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 “performance-based” 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 noncompliance Significance of finding based on various factors Risk significance may not be a primary consideration Identified deficiencies with ECCS performance Performance deficiencies reviewed against performance-based criteria Significance of finding based on a performance-based, risk-informed 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) 10 CFR Part 50, Appendix G: Fracture Toughness Requirements Example of Licensing Activity (Performance-Based) 10 CFR Part 50, Appendix J, Option B: Performance-Based Leakage-Test Requirements Example of Licensing Activities (Performance-Based, Risk-Informed) Technical Specification Task Force (TSTF)-425: Relocation of Surveillance Frequencies to Licensee –Controlled Documents 10 CFR 50.48(c): Adopting National Fire Protection Association (NFPA) Standard 805