ML20217Q847
| ML20217Q847 | |
| Person / Time | |
|---|---|
| Issue date: | 08/25/1997 |
| From: | Hoyle J NRC OFFICE OF THE SECRETARY (SECY) |
| To: | Callan L NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| References | |
| REF-10CFR9.7 NUDOCS 9709030405 | |
| Download: ML20217Q847 (3) | |
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August 25,1997 e
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Ollelt Of THt s t C 8it t a n y MCMCPJJ1DUM TO:
L. Joseph Callan Execup ve Dipec, tor for Operations N
FROM:
John,<C. H
, Secretary STkFFREQUIREMENTS-COMSAJ-97-008 i
SUBJECTr-DISCUSSION ON SAFETY AND COMPLIANCE 4
i The Commission has approved the attached discussion of safety and compliance.
This guidance should be incorporated in the r-Enforcement Policy, Inspection Manuals, Project Managers
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Handbook, and other staff guidance, as appropriate.
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Attachment:
As stated cc:
Chairman Jackson Commissioner'Dieus Commissioner Dia:
Commissioner McGaffigan OGC CIO CFO OCA
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Safety and Compl13nce l
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As commonly underst)od. safety means freedom from exposure to donger
?r In a practical sense, an activity is deemed to De ufe protection from harm.
The Atome Energv Act af if the perceived risks are judged to be acceptable.
1954 as amended. establisnes " adequate protection" as the standard 9 s p t.
l In the context of NRC regulation safet, on which NRC regulation it based means avoiding undue risk or stated another jay, providing reasonable l
assurance of adequate protection for the public in connection with the use of l
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source, byproduct and speciel nuclear materials.
'The definition of compliance is much simpler _ Compliance simply means meet mg 8
applicable regulatory _ requirements.
What is tnc nexus between compliance and safety?
t Safety is the fundamental regulatory objective. and compliance with W 1
1 requirements plays a fundamental role;1n giving the NRC confidence tnt safety 15 being maintained.
NRC requirements. including tecnnical Spec 1f,1 cations, other license conditions orders. and regulations, noe been designed to ensure adequate protection % hich corresponds tn "no l
undue risk to public health and safety" -through acceptable desig construction. operation maintenance, modification, and quality in the context of risk informed regulation.
assurance measures.
assspt*7 compliance plays a very important role in ensuring that te) j used in underlying risk and engineering analyses remain valia Adequate protection is presumntively assured by compliance with NRC i
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Circumstances may arise however where new information requirements.
reveals, for example, that an unforeseen hazard exists or that there is in such a substantially greater potential for'a known hazard to occur, situations. the NRC has the statutory authority to require licensee
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action above and beyond existing regulations to mainta!n the level of protection necessary to avoid undue risk to public health and safetj i
Ine NRC has the authority to exercise discretion to permit continued 3
-operations-A spite the existence of a noncompliance-mherc the l
noncompliance is not significant from a risk perspective and doer.ot.
-in the particular circumstances, pose an undue risk to pu_Dlic health and When non-compliances occur, the NRC must evaluate the degree of safety.
risk posed by that non compliance to determine if specific immediate-action is required. Where needed_to ensure adequate protection of public health and' safety-. the NRC may demand immediate licensee actton.
I In up to and including a shutdown or cessation of licensed activities addition. in determining the appropriate action to be taken the NRC must-evaluate the non compliance both in terms of its_ direct safety ano regulatory significance and by asEessing whether it is part of a pattern of nonicompliance (i.e.. the degree of-pervasiveness) that can leaa tc the determination diat licensee control processes are na longer acequ3tr Based on tre-to ensure protection of the public health and safety.
t NRC's evaluation, the' appropriate action Could include refraining frbm
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taking spec 1f1c enforcement action. 1ssuing orders 1aking any act100 or providing input to other regulatory actions or assessments su? 3:
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. 2 Increased oversignt (e g., increased inspection).
'4here requirements e(1st that the NRC concludes have no safet < Denet '?
4 the NRC can and should take action, as appropriate. to modify or rem se e,uch requirements from the regulations or licenses Requirement s inat are dupi1cetive unnecessary. or unnecessarily burdensome can actua!1s They also can tend to create an hase a negative safety impact.
irsppropriate NRC and licensee focus on " safety versus compliance" As the Commission states in its Principles of Good Regulat en debates "1here should be a Clear nexus between regulations and agency goals ana objectives whether explicitly or implicitly stated.
Since some requirements are more important to safety than others, the 5
Commission should use a risk-informed approach wherever possible nhen adding. removing, or modifying NRC regulations, as well as when applying NRC resources to the oversight of licensed activities (this incluaes Based on the accumulation of operating experience ana v enforcement).
increasing Sophistication of r1st analysis, the NRC should continue ti refine.1ts regulatory approach in a manner that enhances and reaffirm our fundamental safety 03]ective lhese principles attempt to describe the nexus between compliance and sate.
incompat.1ble O The misperception tnat compliance and safety are somehow unrelated arises nhen the principles just outlined are not understcod or vt
'Anen understood and appliec correctly, the result should be nrongly applied a consistent, credible regulatory approach as applied to licensing, inspection. enforcement. performance assessment processes and rulem3 king.
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