1. 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

2. 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

3. 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.

4. 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

5. 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

6. 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

7. The Reactor Oversight Process in Detail

8. Performance Indicators

9. Performance Based Oversight

10. 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

11. 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

12. Thank You
Any questions?

13. Backup Slides

14. 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.

15. 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