practices of incident i

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s Volume 8, Licensee Oversight Programs Accident Investigation Handbook 8.9 Part II 1

Conduct of an Accident Investigation (F)(continued) investigation training programs that are described in NUREG-1303.

" Incident Investigation Manual," and AEOD Procedure No.12.

" Incident Investigation Team Administrative Requirements." These procedures proside guidance for the following:

Activating an investigation, including responsibilities, I

coordination, communication, group composition, and guidance (1) i Outlining an investigation.

including responsibilities.

e communication, interactions, scope, and schedule (2) i Interviewing personnel (3) e Collecting and maintaining records, documents, data, and other information (4)

Treating quarantined equipment and areas (5) e Preparing and reviewing all data for classified or sensitive e

unclassified information and distributing an investigation report and related documents (6)

Defining administrative support requirements for an investigation (7.)

i Accident Review Group Report and Individual Member i

Recommendations (G)

/

The ARG shall prepare a wTitten NUREG-series report to formally document its findings and conclusions of fact. The report should i

provide a description of the conditions preceding the accident, accident chronology, systems response, equipment performance, human factors, licensee management and organizational factors.

precursors of the accident, emergency response, safety significance, and radiological considerations.The report should document whether and how NRC actions or inactions contributed to the cause or the course of the accident and whether and how institutional aspects Approved: (Draft 09/23/93) 13

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Handbook 8.9 Part II i

F Accident Review Group Report and Individual Member i

Recommendations (G)(continued) played a role in the accident. The report must include appropriate findings and conclusions relating to the conditions, circumstances, and probable causes of the accident. (1)

Because the ARG is not chartered under rules related to advisory committees. it will not deliberate upon or make recommendations as a group for NRC action orinaction; however. individual ARG members may submit their individual recommendations to the Commission at the option of the member. (2)

Followup (a)

Following the Commission briefing on the ARG results and review and comment by the NRC staff and the licensee on the ARG report, t

the Commission shall determine the NRC followup actions that will be taken as a result of the investigation. The EDO shall assign office or regional responsibility for the generic and facility-specific followup actions identified by the Commission. Office directors shall provide a plan to resolve each of their assigned actions and periodic written status reports on the disposition of each assigned action. (1)

The memorandum assigning followup actions should address all ARG findings that are judged to require followup. The resolution of each assigned action will be documented and each generic item will be individually tracked by the EDO Work Item Tracking System (WITS).

AEOD will prepare a single closeout report with input from other NRC offices to formally document the resolution of each finding. (2) i l

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i Volume 8, Licensee Oversight Programs Accident Investigation Handbook 8.9 Part III l

Part III Investigation Support Staff The Commission may establish an Investigation Support Staff (ISS) that shall be proposed by the Executive Director for Operations (EDO). If established by the Commission, the ISS coordinates the Accident Review Group (ARG) and the NRC staff support activities for the Commission for the duration of the investigation. The ISS is supenised by the Director, ISS, who is appointed by and receives direction and supenision ' rom the Commission. (1)

The responsibilities of the Director,ISS, include the following:(2)

Supports the Commission in its selection of the Director, ARG, and its approval of the members, including individuals outside the NRC, and supports development of the ARG charter. (a)

Coordinates with headquarters and regional offices to provide the administrative and technical support necessary for the ARG to meet its objectives and schedule. (b)

Coordinates with the Director, Office of Administration, to e

provide support necessary to publish an ARG report as a document in the NUREG-series. (c)

. Coordinates with headquarters and regional offices to support development and Commission approval of NRC followup actions to address the findings of the ARG report. (d)

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