Prescriptive vs Performance Based Regulatory Approaches Nader Mamish

Prescriptive vs Performance. Based Regulatory Approaches Nader Mamish Office Director, International Programs U. S. Nuclear Regulatory Commission Regulatory Cooperation Forum – 30 September 2016 Vienna, Austria

Overview • Defining “prescriptive” and “performancebased” • Evolution of NRC’s regulatory approach • Understanding the Reactor Oversight Process • Comparing the 2 approaches with a case study

Definitions • Prescriptive requirements - specifies what is to be achieved and the means for achieving a desired objective. • Performance-based requirements - relies upon measurable (or calculable) outcomes to be met. Focuses on performance as well as results and outcomes.

Evolution of the NRC’s Regulatory Approach • Systematic Assessment of Licensee Performance (SALP): Prescriptive, looked at regulatory compliance • Difficulties identified: – Results were subjective and inconsistent – Did not take risk into account – Process was not well understood by stakeholders

Moving from SALP to ROP • The Reactor Oversight Process (ROP) was developed to: – Improve the objectivity of the oversight processes – Increase transparency – Risk-inform the processes

The Reactor Oversight Process in Detail • Monitors and evaluates licensee performance utilizing a risk-informed process that is designed to focus NRC attention on significant issues. • Focuses on 3 performance areas: – Reactor Safety – Radiation Safety – Safeguards

The Reactor Oversight Process in Detail

Performance Indicators

Performance Based Oversight

Comparing the Two Approaches SALP Assessment ROP Assessment • Identified deficiencies with ECCS performance • Finding results from • Performance deficiencies noncompliance reviewed against performance-based • Significance of finding criteria based on various factors • Risk significance may not • Significance of finding based on a performancebe a primary based, risk-informed consideration assessment

Conclusions • Regulations can be either prescriptive or performance-based • Both types are useful in a successful regulatory framework • Advancements in technology may allow changing of the approach • Stakeholder input is important

Thank You Any questions? Nader. Mamish@nrc. gov

Backup Slides

Performance Based Regulation • NRC Strategic Plan defines PBR and describes the attributes: – Measurable, calculable, or objectively observable parameters exist or can be developed to monitor performance. – Objective criteria exist or can be developed to assess performance. – Licensees have flexibility to determine how to meet the established performance criteria in ways that encourage and reward improved outcomes. – A framework exists (or can be developed), in which the failure to meet a performance criterion, while undesirable, will not in and of itself constitute or result in an immediate safety concern.

Licensing: Prescriptive and Performance. Based • Example of Licensing Activity (Prescriptive) o 10 CFR Part 50, Appendix G: Fracture Toughness Requirements • Example of Licensing Activity (Performance-Based) o 10 CFR Part 50, Appendix J, Option B: Performance. Based Leakage-Test Requirements • Example of Licensing Activities (Performance-Based, Risk. Informed) o Technical Specification Task Force (TSTF)-425: Relocation of Surveillance Frequencies to Licensee – Controlled Documents o 10 CFR 50. 48(c): Adopting National Fire Protection Association (NFPA) Standard 805