ML21349A931
| ML21349A931 | |
| Person / Time | |
|---|---|
| Issue date: | 12/15/2021 |
| From: | Daniel Merzke NRC/NRR/DRO/IRIB |
| To: | |
| Daniel Merzke NRR/DRO/IRAB, 4251457 | |
| Shared Package | |
| ML21349A925 | List: |
| References | |
| Download: ML21349A931 (12) | |
Text
Graded Approach in Enforcement Dan Merzke U.S. Nuclear Regulatory Commission
Enforcement Step 1 - Identify the non-compliance and determine safety significance or severity level
- Non-compliances and inspection findings (failure to meet a requirement or standard (a standard includes a self-imposed standard such as a voluntary initiative or a standard required by regulation) that was reasonably within the licensees ability to foresee and correct and should have been prevented, with more than minor safety significance) 2
Enforcement Step 1 - Screen for significance
- Traditional enforcement - severity levels
- Willful, impeding the regulatory process, actual safety consequence
- SL determined by criteria described in Enforcement Manual
- Reactor oversight process findings - significance levels
- Probabilistic
- Deterministic 3
Enforcement Traditional enforcement
- Severity Level I - violations are those that resulted in or could have resulted in serious safety or security consequences
- Severity Level II violations are those that resulted in or could have resulted in significant safety or security consequences
- Severity Level III violations are those that resulted in or could have resulted in moderate safety or security consequences
- Severity Level IV violations are those that are less serious, but are of more than minor concern, that resulted in no or relatively inappreciable potential safety or security consequences 4
Enforcement SDP Findings 5
Enforcement SDP Findings 6
Enforcement
- Step 2 - Identify applicable factors to consider
- The safety significance or seriousness of the violation or non-compliance;
- Who identified and reported the non-compliance, i.e., whether the non-compliance was self-reported or identified during an independent inspection;
- Timeliness of corrective actions to restore compliance with the requirements;
- The frequency and number of deficiencies;
- Whether or not the identified deficiency is repetitive; and
- Willfulness 7
Enforcement
- Step 3 - Integrate factors into decision-making process to determine appropriate enforcement action
- Enforcement tools:
- Minor violation (entered into licensee corrective action program)
- Non-cited violation (NCV = non-escalated enforcement)
- Notice of violation (NOV = escalated enforcement)
- Civil penalty
- Orders 8
Enforcement Step 3 - safety significance of the non-compliance is the primary factor in determining the appropriate tool.
- Other factors mitigate or exacerbate the significance
- Licensee-identified mitigates - encourages licensees to find and fix problems before regulator finds them.
- Repetitive exacerbates - corrective actions untimely or ineffective
- Willful exacerbates - knowingly and deliberately violates regulations 9
Enforcement 10
Enforcement 11
Enforcement
- Specific guidance located in NRC Enforcement Manual
- https://www.nrc.gov/about-nrc/regulatory/enforcement/guidance.html#manual 12