ROP Program Documents
On this page:
- Inspection Guidance
- Performance Indicator Guidance
- Assessment Guidance
- Enforcement and Allegations Guidance
- Policy Documents
- 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 0612, "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 2)
- 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.
Performance Indicator Guidance
- IMC 0608, "Performance Indicator Program"
- IMC 0308, Attachment 1, "Technical Basis for Performance Indicators"
- NEI 99-02, Revision 7, "Regulatory Assessment Performance Indicator Guideline." The current revision of NEI 99-02 is a document jointly produced by the Nuclear Energy Institute (NEI) and the NRC and published by NEI that contains guidance for calculating and reporting PI data that the NRC uses in its assessment of commercial power reactor licensee performance. This document should be used for PI data collection as of October 1, 2013 and incorporates Frequently Asked Questions that were approved through March 2013.
- The ROP Performance Indicator Frequently Asked Question (FAQ) process is used to resolve interpretation issues with NEI 99-02. The FAQ process and white papers may also be used to propose changes to NEI 99-02 guidance and the PI Program. The NRC and industry review FAQs and white papers and work to achieve resolution during periodic public meetings. IMC 0608 and Appendix E of NEI 99-02 contain additional information about the FAQ and white paper processes. FAQs and white papers that contain plant-specific security information will not be publicly available to help prevent provision of potentially useful information to a possible adversary.
- White papers are proposed changes to NEI 99-02 or the PI Program that are introduced to the ROP Working Group Meetings. NRC staff and industry discuss the white papers during public meetings. When staff and industry develop a resolution to a white paper, the industry will typically develop an FAQ to initiate the formal NEI 99-02 change process. White papers do not constitute final resolutions or extensions of NEI 99-02.
- Draft FAQs are FAQs that have been introduced at the public ROP working group meetings and that are pending resolution. Draft FAQs are updated and modified based on NRC and industry discussions during public meetings. Once the NRC approves a draft FAQ, it will be removed from the draft FAQs list and added to the approved FAQs list.
- Approved FAQs (updated as of October 19, 2016) are FAQs for which the NRC and industry have resolved since the latest revision of NEI 99-02. Approved FAQs should be used in conjunction with the latest revision of NEI 99-02 to determine the current guidance for performance indicator collection and reporting. Approved FAQs will be incorporated into the next revision to NEI 99-02 and then moved into the archived FAQ list on this Web site. To begin receiving updates to approved FAQs by e-mail, please visit our Subscribe to E-mail updates page and follow the instructions at the GovDelivery Subscription Services link.
- Archived FAQs that have been that have been resolved prior to or superseded by the latest revision of NEI 99-02 and are included on this Web site for reference purposes. Archived FAQs also contain withdrawn FAQs since the latest revision of NEI 99-02.
- 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"
- 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-01-0111, "Development of an Industry Trends Program for Operating Power Reactors"
- SECY-00-0061, "Proposed Revision to the Enforcement Policy to Address the Revised Reactor Oversight Process"
- SECY-00-0049, "Results of the Revised Reactor Oversight Process Pilot Program"
- SECY-99-007A, "Recommendations for Reactor Oversight Process Improvements"
- SECY-99-007, "Recommendations for Reactor Oversight Process Improvements"
- Annual ROP Self-Assessment Commission papers
- Annual Industry Trends Commission papers
Page Last Reviewed/Updated Thursday, October 20, 2016