ML20196L100
| ML20196L100 | |
| Person / Time | |
|---|---|
| Issue date: | 06/09/1999 |
| From: | Diaz N NRC COMMISSION (OCM) |
| To: | Vietticook A NRC OFFICE OF THE SECRETARY (SECY) |
| Shared Package | |
| ML20196L093 | List: |
| References | |
| SECY-99-146-C, NUDOCS 9907120295 | |
| Download: ML20196L100 (3) | |
Text
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' NOTATION VOTE RESPONSE SHEET TO:
Annette Vietti-Cook, Secretary FROM:
COMMISSIONER DIAZ SlJBJECT:
SECY-99-146-INTERIM ENFORCEMENT POLICY FOR USE DURING THE NRC POWER REACTOR OVERSIGHT PROCESS PILOT PLANT STUDY l
w/, comment Approved XX 0, Disapproved Abstain 7
Not Participating '
COMMENTS:
I approve, but recommend the attached edits to the Federal Register
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substantial changes to the Enforcement Policy since 1980. However, the Commission has continued to employ a. basic theory of using sanctions, including the use of civil penalties, to deter noncompliance. Escalated enforcement actions have provided regulatory messages to encourage improved licensee performance. Mc;;;;ar, the Commission has not always integrated decision making in the performance assessment program with the enforcement program. This has resulted in mixed regulatory messages regarding performance and approaches to improve it. Further, the enforcement process has been criticized as being difficult to understand, subjective, inconsistent, unpredictable, and not being sufficiently risk-informed. ' Ucensee's have indicated that this has resulted in setting high priorities for issues of low risk significance at the expense of more risk-significant items.
I The Commission has deveioped a new reactor oversight process and is applying it to i
nine reactor sites as part of a pilot plant study scheduled to begin in June 1999. The new reactor oversight process which includes a structured performance assessment process and evaluates the significance of indMdual findings provides an opportunity to reconsider the
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existing Enforcement Policy. In considering a new approach to enforcement, the Commission is not suggesting that the existing policy which used civil penalties has not served the agency c isineffective. Howeverhopportunko erin rate the enforcement policy and the came reactor oversight p the new oversight process, a greater agency focus on isk and performance, and the overall improved industry performan TBased on the following, r
the new aaaaaament process and the current Enforcement Policy provides similar functions:
Both the current enforcement and the new oversight processes result in formulating i
l agency responses to violations and peit.T. nw issues. The enforcement process y
uses sanctions such as citations and penalties. Both 'use actions such as meetings to 3
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new assessment process will use a Significance Determination Process (SPD) to characterize 4V ins iction findings based on their risk significance and performance impact. The SDP will assign a color band of green, white, yellow, or red to each violation (or plant issue) to reflect its significance. To support a unified approach to significance, the Enforcement Policy will use the results of the SDP, where applicable, to disposition violations.
The enforcement approach for the pilot program divides violations into two groups. The first group is those violations that the SDP can evaluate, where the Agency Action Matrix will determine appropriate action. The second group is those violations associated with actual consequences, violations that the SDP does not evaluate, such as willful violations, and those that may impact the regulatory process for oversight of reactors.
- l. Violations Evaluated by the Significance Determination Process Th'e first group is those violations that the SDP evaluates, where the A.gency Action Matrix will determine appropriate action. Violations will be either cited or non cited. Normally, severity levels and civil penalties will not be used.
A. Violations of Low Significance Violations that the SDP has evaluated as of low signrficance (i.e., green) will be information for the assessment process and considered within the licensee response band me b%,