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Enforcement Guidance Supplement 05-01: Contractor Investigation, Causal Analysis, and Corrective Actions

Section 1.3 of the Operational Procedures for Enforcement, published in June 1998, provides the opportunity for the Office of Price-Anderson Enforcement (OE) to periodically issue clarifying guidance regarding the processes used in its enforcement activities. Such guidance is typically issued in the form of an Enforcement Guidance Supplement (EGS).

As part of the investigation of potential nuclear safety noncompliances, OE routinely
reviews the contractor's investigation of the noncompliance, the associated causal
analysis, and the corrective actions developed by the contractor to resolve the
noncompliance and prevent recurrence. A high percentage of enforcement actions
undertaken by OE feature recurrent events or deficiencies, indicating weaknesses
associated with contractor processes to develop and implement effective corrective
actions. In response, OE has developed this EGS to disseminate information regarding
observed deficiencies as a potential lessons -learned for the DOE contractor community.
Attachment A provides enforcement case examples highlighting performance
deficiencies specific to this subject area.