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Elements of an Approach to Performance-Based
Regulatory Oversight (NUREG/CR-5392)
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Publication Information
Manuscript Completed: December 1998
Date Published: January 1999
Prepared by
R.W. Youngblood, R.N.M. Hunt, E.R. Schmidt
J. Bolin, F. Dombek, D. Prochnow
SCIENTECH, Inc.
11140 Rockville Pike
Rockville, MD 20852
N.P. Kadambi, NRC Project Manager
Prepared for
Division of Regulatory Applications
Office of Nuclear Regulatory Research
U.S. Nuclear Regulatory Commission
Washington, DC 20555-0001
NRC Job Code J6040
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Abstract
This report discusses an approach to performance-based regulatory oversight.
One key issue in developing a performance-based approach is choosing a
collection of performance measures that is highly results-oriented, and
will support the capability to detect and act upon emerging performance
problems before they lead to adverse consequences. A related issue is
the role of institutional factors, and how to reflect institutional factors
in a results-oriented, performance-based approach. These issues are explored
through discussion of examples. Based on these discussions, an approach
is recommended. The approach entails (1) careful formulation of a safety
case, which shows what the challenges are to plant safety and what the
plant capability is for responding to those challenges, (2) allocation
of performance goals over elements of the safety case, (3) formulation
of a "diamond tree," which is an integrated, hierarchical presentation
of hardware, human, and institutional performance areas that indicates
how institutional performance supports the safety case, and (4) application
of the diamond tree to select a set of performance measures that is as
results-oriented as possible, given the levels and kinds of performance
needed in order to support the safety case, and the need to respond to
emergent problems before adverse consequences develop.
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