United States Nuclear Regulatory Commission - Protecting People and the Environment

Summary - Reactor Oversight Process; Interim Policy for Performance Indicator (PI) Data; 10 CFR 50.59; Inaccurate or Incomplete PI Data; Failure to Secure Licensed Material

On May 1, 2000, the Commission published a complete revision of its Enforcement Policy in the Federal Register (65 FR 25368). The major aspect of this revision incorporates the Interim Enforcement Policy that was used during the revised reactor oversight process (ROP) pilot plant study into the main body of the Enforcement Policy as permanent guidance.

The ROP's significance determination process (SDP) will be used to evaluate the actual and potential safety consequences of issues in a risk-informed framework and will provide an input into the enforcement process. Under this process, violations will normally be dispositioned as Non-Cited Violations (NCVs) for green SDP findings and be cited in Notices of Violation (NOVs) for white, yellow, or red SDP findings. Given the risk significance, NOVs associated with white, yellow, or red SDP findings will be considered escalated enforcement actions and will be posted on the Office of Enforcement's (OE's) website and included in OE's annual report. Civil penalties will not normally be used for violations associated with the ROP.

However, civil penalties (and the use of severity levels) will be considered for issues with actual consequences. Civil penalties and severity levels will also be used to address violations that are willful or that have the potential for impacting the regulatory process.

Because the submittal and review of performance indicator (PI) data is a new process as part of the ROP, this revision includes an interim Enforcement Policy for exercising enforcement discretion for inaccurate or incomplete PI data.

The new Policy makes additional changes, including: changing examples of violations for 10 CFR 50.59; adding examples of violations for inaccurate or incomplete PI data; changing examples of violations involving the failure to secure, or maintain surveillance over, licensed material; and editing existing guidance to assure clarity of existing policy and consistency with the intent of the Interim Enforcement Policy used during the revised ROP pilot.


Page Last Reviewed/Updated Thursday, March 29, 2012