ROP References

On this page: Inspection Guidance Assessment Guidance Enforcement and Allegations Guidance Policy Documents

Inspection Guidance

• IMC 2515, "Light Water Reactor Inspection Program -- Operations Phase" - Description of inspection program at operating power reactor facilities
  • Baseline Inspections (IMC 2515 Appendix A) – Inspection procedures performed annually at all plants
  • Supplemental Inspections (IMC 2515 Appendix B) – Inspection procedures performed at plants with performance indicators and inspection findings of some safety significance
  • Special and Infrequent Inspections (IMC 2515 Appendix C) – Inspection procedures performed for selected safety issues and infrequently performed inspections
• IMC 0611, "Power Reactor Inspection Reports" – Guidance for document inspection findings in an inspection report
• IMC 0609, "Significance Determination Process (SDP)" – Guidance for assessing the risk significance of inspection findings. SDPs for findings in various cornerstones are in appendixes to MC 0609. Risk-Informed Inspection Notebooks are site-specific information used in the SDP, including initiating event likelihood ratings, initiators and system dependency, SDP phase 2 worksheets, and SDP event trees.
• Risk Assessment of Operational Events (RASP) Handbook - Methods and guidance that the NRC staff use to achieve more consistent results when performing risk assessments of operational events and licensee performance issues.
  • Volume 1 – Internal Events (Revision 3.0)
  • Volume 2 – External Events (Revision 1.01)
  • Volume 3 – SPAR Model Review (Revision 2)
  • Volume 4 – Shutdown Events (Revision 1.0)
• MD 8.3, "NRC Incident Investigation Program" – Guidance for agency response to significant events
• IMC 0308, Attachment 2, "Technical Basis for Inspection Program" – Technical basis for the inspection program
• IMC 0308, Attachment 3, "Significance Determination Process Basis Document" – Technical basis for the various SDPs.
• Index of Operating Experience Smart Samples (Pilot Program) - Operating Experience Smart Sample (OpESS) provide a detailed synopsis of selected operating experience that can be used as an additional tool by agency staff in ROP inspection preparation.
• Index of Manual Chapters – Manual Chapters (MCs) are written administrative or inspection program statements of policy that focus on safety issues.
• Index of Inspection Procedures – Inspection Procedures (IPs) are statements of requirements and guidance for inspection activities that focus on safety issues.
• A complete index of program documents for the NRC's oversight program is available on the NRC Inspection Manual Web page, including Temporary Instructions and Technical Guidance.

Assessment Guidance

• IMC 0305, "Operating Reactor Assessment Program" – Description of NRC's assessment process for inspection findings and performance indicators, including agency response to these items (e.g., the Action Matrix)
• IMC 0350, "Oversight of Operating Reactors in a Shutdown Condition with Performance Problems"
• IMC 0307, "Reactor Oversight Process Self-Assessment Program"
• MD 8.14, "Agency Action Review Meeting" - Description of the annual meeting of senior NRC management to review ROP actions
• IMC 0308, Attachment 4, "Technical Basis for Assessment" – Technical basis for the assessment program

Enforcement and Allegations Guidance

• NRC Enforcement Policy
• IMC 0308, Attachment 5, "Technical Basis for Enforcement" – Technical basis for the enforcement program as it relates to the ROP
• MD 8.8, "Management of Allegations"

Policy Documents

• MD 8.13, "Reactor Oversight Process" – ROP policy, including discussion of regulatory framework and the seven cornerstones of safety
• IMC 0308, "Reactor Oversight Process (ROP) Basis Document" – The document and its attachments describe the basis for the significant decisions reached by the NRC staff during the development and implementation of the ROP.
• SECY-00-0061, "Proposed Revision to the Enforcement Policy to Address the Revised Reactor Oversight Process"
  • SRM for SECY-00-0061
• SECY-00-0049, "Results of the Revised Reactor Oversight Process Pilot Program"
  • SRM 1 for SECY-00-0049
  • SRM 2 for SECY-00-0049
• SECY-99-007A, "Recommendations for Reactor Oversight Process Improvements"
  • SRM for SECY-99-007A
• SECY-99-007, "Recommendations for Reactor Oversight Process Improvements"
  • SRM for SECY-99-007
• Annual ROP Self-Assessment Commission papers
• Industry Trends