ML17261A312
| ML17261A312 | |
| Person / Time | |
|---|---|
| Issue date: | 09/13/2017 |
| From: | NRC/OCIO |
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| Shared Package | |
| ML17261A290 | List: |
| References | |
| FOIA/PA-2017-0410 | |
| Download: ML17261A312 (537) | |
Text
Jolicoeur, John From: Lusk, Perry I (b)(6)
Sent: Friday, March 10, 2017 7:15 PM To: Jolicoeur. John; Lewis, Robert; Rasouli, Houman Cc: Benedict, Hilary M; Rusco, Franklin Subje<t: [External_Sender) Draft GAO Report for NRC Comment (100685)
Attachments: All_STA FF-#l992297-vl-1006BS_DRAFT_REPORT _FOR_AGENCY _COMMENTS.PDF March 10, 2017 Kristine L. Svinicki Chairman t.S. Nuclear Regulatory Commission
Dear Mr. Chairman:
(b)(5),(b)(6)
Sincerely yours,
[signed]
Frank Rusco Director, Natural Resources and Environment Attachment
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UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, O.C. 20$55"8001 April 10, 2017 Mr. Frank Rusco. Director Natural Resources and Environment U_S_ Government Accountabillty Office 441 G Street, NW Washington, DC 20226
Dear Mr. Rusco:
On behalf of the U S. Nuclear Regulatory Commission (NRC), I am responding to your e~mail dated March 10, 2017, which provided the NRC an opportunity to review and comrnent on the U,S. Government Accountability Office (GAO) draft report GA0~17 w233, "Strategic Human Capital Management: NRC Could Better Manage the Size and Composition of its Workforce by Further Incorporating Leading Practices."
The NRC staff appreciates the opportunity to review the draft report as well as the GAO staffs professionalism and constructive interactions during this GAO engagement Overall, the NRC agrees *.vith the draft report and its findings. The Jraft "eport provides an accurate perspective of strategic workforce planning at the NRC. In January I formed a working group whose purpose is to develop a plan for a comprehensive, integrated, and systematic Strategic Workforce Planning (SVVP) process. The expected outcome, once implemented. is to enhance the eMisting SWP process by better integrating lhe agency's workload projection, skills identification, human capital management, individual development, and workforce management activities. In the enclosure to this letter, we have provided some minor comments and clarifications for your consideration Thank you again for the opporturiity to provide comments on the GAO report. Please feel free to contact Mr. John Jolicoeur at (301) 415-1642 or John.Jolicoeur@nrc.gov if you have questions or need aC1C11t1ona1 1nformat1on.
Sincerely, Cr---:::_~~~,..__
--- ,r...-i..
Victor M. Mccree EKecutive Director for Operations Enclosure; NRC Commenl5 on Draft Report GA0-17*233
The U.S. Nuclear Regulatory Commission Comments an Draft Report GAQ-17-233 March 2017 Clarifying Comments and Suggestions:
On page 1, the first sentence of the first paragraph states that, "From 2005 to early 2010 ... increased by about 59 percent and about 27 percent." Footnote 1, second sentence states that the NRC's workforce is calculated based on data from NRC's budget justifications for fiscal years 2006 and 2011. The U.S. Nuclear Regulatory Commission (NRC) could not validate the 27°/~ workforce increase statement. We would suggest a clarification to footnote 1, to explain the use of 2006-2011 budget justification. Overatl, the document refers lo different time periods and may benefit from better explanations about how they relate to FY 2005-2010
- 2. On page 7, 1he first fine, substitute "relinquishes** for ~delegates" to correctly describe the statutory framework for the Agreement State program under section 274 of the Atomic Energy Ac!.
- 3. On page 7, second bullet, insert 'uranium recovery, and the disposal or between ~service' and ~low-level radioactive waste" to describe this Business Line.
4 On page 7, 1h1rd bullet, insert ~high~level radioactive~ between ' .. store spent nuclear fuel and" and µwaste".
5 On page 7, first full paragraph. last sentence, insert "in areas relevanl to NRC's mission~
between "research and development" and ~and provides grants". to read as follows (addition noted in red), " . .,which supports university research and development in areas relevant to NRC's mission and provides grants lo support research projects."
6 On page 7, footnote 19 - substitute *201 O" for "2012" regarding when NRC stopped requesting funds for conducting the review of the Construction Authorization for Yucca Mountain.
- 7. On page 10, first paragraph, state budget amount with consistent years for comparison. For exarnple, budget and workforce comparisons switch between fiscal year (FY) 2010 and FY 2011 throughout tne document. If workforce increases are enacted budget amounts, cite 3, 108 full-time equivalent (FTE) to 3,923 FTE, including the Office of the Inspector General
- 8. On page 10, second paragraph, it is suggested that the percentage increases in FTE be made consistent with those cited on page 1 and page 25.
9 On page 11. first bullet New reactors*** the paragraph i:s mixing FTE allocalions by office and t:>usiness line. Substitute "New Reactor Business Line" far the "Office of New Reactors" in the first sentence to correct inconsistencies 1o. on page 12, second bullet - substitute "tt1e DOE motion 10 withdraw" for ~ooE withdrew" in relation 10 the Department of Energy's actJons regarding its Yucca Mountain license application.
- 11. On page 13, first paragraph - consider adding NRC's merger of the Office of Federal and State Materials and Environmental Programs (FSME) back into the Office of Nuclear Enclosure
Material Safety and Safeguards (NMSS) in 2014. [The Commission established FSME in 2006 and approved its merger back into NMSS 1n 2014). Although not an initiative under Project Aim, this is an example of the Commission's focus on aligning the agency's resources with its workload, even prior to the Project Aim initiative.
- 12. On page 16, the second paragraph states that Office level officials develop staffing plans based on FTE allocations set by OCHCO based on the budget However. FTE allocations are established and set by OCFO. Therefore, change OCHCO to OCFO.
- 13. On page 20, second paragraph (and accompanying footnote 34) cites the Office of Personnel Management (OPM) guidance to agencies on the Human Capilal Assessment and Accountability Framework (HCAAF) (2006) Since 5 CFR Part 250 (B) Final Rule for Strategic Workforce Management was revised, the requirements for Federal agencies have been updated. GAO should consider adding a phrase th.at clarifies that HCAAF has been revised due to the updated requirements and OPM is developing implementing guidance to agencies.
- 14. On page 22, the draft report contains summaries of statements from two individuals including one NRC official and an NRC union representative. lt is recommended that references to single representatives interviewed during the review process be removed from the report as their perspectives may not be shared by others or be reflective of the true state of strategic workforce planning at the NRC.
- 15. On pages 22-23, (and accompanying footnote 41) see comment 13 above regarding HCAAF Framework of 2006.
16 On page 23, bottom paragraph, substitute "Quarterly Performance Review" for *quarter!~."
2
Jolicoeur1 John From: Rueck ha us, JE'ffrey R -< RueckhausJ@gao.gov>
Sent: Thursday, March 02, 2017 3:29 PM To: Jolicoeur, John; Rasouli, Houman; Lewis, Robert Cc: Rusco, Franklin: Benedict Hilary M: Carrigan, Alisa
Subject:
[External_Sender] Draft GAO Report for NRC Comrnent (100728 ~ Yucca Mountain Licensing)
Attachments: DRAFT* GA0-17-340
- OUO.pdf March 2, 2017 The Honorable Kristine L. Svinicki Chairman U.S. Nuclear Regulatory Commission Dear Chairman Svinicki (b)(5),(b)(6)
Sincerely yours,
[signed]
Frank Rusco Director, Natural Resources and Environment Attachment
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UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON. O.C. 20555-0001 Aprll 5, 2017 Mr. Frank Rusco, Director Natural Resources and Environment U_S_ Govemment Accountability Office 441 G Street, NW Washington, DC 20226
Dear Mr. Rusco:
On behalf of the U.S. Nuclear Regulatory Commission {NRC). l am responding to your ewmail dated March 2, 2017, which provided the NRC an opportunity to review and comment on the U.S. Government Accountabilfty Office (GAO) draft report GA0-17~340, "Commercial Nuclear Waste; Resuming Licensing of the Yucca Mountain Repository Would Require Rebuilding Capacity at DOE and NRC, Among Other Key Steps."
The NRC staff appreciates the opportunity to review the draft report as well as the GAO staffs professionalism and constructive interaciions during this GAO engagement Overall, the NRC agrees with the draft report and its findings. In the enclosure to this letter, we have provided some minor comments and clarifications for your consideration, which may help to provide an accurate historical perspective of Yucca Mountain repository development and to clarify key steps that would be necessary should the licensing process resume.
Thank you again for the opportunity to provide comments 011 the draft GAO report. Please feel free to contact Mr. John Jolicoeur at (301) 415w1642 or John.Jolicoeur@nrc.gov if you have questions or need additional information.
Sincerely, r-:c.
~~~Y--
'\"'!\ - .
- ,,~
Victor M. Mccree Exe1;u1ive Director for Operations Enclosure NRC Comments on Draft Report GAQ-17-340
NRC Comments on Draft Report GA0-17-340 Clarifying Comments and Suggestions:
- 1. On page .2, on the second line from the bottom of the last paragraph, we suggest the following insert be made (as shown In red): "for making NRC's initial decision about whether, relative 10 the matters challenged 1n the parties' contentions, safety and environmental laws and regulations ... "
As the sentence currently reads, it seems to suggest that licensing board initial decision findings will constitute an overall ruling on the repository's compliance with safety and environmental requirements. In fact, they relate only to the contested matters the parties bring before the boards. This revision also would make this sentence consistent with what is correctly noted to be the Commission's authority on page 37 ol the current draft report.
- 2. Oo page 3, first sentence, delete "one or more licensing Boards" - at the time of fhe notice of hearing, the petitions were directed to the Commission generally; the boards were established a bit later.
- 3. On page 3, the fourth line, we suggest the following revision (as shown in red)'. "the three Uoensing boards convened i:At tRe ti~ to rule on hearing petitions announced".
This revision would make clear the authority of the first three boards relative to the fourth board that subsequently was created to manage the proceeding, including the discovery process, following the initial three boards' hearing petition rulings.
- 4. On page 3, last sentence - delete uresponding to the contentions andn - all litigants, not jtist DOE, had the ability to respond to contentions; DOE is one of several parties who did this; the sentence as structured suggests it was just DOE who did this.
- 5. In footnote four, we suggest the following revision (as shown in red):
EHBSf;lt-as Aekill; NRG regulations require that entitles seeking admission as a party to the Yucca Mountain licensing adjudication demonstrate that they have standing to participate in the proceedings. Entities seeking party s1atus are also required to demonstrate their compliance with NRC's requirements related to the Licensing Support Network and to submit one or more admissible contentions. !ls an e1:ca~tioA, NRC regulations also provide that 10 Nevada and California counties considered "affected un~s of local govemmenf' as defined by the NWPA, as well as affected Indian tribes, were not required to demonstrate standing. Also, a governmental entity~ can seek admission into the adjudication as an "interested governmental I
body," rather than a party, which allo*Ns "'&rs are ROI Hil(i' 1ire9 er f)Qrm1ns61 ti' part101pation as a l1t:ganl relative to any party's admitted SH9mH contentions.
With these edits, !he footnote will be a more accurate description of NRC procedural requlren1ents regarding participation by inlervenors and other intorestsd entities. For example, an interested governmental body need not submit a conten1ion to participate in the proceeding under that provision but Is not barred from submitting a contention in an effort to gain party status.
- 6. In footnote five. !he first line. we sJggest that the word "recogni1ed" be deleted as creating ambiguity and unnecessary. Also, if the suggestion in Comment 5 above is adopted, the lasl sentence of this footnote can be deleted as duplicative.
- 7. On page 3, footnote 7- should be reworded to avoid use of the word "direcr- it is up to the applicant to decide, when a board, the Commission, or the staff, finds an application to be defrcient, whether it wishes to voluntarily amend the appllcation {or take some other action) to rectify the problem. The NRG can point out the problem, but in the end the applicant takes action voluntarily. The footnote could be revised (as shown in red) to read "otticials, based on t'll8rc11:t1ori w1tt1 a licensing board, the Commission, or the NRC statt DOE may 0011IQ a'ss lilM"ael DOE- t6 make changes to its application." The draft report uses the term "the five-member Commission in several other places. We recommend referring simply to "the Commission" beca1.Jse the Commission could have fewer than five members at a given time.
- 8. On page 4, in the third line of 1he first paragraph, we suggest the following revision (as shown In red): "OAA-.Gt~;:i fourth licensing boarrn:. convened to man<1ge party d1scovery, a motion lo withdraw its license application".
Per item 3 above, this will -clarify which licensing board was dealing with the DOE w,thdrawal motion.
- 9. Also, on page 4, last two sentences of the lirst paragraph; we suggest the following revision (as shown in red):
SL.bsequentty, NRC.fl.A4..~.ooun 'Q 11 iQ 11 1Gd ttie licensing board denied DOE's withdrawal motion, a 'ul1ng that was allowed to stano wren the Commission announced on Septernber 9, 2011. that lt was evenly divided en whether to take review of, and overturn or vphold the boCTrd's dec1s1on. and directed the board lo "comple'.e all necessary ond appropriate case rnanagen1e11! act1v1ties, including dibposal or 1natters currently µendiny before 1l." ~
At:cord1ngly. in September 2011, the licensing board formally suspended the licensing adjudi:ation.
Although these sentences were redrafted in response to agency comments on the previous version of the GAO report, these changes (consistent with the previous suggestions) are necessary to ensure that 1his important sequence of events is accurately characterized.
- 10. On page 8, middle paragraph, last sentence states:
~NRC's regulations, among other things, define safety and environmental protection standards for a proposed repository and outline the requirements and process for licensing Yucca Mountain (see app. 1)."
The U.$, Environmental Protection Agency sets environmental protection standards for Yucca Mountain, which are incorporated into NRC's regulations for Yucca l\/lountain. To avoid potential confusion regarding Which agency sets environmental protection standards, we suggest the following revision (as shown 1n red):
"NRC's regulations, among other things, deUA@ specify safety requirements and incorporate the U.S. Environmental Protection Agency's environmental protection standards for a proposed repository at Yucca Mountain, and outline tRe- additional requirements and the process for licensing Yucca Mountain (see app. 1).~
- 11. On page 8, footnote 15states:
"The act generally prohibits the NRC from issuing a commercial 11cense to a nuclear taci111y tnat lacks such a contract."
The NWPA provides NRC discretion in providing a precondition for issuance or renewal of a license but does not set any prohibition to NRC l1cens1ng as suggested by this footnote. This footnote should either be deleted or revised to more accurately reflect the language in Section 302(b)ln)(B) ot the NWPA.
- 12. On page 9, paragraph following the figure states:
"Shortly after DOE submitted its license application for Yucca Mountain on June 3, 2008, the NRC staff cond1Jcted an initial screening of DOE's application, as required in NRC regulations.
and in September 2008, found that the application was sufficient for NRC to carry out its review and, therefore, should be 'docketed.' Subsequently, the staff began its technical review of the application, including its review of the EIS for the repository and detailed safety review of the license application. These reviews followed decades of interactions between DOE ard NRG staff, while DOE studied the Yucca Mountain site and prepared rts license application. n As written, the text states tha1 the EIS review by NRC staff did not begin until after the appllcation acceptance review and docketing decision. NRC's staff ~doption determination of the EIS was issued concurrently with the docKeting decision. Thus the EIS revrew was completed at the time of docketing and not. as implied 1n the text that this review began at that time. The text on the EIS can be deleted here as the EIS adoption is covered in the paragraph that follows. We suggest the follow\ng revisions (as shown In red):
3
"Shortly after DOE submitted its license application for Yucca Mountain on June 3, 2006, the NRC staff conducted an initial screening of DOE's application, as required in NAC regulations, and in September 2008, found lhat the application was sufficient for NAO to carry out its review and, therefore, should be 'docketed.' Subsequently, the Slaff began its t~aif<9¥+9W ef lh1:1 app,1t*sti@A. tfltiltJ01ri~ its. .. e *: @'-ifle~~0r.tFiQ 1t1jilQfoii'tJr; ar'+O detailed :;;.afety review of the license application. ~1e.-~e""'s This review followed decades of interactions between DOE and NRG staff, while DOE studied the Yucca Mountain site and prepared its license application."
- 13. on page 9, Figure 1, Item 2 states:
"NRC's staff screens DOE's license application. If the application is accepted for docketing and review, the staff begin~ its technical review of the application and DOE's Environmental Impact Statement for the proposed repository" Based on the same rationale provided under comment 12, we suggest the following revision (as shown in red);
"NRC's staH screens DOE'S license application. If rtie application is accepted for docketing and review, the statt begins 11s technical review of the application,aMi-~~+i~&~
~~~~--l}f~f8~0Slllilf)'*"
1.4. On page 9, we suggest that the 1ollowing portion of the reference in the fifth column of figure 1 tie revised (as shown in red) to read "Day 955: Licensing board(s) eet'siaers completes considerat1or' of. .. "
This change is needed to con!orm the language 1n the figure to the informatlon provided in 1o C.F.R. Part 2, App. D, which is the basis for that ponion of the figure.
15, On page 9, we sugge5t that the initial portion of the first reference in the last column of figure 1 tie revised (as shown in red) to read "Day 1,055: NRC Commission completes its review" of contested issues ... ~
This change also is needed to conform the language in the figure to the information provided In 1O C.F.R. Part 2, App. D, which is the basis for that portion of the figure.
- 16. On page 1O, lootnotc 20 - we suggest rewording the footnote as follows for greater precision, since the jurisdiction of the two PAPO Boards was very carefully d(awn by the Commission. "Pnor to submission of DOE's license application and commencement of the adjudication. two other preliminary licensing boards were appointed to (1) rule on disputes over the electronic availability ot documents, and (2) to advise the Commission and issue case management orders on procedural matters expected to arise during the adjudication.~
- 17. On page 13, second sentence, replace "ruled that NRG had defied federal law by halting its licensing review" with "granted a writ of mandamus and directed the NRC to promptly continue the licensing process."
- 18. On page 13, after the sentence that ends witti footnote 22, but immediately prior to the footnote reference, we would like to propose the additional clarifying text (as shown in red):
" .. ,NRC did not resume the licensing adjudication. Jn response to the court's decision, fhe Cornm1sslon sought input from the parties to the adjudication and thereafter issued an order detaihng the course of action to continue with the liCl!Hl6ing process- In particular. the Commission directed the NRG Staff to complete and issue the Safety Evaluation Report and to enter the LSN documents in 1he possession of the Secretary into ADAMS, the NRC's official recordkeeping sys1ern and to prepare tor attowing public access tQ alt docurnents. Furtt1er, the Commission reQuested DOE to prepare the supplemental EIS associated w~h the repository's ground1111*atcr impacts. w-Addilionally1 footnote 22 Incorrectly cites to the Circuit Court decision and should be revised to read:
Memorandum and Order, NRC, In the Matter of U,S. Department of Energy (High-Level Waste Repository), Docket No. 63-001-HLW, 78 NRC 219, Nov. 18, 2013); see also In re Aiken County, 725 F.3d 255 (D.C. Cir. 2013).
- 19. On page 13, Figure 2, Box # 7 - Delete "After affirming the licensing board's ruling on an equally divided vote" and begin the 1ext with "The Commission directs *.* ~ - The Commission did not expressly affirm the Board's ruling. The Board's decision was allowed to stand following the Commission's equally divided vote on whether to undertake review of the Board's decision.
Rather than explain all this in the bOx (it's explained later in the text), just delete the introductory clause.
- 20. On page 18, we suggest that the ninth line o1 the first paragraph be revised (as shown in red) to read "At the same time, Q the liCensing board appointed to manage party discovery
~tPo ?ldj'1'i'lieatiQ"1, as well as'.
This will conform this re1erence with the revisions suggested in Comment 8 above.
- 21. On page 18- In the sentence beginning "Moreover .. ", delete "later reviewed andR -for the reason stated above In Comment 19: the Commission did not take review of the decision.
5
- 22. On page 19, on line 6 from the top of the page. delete the words "discovery phase" as unnecessary.
- 23. On page 19- Line 8, change "its" to "the Board's" to avoid ambiguity.
- 24. In footnote 34, on 1he third line revise ..a licensing board" to the licensing boa.rd" to remove any ambiguity about which board made the referenced decision.
- 25. On page 20, Line ~,change was defying" to "violated". Later in the same sentence, Insert
sufficient" before "funding."
- 26. on page 20, In the first full paragraph, we request that line 2 be revised (as shown in red) to state *instructed the agency staff and others" and that on line 5 the word "staff be deleted.
Because of separation of functions considerations, the NRC staff, which is a party to the Yucca Mountain proceeding, has not been involved in creating or operating the LSN Library. That work has been done by the Office of the Chief Information Officer under the direction of the Office of the Secretary and the Atomic Safety and Licensing Board Panet
- 27. On page 21, in the first full paragraph, tor the reasons detailed in Comment 26 above, we request that line 10 be revised (as shown in red) to read "agency information technology staff".
- 28. On page 21, the following sentence could be added to the end of footnote 42 to further update the status of the LSN Library project: NRC officials subsequently advised us that all LSN Library document reconciliation activities are anticipated to be completed by the end of March 2017.
This statement is consistent with the information being provided to the Congress as part of the NRC's monthly repor1 on agency Nuclear Waste Fund-related activities.
- 29. Regarding the section entitled "Resuming and Completing the Licensing Process Would Likely Require Four Key Steps, Which May Be Influenced by Several Factors."
The use of the word "directionn as used in the section titled "Resuming and Completing the Licensing Process Would likely Require Four Key Steps, Which May Be Influenced by Several Factors," starting on page 22, could be misinterpreted. NRC suggests that GAO revise the section, including the table in Figure 3, to clartty who is providing and receiving direction, and to clarity that prier to the resumption cf licensing activities, DOE would communicate Its Intention to 6
once again pursue Iha application. As currently drafted, the report could be inlerprotod to suggest that the NRC would need to receive direction to resume the licensing proceedings.
- 30. On page 23. Figure 3. Box 3: Consider revising the first bullet to read: "NRC's five-"1emb.,.r Commission and the Atomic Safety and Licensing BoardsR - an initial order lifting the suspension most likely will be issued by the Commission, and orders are not issued by the Panel, but rather are issued by individual boards
- 31. On page 27, Line 1, replace ~orders" with ~direction", since some Commission direction may come via staff requirements memorandum, as opposed to orders.
- 32. Also on page 27, we request that the seventh and eighth lines of text from the bottom of the page be revised (as shown in red) to read "600 hearing~ days, 61'"1111F1sl::19'e8 the costs".
This accurately reflects the figure given in the referenced August 29, 2014 letter.
- 33. On page 34, in lhe fourth line from the top of the page the reference to "ASLBP~ needs to be changed to "NRC~.
This change would be consistent with agency comments regarding the original draft. Although the Commission or the NRC staff might require DOE to show It has taken into account new information, that generally is not somethir1g a licensing board would require, at least In the absence of an admitted new or an1ended contention, a reference to which was part of the prior draft's discussion in this paragraph, but has now been removed.
- 34. On page 35, we suggest that lines 3~5 from the bottom be revised {as shown in red) to read "In memoranda from May 2010 and February 2011 to~ the licensing boards appointed during the Yucca Mountain adjudication to rnanage p;:,irty discovery,~.
This 1s consistent with the changes we have suggested for Comments 8 and 20 above,
- 35. On page 37, on the eightt1 and ninth lines from the bottom of the page, we suggest the sentence be revised (as shown in red) to read "the Director of the Office of~ Nuclear Material Safety and Safeguards".
This revision would provide the correct title for the NMSS Director.
- 36. On page. 3B, second full sentence states:
"The Department of the Interior currently controls tne land rights for the Yucca Mountain site."
7
The "Yucca Mountain site~ (as defined in 10 CFR 63.2) occupies land ttiat is controlled by multiple Federat agencies and not just the Department of the Interior. As stated in DOE's license application (Chapter 5, page 5.8*2): "The GAOA and surrounding land, shown as within the land withdrawal area boundary on FiQure 5.8*1, include about 150,000 acres of land currently under the control of the DOE. the U.S. Department of Defense, and the U.S.
Oepartmenl of the Interior (DOE 2002, Section 1.4. 1):' We suggest the following revision (as shown in red)*
"Mu!l1ple l-'edera1 age11c1es (1 e.. Oepartment ol Defense. Department of EnerQy. and +he Department of the Interior} currently controls the land tigh1s for the Yucca Mountain site as def1n0d 1r* 10 CFR 63 2.~
Typograpf'lic:al and Minor Corrections:
Page 2, fol.Jr lines from the bottom, change "administrative law judges" to ~administrative judges." The NRC does not employ administralive law judges.
Page 3, footnote 5 and throughout - ~Esmerelda" should be "Esmeralda*.
Page 5, line 5, "Materials" sf'lould be "Material*.
Page 10, lust full paragraph, first line* *secretary ot Energy" needs to be changed to "Secretary of the Commission" or simply "Secretary" [note: for NAG the "Secretary" is defined in 10 CFR Part 2 as the Secretary of the Commission].
Page 27. Line 21, there appears to be Q word missing between "pctentiar and "full-time".
Consider inserting future" there.
Page 31, tile transposition in the tifth line from the bottom of the text should be corrected to read "their personnel".
Page 33, last paragraph, 9 lines from end'. It appears the sentence beginning "Or Vllitnesses .. "
should be "Other witnesses ... "
8
Page 36, the second !ina from the bottom of tha text transposition "ALSBP" should be <::orrected to "ASLBP".
Page 37, the eleventh 'ine from the top, the word ~any" should be deleted as unnecessary, Page 37, last line: The phrase" .. within the repository operations ... n should be (as shown in red) ",,.within the repository operations area ... "
Page 40, in table 1, in ;he first line of the second bulleted "Description" item, the word "Acr needs to be added after the words "Nuclear Wast.e Policy".
9
Jolicoeur, John From: Kolling, Amanda f (b)(6)
Sent: Thursday, March lb, 2017 3:18 PM To: Jolicoeur, John; Lewis, Robert; Rasouli, Houman Cc: Anderson, Nathan J; Trimble, David e:l...--==(b-)-(6-)--~
Subject:
[External_Sender] Transmittal of GAO Draft Report for NRC Comment (100208)
Attachments: ALL.ST A FF*#2007094*v2* 100208.*_REPORT.TO.AG ENCY _FOR. COMMENT.* .3.16.2017 .PDF March 16, 2017 Mr. Victor M. Mccree U.S. Nuclear Regulatory Commission
Dear Mr. Mccree:
(b)(5)
Sincerely yours, David Trimble Director, Natural Resources and Environment Attachment
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UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, n.c. 205Ss.-0001 April 14, 2017 Mr. David Trimble, )irector Natural Resources :ind Environment U.S. Government J ccountability Office 441 G Street, NW Washington, DC 2 )226
Dear Mr. Trimble:
On behalf ol the U. ). Nuclear Regulatory Commission (NRC), I arn responding to your e-mail dated March 16, 2C 17, which provided the NRC an opportunity to review and comment on the U.S. Government tccountabflity Ottice (GAO) draft report GA0-17-306, "Nuclear Waste:
Opportunities tl(ist to Reduce Risks and Costs by E:valuating Oilfen:int Waste Treatment Approaches at Har ford."
The NRC staff appieciates the opportunity to review the draft report as welt as the GAO staff's prolessionaUsm an* I conslructive interactions during this GAO engagement. The draft report provides an overvlE w of treatment options for Department of Energy (DOE) low-activity waste, DOE experience 1n Implementing alternatives tor the disposal of low~activity waste, and the DOE process for th~ selection of treatment options, However, we believe that the report would benefit from a few i1dditional insights regarding NRC's technical assessment and further clarifications conce ning apphcable statutory and regulatory citations. In the enclosure to this letter, we have pro1 ided some detailed comments and clarificatrons for your consideration.
Thank you e:galn fo *the opportunity to provide comments on the GAO report. Please feel free to contact Mr. John Jolicoeur at (301) 415*1642 or John.Jolicoeur@nrc.gov if you have questions or need ;,dditional information.
s;z; Vic~1re~
, ~Cw_
Executive Direct~r l for Operations
Enclosure:
NRC Comments or Draft Report GA0-17-340
U.S. Nuclear Regulatory Commission Comments on the Draft Government Accountability Office Report (GA0-17-306). "Nuclear Waste: Opportunities Exist to Reduce Risks and Costs by Evaluating Different Waste Treatment Approaches at Hanford" In the following co1 nments, underlining is used for suggested additions and strikethrough is used for suggested dele t1ons.
Introduction and Page 1: The introduction, under 'What GAO Found," and Page 1 currently includes the follow ng two sentences. '*Formerly, all tank waste stored at :he Hanford and Savannah River S!les was classified as high-level waste. even though most of the waste at both sites 'Nas of comp; ratively low radioactivity. Under federal Jaw, all such waste must be vltrifled.~
Read together, the Je sentences suggest Iha! all high-level waste must be vitriiied. The NRC is not aware of any s atutory. regulatory, or other basis for the staternent that all h1gh*leve! waste be vitrified. The NF;C suggests the sentence tt1at currently reads, "Underfederat law. all sucti waste must be vitr. 'ied be stricken in its entirety.
Pages 11 and 12: One 01 the NRC's overarching concerns with the draft is that in some places 1t could more clear y represent lhe role of certain NRC regulations in the implementation of SectlOr'l 3116 ot th1! National Defense Authorization Act for fiscal year 2005 (NOAA).
Speci1'ically, clarific at:on o1 the references to Title 10 of the Code of the Federal Regulations (1 O CFR). Part 61, in t11e NOAA would be useful. The suggested addition below reflects the language of Sectio1 3116 of the NOAA and clarifies the role of the NRC regulation in the implementation ol he statute; Section 31
- 6. Section 3116 of the National Defense Authorization Act tor fiscal year 2005 autho'izes the Secretary of Energy, in consultation with 1he NRC. to determine that cer.ain waste from 'eprocess1ng is not HLW if it meets the criteria set forth in that section; that it does not require disposal in a deep geologic reposilory, that it has had highly radicactive radionuclidss removed to the maximum extent practical, and that It meets concentration limits and/or dose~based perlormance objectives for near~surface disposal of 'adioactive waste specified in Tjtle 10 of the Code of Federal Regulations rCFR) Part fil._and that it will be disposed of pursuant to a state-issued permit or state-approved c osure plan Page 12: The NR1; suggests the specific changes shown below to clarify whether the provisions and resirictions dQscrlbed appear 1n legislation, regulation, or guidance. The changes also update the status of the NRC's l 0 CFR 61 rulemaking and clarify that the 11 DOO.
or 10,000*year con1pliance period was proposed in the draft final rulemaking. The NRC suggests clar1fy1ng and rnoving the final sentence of the paragraph in the main text to the footnote as shown because tho sontonce pertains to the regulation, and the paragraph is denoted "NRC guic ance" in the GAO draft. If the $Cntence is retained in the main text, it should be edited to stale t 1at the draft final rule proposes either a 1,000 or 10,000 year compliance period depending< n tile characteristics of the waste. For waste incidental to reprocessing, most wasteforms v- ould be expected to contain significant quant1t1es of long*lived radlonuclktes and lheretore a 1o 000 year compliance period would be used Enclosure
NRC g~ida.r ce. AseeFEliAg le PJRC @1:i1i8aF1se lmfillBAReAtiAQ seet1aF1 311 s, tThe 2004 legislation a.Jthorizes DOE to manage certain waste at its Savannah River and Idaho Sites as lov.*level was*e. According to NAC guidance imple1nenting section 3116 (NUREG-154) NRC recommends a 10,000 year period for demonstrating complianc;e with the perormance objectives of 10 CFR Part 61, evor tho oourso of-a. 1-0-,-000-yeaf 13ariaa af i;ie1erR"laRse, DOE used the 10,000~year period of performance in its 2012 EIS on Iha t lanford Site for its assessment of the tong-term impacts frorn groundwater',
human heal h, and ecological risks. ~RC rsaeAtly prGp9se9 Ghlilfl!jlA!j its 1:10~ie9 ef f!B~ElrmaAa 'te 1,QQQ years, l31:it tRis no1le Ras ABt )et l:Jeen liriali-i!eEf. (:oa~.,1
- iootnoi 9lln 20- i§, NRC developed a Aatiee ef pr-epee~ draft final rulemaking that contains reguiremen1:; for analyses timeframes. The draft final rulemaking proposed ,wfilGll pra~eseB ei her a 1,000*year or a 10,000*yea' compliance period-depending on whether the waste contains significarit quantities of long-lived radionuclides-foHowed by a performar ce period, The performance periOd refers to the periOd of time over which a licensee m~.st demonstrate that effort has been made to minimize releases to the extent reasonably ichievable.
Page 29: The NAC staff agrees that the study the Department of Energy (DOE) cited in the text below supports its t1ssumptions about the hydraulic properties of saltstone. However, other studies o1 the core >amples challenge key DOE assumptions about the release of technetium and iodine. The Nf IC recommends adding !he following text and footnote as shown; Savannah fiver Sile officials also told us that a multi*year study ex.amined core samples from one of the site's grout vau'ts and found that DOE's assumptions about radiation releases fron grout have mostly been alf1rrned. 83 The NAC staff agreed that this study supported i: OE's assumptions but noted lhat other studies of the same core samples challenge k, ~v assumptions about technetium and iodine releases.(Nwtoo!l"()itl OJ DOE, p,, oerty Dara far Coro Samples F:xtracted from SOU Ce ff 2A, SRR~CWOA*
2016-00051 Rev. 0 (A;ken, SC: Apnl 2016).
1~w root"OtoJ O JE Contaminant Leaching from Salts/qne SREL-OOC No R- 16~0003 IAiken SC: September 2016).
Page 29: The NRC: appreciates lhe GAO representation of different DOE and NAC views about lhe NAC letter of Cf 1ncern regarding saltstone disposal at the Savann1;1h River Site. The NRC understands that DJE expressed an opinion that the model prompting the NRC concern is a worst*case scenari ), and that the NAG has a different opinion, However. the NRC believes that the statement that the model did not use engineered barriers" is an oversimplification. The model that promptE d the concern derived significant improvements in projected pertormance 1fom the engineere j 11oor of the dlsp0sa1 structure, which slowed radionuclide release and lowered the projec12d dose by approximately an order of magnitude. The NRG lherelore recommends addir g new sen~ences as reflected below:
DOE officials and~ IRC officials appear to have different opinions on the exten1 to which technetiurn~99rete1tion is a technical challenge at the Savannati River Site. DOE officials told us that this is a m1r or issue and that the model prompting this concern was based on a "worst case scenario" tha' did not use engineered barriers and assumed that all of the grout in the
Site's grout vaults h1stantaneously failed. NRC officials ex.pressed the view that while some msiQ.ef assumptions did appear to be conservative or pessimistic. others appeared to be optimistic. Specific 1lly. NRC officials stated that. while it may not have been intended to represent engineenid barriers. the model derived significant projected dose reduction frorn the disposal structure fl:::iors. Other disagreements focused on the projected performance that the model derived from issues related 10 the timing of grout degradation Page 29: Although lhe NRC underslands that the passage below reports what DOE lold GAO, section 3116(b) ot tie NOAA states that The Commission shall, in coordination with the covered State, mor1tor disposal actions taken by the Department of Energy pursuant to subparagraphs (A) ind (8) of subsection (a)(3) for the purpose of assessing compliance with the performance ot1ectives set out in subpart C of pan 61 of title 10, Code of Federal Regulations.~ Beceuse the passage below is written in lhe context of a discussion of saltstone grout at the Savanrah River Site, to which section 3116(b) of the NOAA applies, the implication that NRC regulatior s do not apply is likely to be contusing, The NRC therefore recommends adding the noted SE ntence below:
DOE officials also t ild us that the NRC limits do not apply to DOE's low-level waste disposal sites, which includes the Savannah River Site grout vaults. NRC officials stated that Section 3116 of the NOAA does apply NRC limits to certain wastes determined by DOE 10 be incidental to reprocessing rattier than HLW. which includes certain Savannah Rlver Site grout vaults. and that NRC uses subilart C of 10 CFR Part 61 and its related guidance to fulfill its moni1oring role under the NOAA.
. 3.
Jolicoeur. John From: Philpott, Laura M (Michelle) < Philpottl@gao.gov>
Sent: Monday, April 17, 2017 7:38 PM
Subject:
[External_Sender] GAO Draft Report for Agency Comment: Fiscal Year 2015 IPERA Compliance (100948)
Attachments: GAO DRAFT Report_Fiscal Year 2015 IPERA Compliance (100948).pdf Importance: High
Dear Agency Heads and Inspectors General:
(b)(5),(b)(6)
Sincerely yours, Beryl Davis Director, Financial Management and Assurance U.S. Government Accountability Office CC:
Agency for International Development Mr. Wade Warren, Acting Administrator The Honorable Ann Calvaresi Barr. Inspector General Council of the Inspectors General on Integrity and Efficiency The Honorable Michael E. Horowitz, CIGIE Chair Department of Agriculture Mr. Mike Young, Acting Secretary The Honorable Phyllis Fong, Inspector General Department of Commerce Mr. Wilbur Ross, Secretary The Honorable Peggy Gustafson, Inspector General
Department of Defense Mr. James Mattis, Secretary Mr. Glenn Fine, Acting Inspector General 2
Department of Education Ms. Betsy DeVos, Secretary The Honorable Kathleen Tighe, Inspector General Department of Enemy Mr. Rick Perry, Secretary Ms. April Stephenson, Acting Inspector General Department of Health and Human ~ervices Mr. Tom Price, Secretary The Honorable Daniel Levinson, Inspector General Department of Homeland Security Mr. John F. Kelly, Secretary The Honorable John Roth, Inspector General Department of Housing and Urban Development Dr. Ben Carson, Secretary The Honorable David A. Montoya, Inspector General Department of the Interior Mr Ryan Zinke, Secretary Ms. Mary L. Kendall, Acting Inspector General Department of Justice Mr. Jeff Sessions. Secretary The Honorable Michael E. Horowitz, Inspector General Department of Labor Mr. Ed Hugler, Acting Secretary The Honorable Scott Dahl, Inspector General Department of State Mr. Rex Tillerson, Secretary The Honorable Steve Linick, Inspector General Department of Transportation Ms. Elain Chao, Secretary The Honorable Calvin L Scovel, 111, Inspector General Department gf the Treasury Mr. Steven Mnuchin, Secretary The Honorable Eric M. Thorson, Inspector General Department of Veterans Affairs Mr. David Shulkin, Secretary The Honorable Michael Missal, Inspector General Environmental Protection Agency Mr. Scott Pruitt, Administrator The Honorable Arthur A. Elkins, Jr., Inspector General General Services Administration Mr. Timothy 0. Horne, Acting Administrator The Honorable Carol Fortine Ochoa, Inspector General 3
National Aeronautics and Space Administration Mr Robert M. Lightfoot, Jr .. Acting Administrator The Honorable Paul K. Martin, Inspector General National Science Foundation Ms. France A. Cordova, Director Ms. Allison Lerner, Inspector General Nuclear Regulatory Commission Ms. Kristina L. Svinicki. Chairman The Honorable Hubert T. Bell, Inspector General Qffic~.-QLManagement and Budget Mr. Mick Mulvaney, Director Office of Personnel Management Ms. Kathleen McGettigan, Acting Director Mr. Norbert Vint, Acting Inspector General Small Business Administration Ms. Linda McMahon. Administrator Mr. Hannibal Ware, Acting Inspector General Social Security Administration Ms. Nancy A Berryhill, Acting Commissioner Ms. Gale Stallworth Stone, Acting Inspector General 4
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Jolic::oeur, John From: Booth, Justin JI (b)(6)
Sent: Monday, February 27, 2017 4:13 PM To: Jolicoeur. John Cc: Hinchman. David B: Lewis, Robert; Rasouli, Houman; Pawner, David A
Subject:
[E)(ternal_Sender] 100984/101420 *Transmittal of Draft Report for Agency Comments {Data Center Consolidation Planning and Progress) - NRC Attachments: Draft_GA0* 17 *388_secured.pdf February 27, 2017 The Honorable Kristine L. Svinicki Chairman Nuclear Regulatory Commission Dear Madam Chairman*
(b)(5),(b)(6)
Sincerely yours,
//signed//
David A. Powner Director, Information Technology Management Issues
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March 29, 2017 Mr. David A. Powner, Director Information Technology Management Issues U.S. Government Accountat>iltty Office 441 G Street, NW Washington, D.C. 20548
Dear Mr. Powner:
Thank you for providing the U.S. Nuclear Regulatory Commission (NRC) with the opponunity to review and comment on the U.S. Government Accountability Office's (GAO) draft report GA0-17-388, 'Data Center Optimization: Agencies Need to Complete Plans to Address Inconsistencies in Reported Savings." The NRC has reviewed the draft report and is in general agreement with its findings. The NRC is not in agreement with the recommendation for NRC as explained in the enclosure_ In addition. NRC has a few minor comments to the report and Appendix I for GAO consideration Please see these comments in the enclosure to this letter If you have any questions regarding the NRC's response. please contact John Jolicoeur by phone at (301) 415*1642 or by e-mail at John Jollcoeur@nrc gov Sincerely, IRA Michael R. Johnson Acting for/
Victor M_ Mccree Executive Director for Operations
Enclosure:
As stated
2 Letter from V. McCree, EDO to D. Pawner, GAO Dated March 29 2017 DISTRIBUTION: LTR*17*0093-11GA0*17*388 code 100984/101420 RidsEdoMailCenter Resource R1dsOgcma1I Center Resource RidsOcio Resource SOOD r/f ADAMS Acces51on No .. Pkg. ML170590424, Ltr ML17082A525, Encl ML17083A084 "Concur via e-mail OFFICE QTE OCIO/SDOD/NISB OCIO/SDOD/DD OCIO/SDOD/D NAME JDougherty* KDunbar GHayden TR1ch GHavden for GHavden for DATE 03/24/2011 03/23/2011 03/23/2017 03/23/2017 OFFICE OGG OCI0/00 OCIO/D EDD NAME MNorris~ SF landers DNelson VMcCree (MJohnson acting for)
DATE 03/2312017 03124/2017 03/24/2017 03/ 29 12017 OFFICIAL RECORDS COPY
U.S. Nuclear Regulatory Commission Comments on GA0-17-388, 11 Data Center Optimiutlon: Agencies Need to Complete Plans to Addres$ Inconsistencies in Reported Savings," Draft Report The U.S. Nuclear Regulatory Commission's (NRC's) comment on the draft report, for the Government Accounting Office (GAO) consideration. is as follows:
- 1. Page 14, paragraph 2, iri part states:
We also recommend that the following 23 agencies (the Secretaries of the Departments of Agricufture. Commerce, Defense, Educaf/on, Energy, Health and Human Services, Homeland Security, Housing and Urban Development, Interior, Labor, State, Transportation, Treasury, and Veterans Affairs: the Attorney General; and the Administrators of the Environmental Protection Agency, General Services Administration. National Aeronautics and Space Administration, Small Business Adrninistration. and U.S. Agency for International Developnuinl, t11c Director of lt1e Off;ce of Personnel Management: the Chairman of the Nuclear Regulatory Commission: and the Commissioner of the Social Security Administration) each take action to complete the missing elements in their respective DCOI strategic plan, including addressing any identified challenges, and submit their completed strategic plan to DMB The NRC did complete the Data Cenler Optimization Initiative (DCOI) strategic plan following the process requested The NRC's Strategic Plan JavaScript Object Notation (JSONJ file was created f()llowing directions and the schema provided by lhe Office of Management and Budget (OMB) located at https* //management cio_gov/schema/#DCOI The plan that was submitted to OMB was considered complete by the NRC's OMB desk officer and the DCOJ analyst Additionally. the NRC prepared a supplemental document thal can be found at http-//www nrc qcv/public-involve/open/diq1tal-qovernment/september2016_html This document contains some information beyond the strategic plan JSON file that was not required in the OMS defined strategic plan schema The NRC reached out to OMB after they submitted the draft report entitled Data Center Optimization Update for Congress, which stated that the NRC was only partially complete with the DCOI strategic plan_ OMS agreed that the NRC had met all the requirements and that OMB would update the final report accordingly The NRC recognizes that GAO has no intention to publisti updates to the Appendix I, Briefing for Staff Members of Congressional Committees, of the report However. the NRC believes that it is important to include the following clarification comments to Appendix I
- 1. Page 72, paragraph 2, in part states:
We also recommend that the Secretaries of the Departments of Agriculture, Commerce, Defense. Education, Energy, Health and Human Services, Homeland Security, Housing and Urban Development, Interior, Labar, State, Transportation, Treasury, and Veterans Affairs; the Attorney General; the Administrators of the Environmental Protection Agency, General Ser*...ices Administration, National Aeronautics and Space Administration, Small Business Administration, and U.S. Agency for International Development, the Director of the Office of Personnel Man8gement the Chairman of the Nuclear Regulatory Commission; and the Commissioner of the SDcial Security Administration take action to con1plete the missing elements in their respective DCOI Enclosure
strategic plan, including addressing any identffied challenges, and submit their complet9d strategic plan to OMB.
Page 63, Table 8 Table 8 shows NRC partially meeting both the Cost Savings Metric (FY2016 through FY2018) and the CJO Statement.
The NRC did complete the Data Center Optimization Initiative (DCOI) strategic plan following the process requested. The NRC's Strategic Plan JSON file was created following directions and the schema provided by OMB located at https*//management.cio.goy/schema/#DCQI_ The plan that was submitted to OMB was considered complete by the NRC's OMB desk officer and the DCOI analyst. Additionally, the NRC prepared a supplemental document that can be found at http://www.nrc.goyfpublic*
1nvolve/openfdigital-government/september2016.html. This document contains some information beyond the strategic plan JSON file that was not required in the OMB defined strategic plan schema.
The NRC reached out to OMS after they submitted the report, stating that the NRC was only partially complete with the DCOI strategic plan. OMB agreed that the NRC had met all the requirements and that OMB would update the final report accordingly.
The NRC met with GAO via teleconference on December 5, 2016, regarding the Chief Information Officer (CIO) statement. GAO explained that the rating was only "partially mot" because the CJO statement was not publicly available. The CIO statement was posted to the NRC's public Web site, and the NRC sent a follow-up e-mail to GAO on December 6, 2016, providing the location of the Web site.
- 2. Page 32, Paragraph 1, in part states:
Finalfy, in March 2016, we reporled3 1 that agencies had continued to make progress in their data center consofidation efforts. Specifically, we noted that agencies had reported closing 3, 125 of the 10,584 total data centers as of November 2015. We further noted that 1S of the 24 agencies had repotted achieving an estimated $2_ 8 bilfion in cost savings and avoidances from their data center consolidation and optimization efforts from fiscal years 2011 to 2015. Agencies were also planning an additionat $5. 4 bH/ion in cost savings and avoidances, for a total of approximately $8.2 billion, through fiscal year 2019_ However, we stated that planned savings may be higher because 10 agencies32 that reported planned closures from fiscal years 2016 through 2018 had not fully developed their cost savings goals for these fiscal years. ln addirion, agencies had made limited progress against OMB's fiscal year 2015 data center optimization pelformance metr/Cs, such as the utilization of data center facilities. Accordingly, we recommended that the agencies take actions to complete their cost savings targets and improve optimization progress. Most agencies agreed with the recommendations or had no comments.
Legacy NRC data centers were created in existing spaces that were converted to automation spaces without the benefit of being designed to support information technology equipment Although spaces were fitted with uninterruptible power supplies and computer room air handler units, the spaces did not have sufficient cooling and backup generator power, nor did they have metering and monitoring capability. The NRC has been working 2
toward the DCOI goals of achieving optimization by virtualization and reducing the number of old, nontiered data centers that cannot be metered, monitored, or measured Determining cost savings in legacy data centers by adding metering and monitoring capabilities is not practical, as ~would require spending funds to enhance data centers !hat will be closed in the future. Early potential savings estimates were calculated based on the l1kel1hood of savings from virtualization and are not truly quantifiable based on the lack of metering ar"ld monitoring capabilities en place. For the data centers that the NRC plans to keep going forward, the NRC has rncluded requests rn the fiscal year 2019 budget for funds to implement the metering and monitoring capabilities needed to start collecting metrics that could be used to show future cost savings.
- 3. Page 74, paragraphs 1-2, in part state:
We received comments on a draft of our briefing from OMB and 17 of the 24 agencies to which we made recommendations. In its comments, OMB neither agreed nor disagreed with our recommendations, bur noted the state of agencies' strategic pfans ana its work with agencies to complete their plans.
Among the responding agencies. 4 stated that they agreed with our recommendat1ons.
1 (Agric1Jlt1.1re) indicated that it did not agree with our recommendation. 3 commented on our findings but did not provide a position on the recommendations, and 8 stated that they had no comments. In addition. 1 provided only technical comments. while 2 agencies provided technical comments along with their other comments. All technical comments were incorporated as appropriate We did not receive a response from 7 agencies Page 79, paragraph 1, in part states:
The Departments of Education, Health and Human Services, Housing and Urban Development, and Justice; the Environmental Protect/On Agency; the National Aeronautics and Space Administration; and the Nuclear Regulatory Commission did nor provide comments on ths draft briefing After reviewing the GAO draft, the NRC provided written comments to GAO via e~mail on November 30, 2016.
3
Jolicoeur, John From: Grimes. Bridget Al (b)(6)
Sent: Tuesday, Februi'lry 14, 2017 /:03 PM To: Jolicoeur, John; Lewis. Robert; Rasouli, Houman Cc: Rusco, Franklin; Benedict. Hilary M
Subject:
[External .. Senderj Draft GAO Report for NRC Comment (100910)
Attachments: GAO 100910 *Draft for Agency Comment.pdf February 14, 2017 Krisline L. Svinicki Chairman 1.S. Nuclear Regulatory Commission
Dear Chairman Svinicki:
(b)(5),(b)(6)
Sincerely yours, Frank Rusco Director, Natural Resources and Environment Attachment
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UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, 0 C :?055S Ol'Xl1 March 17. 2017 Mr. Frank Rusco, Director Natural Resources and Environment U.S. Government Accountability Office 441 G Street. NW Washington. DC 20226
Dear Mr. Rusco:
On beha~ of the U.S. Nuclear Regulatory CommisS1on (NRC), I am responding to your e-mail dated February 14, 2017, which provided the NRC an opponun1ty to review and comment on the U.S Government Accountabilrty Office (GAO) draft report GA0.17-344, "Nuclear Regulatory Commission Efforts Intended to Improve Procedures for Requesting Additional Information for Licensing Actions are Underway.~
The NRC staff appreciates the opportunity to review the draft report and we appreciate the GAO staffs professionalism and many constructive interactions during this GAO engagement Overall, the NRC agrees with the draft report and its findings. The draft report accurately describes the request for addltional infonmation process and the efforts the NRC has ta*en to make this process more efficient and effective. In the enclosure to this letter, we have pro\lided some minor comments and clarifications for your consideration.
Thank you again for the opportunity to provide comments on the GAO report Please feel free to contact Mr. John Jolicoeur at (301) 415~1642 or John.Joliooeur@nrc.gov if you have questions or need additional information.
s~~. ~~
Victor M. Mccree /
Executive Director for Operations
Enclosure:
NRC Comments on Draft Report GA0-17-344
U.S. Nuclear Regulatory Commission Comments on the U.S. Government Aecountablllty Office Draft Report GAQ.17-344, "Nuclear Regulatory Commission: EllorlS Intended to Improve Procedures for Requesting Additional Information for Licensing Actions are Underway" The U.S. Nuclear Regulatory Commission's (NRC's) comments on the draft report tor the U.S. Government Accountability Office (GAO) consideration, are as follows:
- 1. The report references Office of Nuclear Reactor Regulation {NRA) Office Instruction LIC-101, Revision 4, dated May 25, 2012, in a number of places. The NRC understands that this was the revision of LIC-101 that GAO reviewed during the audit. Page 7 of the report states, "An NRC official told us that management Incorporated changes contained in the April 2016 expectations memorandum into a new edition-version five- of LIC-101 in January 2017." This comment is to confirm that LIC-101, Revision 5, was issued on January 9, 2017, and does incorporate changes regarding the request for additional information (RAI) process from the expectations memorandum. LIC~101, Revision 5, is publicly available tn the NRC's AgencyYJide Documents Access and Management System (ADAMS) at Accession No. ML 161J§lA451.
- 2. The first sentence in the second paragraph on page 1 of the report currently reads as follows: NRC offices that issue RAls do not track the number of RAls that they have issued and do not have a comprehensive accounting for the last 5 years, but information from NRC officials and licensees GAO interviewed suggests that certain activities and circumstances often elicit RAls." Since the Office of New Reactors' tracking system (i.e., eRAI) has the capability to track the numbers of RAls, it is suggested that the sentence be revised to read as follows: "NRG offices that issue RAls do not specifically track the number of RAIS that they have issued and do not have a comprehensive accounting for the last 5 years, although un0 vtl1cP Uui:'~ t*lave \:i svstern capable of tracking the number of RAIS (as discussed later 1n the repori) 81dt iRfem:iatlaR lnformat1or from NRC officials and licensees GAO interviewed suggests that certain activities and circumstances often elicit RA ls.~
- 3. Figure 1 on page 5 of the report contains a graphic on the RAI process. The first step, "NRC and licensee communicate prewapplicatlon,~ is shown with a green background indicating it is an "additional step." As correctly noted on page 8 of the report, not all applications Include this step. As such, GAO should consider changing the background color to gray to indicate this is an "optional step." This figure is also shown on page 1 of the report.
- 4. The last sentence in the first paragraph on page- 6 currently reads as follows; "If it is found during acceptance review that the application does not contain sufficient information, the application may be returned to the applicant or denied." It is suggested that this sentence be revised to read as follows: "If it is found during acceptance review that the application does not contain sufficient information, the application may rema:n tendered while 99-
~G the applicant subrn1ts supple:nen12I in!ormation. or rnay be denied."
- 5. The second paragraph on page 6 discusses the steps associated with the RAI process.
This paragraph states, in part, that, "After management review, NRC issues RAls to licensees." The NRC staff notes that, prior to formally issuing RAls to the licensee, the staff will often send the RAls to the licensee in draft form, and a clarification call is held with the licensee to make sure the information needs are understood and to make sure that the RAI language is clear. In cases where a draft AAI is issued, the NRC would issue the formal RAI after the call. The NRG requests that the report be revised to add discussion regarding draft RAls and clarification calls.
Enclosure
- 2 *
- 6. The second to last sentence in the first paragraph on page B currently reads as follows:
"This memorandum accompanied an updated RAI job aid to replace the earlier version, as well as two other job aids focused on carrying out audits and confirmatory analysis. in which staff conduct an independent assessment of a licensee's calculation or research." It is suggested that the words "or research" be deleted from this sentence.
- 7. The third sentence in the second full paragraph on page 9 currently reads as follows: "For example, officials from the Office of New Reactors told us there are plans to reexamine the process to develop and issue AA ls throughout upcoming license reviews." It is suggested that this sentence be revised to read as follows: "For example, officials from the Office of New Reactors told us there are plans to reexaFRiRe assess the revised process ta tor developing and mwe issuing RAls throughout upcoming license reviews to lc,ok for ndd1tional opportun1t1es for 1mproverr:ent."
- a. The second to last sentence in the second paragraph on page 1o currently reads as follows:
The Office of New Reactors' guidance for RAls states that applicants wlll be encouraged to respond to questions once they have prepared their responses, rather than respond to packages of multiple questions on a set date," It is suggested that this sentence be revised to read as follows: "The Office of New Reactors' guidance for RAIS expects 1t1at e.ppl:cants responses are provided within 30 days ar:d also states that applicants will be encouraged to respond to questions once they have prepared their responses, rather than respond to packages of multiple questions on a set date."
- 9. The first sentence in the last paragraph on page 11 currently reads as follows: ~NRC offices that issue RAls do not track the number of RAIS that they Issue, and there is no legal requirement for the agency to track the number of RAls." Since the Office of New Reactors' tracking system (i.e., eRAI) has tile capability to track the numbers of RAIS, It is suggested that this sentence be revised to read as follows: useveral of the NRC offices that issue RAls do not track the number of RAIS that they Issue, and there is no legal requirement for the agency to track the number of RAls."
- 10. The first sentence in the first paragraph on page 12 currently reads as follows: "Officials also said the number of RAls per year depends on how many license applications the office receives; it can take 5 years or more to review a combined license application and oHtcia!s said they typically review 20 to 25 license amendments per year. It is suggested that this sentence be revised to read as follows: "Officials also said the number of RAls per year depends on how many license applications the office recelves: it can take 5 years or more to review and n1ake a decision on a combined license application and. in co11tras1, for ptantt~
that are licensed. efficials saiet tl<ley the NRG typica!ty reviem 20 to 25 license amendments per year."
- 11. The last two sentences in the second paragraph on page 12 currently read as follows:
"However, according to an official, the office does not use eRAI to track the number of AAls.
Instead, the Office of New Reactors uses eRAI to monitor RAls associated with applications that can be up to 12,000 pages long, Identify related questions, and track RAls by regulatoiy issue area." It is suggested that this text be revised to read as follows: "However, according to an official, the office does not just use eRAI to track the number of RAls. IAstea~. the Office ot New Reactors also uses eRAI to monitor RAls associated with applications that can be up to 12,000 pages long, identify related questions, and track RAIS by regulatory issue area."
- 12. The last paragraph on page 12 discusses the "Reactor Replacement Program System."
The name of the system should be shown as the "Replacement Reactor Program System "
UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, 0.C. 20S>>-0001 January 3. 2017 Mr. David C Trimble. Director Natural Resource and Environment U S Government Accountability Office 441 G Street, NW Washington, JC 20548 Dear Mr Trimble On behalf of the U.S Nuclear Regulatory Commission (NRC), I am writing in response to the U.S Government Accountability Office (GAO) Report GA0-16-713. ,;Nuclear MateriaL Agencies Have Sound Procedures for Managing E><:changes but Could Improve Inventory," dated Octot>er 24, 2016 The NRC agrees with the findings of the report Jn addition, the NRC would like to comment on the two recommendations from the report
- Recommendation 1 Clanly in guidance the cond1t1ons under which fac1lihes may carry negattve obhgat1on balances.
Response: The NRC staff intends to review and revise NUREG/8R~0006. "Instructions for Completing Nuclear Material Transaction Reports (OOEiNRC Forms 741 and 740Ml" and NUREG/BR*0007. "ln'ltructions for the Preparation and Distribution of Material Status Reports (OOEINRC Forms 742 and 742CJ" NRC 'nformed licensees ol this plan at lhe 2016 Annual Nuclear Material Management and SafegLards System (NMMSS) Users Training Meeting in May 201. Since that meeting, the NRC staff has worked with the u_s_ Department of Energy (OOE//National Nuclear Security Administration and NMMSS program staff to commence the review of ttiese dacwmen1s_ The revisions will include clar1f1cations to the guidance perta1n1ng to obligation balances and reporting. including negative obhgat1on balances The NRG staff ant1c1pates having the revised guidance available 1n 2017
- Recommendation 2: Develop an early-warning monitoring capab1l1ty iri NMMSS to aler1 se'lior DOE otf1aa1s when the inventory of unobl1gated low,enrtched uranium 1s particularly !ow Response: Because thi$ recommendation concerns matter$ only affecting DOE, the NRC has no response to this recommendation JI you have any queslions regarding the NRC's response, please contact Mr. John Jolicoeur by p'lone at 301 -415-1642 or via e~ma11 at Johf"l~0!1coe1,Jr@or"c._go_y.
cc: Nathan Anderson GAO
Identical letter sent to:
Mr David C, Trimble The Honorable Shelley Moore Capito Director, Natural Resources and Ct1airrnan, Subcornrn1ttee on Clean Air Environment and Nuclear Safety U s. Government Accountab1!1ty Oft1ce Committee on Environment and Public 441 G Street, N,VV, Washington, DC 20546 Work.s cc Nathan Anderson GAO United States Senate Washington. DC 20510 The Honorable Jason Chaffetz cc. Senator Thomas R. Carper Chairman. Committee on Oversight and Government Reform The Honorable Fred Upton United States House of Representatives Chairman, Committee on Energy Washington. DC 20515 and Commerce cc* Representative Elijah Cummings United S1ates House of Representatives Washington, DC 20515 The Honorable Ron Johnson cc Representative frank Pallone. Jr Cna1rman. Comm1nee on Homeland Security and Governmental Affairs The ~~onorable Pete Olson United States Senale Vice Chairman. Subcommittee on Energy Washington. DC 20510 and Power cc Senator rhoma~ R, Carper Committee en Energy arid Con1rrier'.'tt United States House of Repr*esentatives The Honorable James M. lnhofe Washington, DC 20515 Chairman. Committee on Environment cc: Representative Bobby L. Rush and Public Worts United States Senate The Honorable John Shimkus Washington, DC 20510 Chairman, Subcommittee on Environment cc Senator Barbara 6oxer and the Economv Committee on E_nergy and Commer-ce United States House of Representatives Washington. DC 20515 cc* Representative Paul Tonko
UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON.D.C, 21)55S.0G01 January 6, 2017 Mr. David C. Trimble, Director Natural Resources and Environn1ent U.S. Gover11n1ent Accountcibility Office 441 G Street, NW Washington, DC 20548 Dear Mr. Trimble Thank you for providing the U.S. Nuclear Regulatory Commission (NRC) with the opportunlty to review and comment on the tJ.S. Government Accountability Office's (GAO) draft report GA0~17*174, "Nuclear Waste: Benefils and Costs Should Be Better Understood Before DOE Commrts to a Separate Repository for Defense Waste."
The report recommends that the U.S. Department of Energy comprehensively assess benefits, costs, and schedule for its proposed options, and address k:ey prerequisites needed for the site
&election process before engaging potential local communities and embarking on site seleciion activities. The report discusses NRC's role in regulating potential disposal facilities. The NRC has reviewed the report and has no significant comments for GAO's consideration.
If you have any questions regarding the NRC'$ response, please contact Mr. John Jolicoeur by phone al (301) 415-1642 or by e-mail at John.Johcoeur@nrc.gov.
s~>J. ~~
Victor M. Mccree Executive Director for Operations 1
Jolicoeur, John From: Sanchez, Roben EI (b)(6)
Sent: Tuesday, Janl1ary 31. 2017 4:25 PM To: Sanchez, Robert E Cc: Anderson, Nrithan J; Carroll. Lee H: Ion, Cristian V
Subject:
[External_SenderJ Release of GA0-17-174 DO£ Defense Waste Good afternoon, GAO today publicly issued GAO*l 7-174, Nuclear Waste: Benefits and Costs Should Be Better Understood Before DOE Commits to a Separate Repository for Defense Waste, January 31, 2017.
I am sending you this e-mail because you provided some input into the development of this report I want to thank you for the input that you provided. Input from yow-and others-are essential for oLJt data gathering and analysis and r appreciate the assistance (If a great many people whose views are reflected in myriad ways in the report.
I am also p.-ovidlrig you a link to the report- There were no restrictions on its issuance or dissemination. Please pass this link on to others you think might be interested in the report. Also, please don't hesitate to contact me if you have questions, comments, or concerns about the report.
Thank you.
Robert Nuclear Waste:
Benefits and Costs Should Be Better Understood Befo(e DOE Commits to a Separate Repository for Defense Waste GA0*17*174:Published: Jan 31, 2017, Publicly Released: Jan 31, 2017.
Ro Def SappbM I (b )(6) ~G~y~ment Aox:ountability Office Phon (b)(6) II Fa1 (6)(6) I 1144 Speer 81,a.I (b) 6 '"'"*CO 80204 httpJtwww.gao.aov I Connect with GAO: Facebook, Twitter. Fllckr, YouTybe, ~-I SJbscribe to our~ or email updates
UNITEO STATES NUCLEAR REGULATORY COMMISSION WASHlfllGTON, O,C. 2056§-0Cltl'I February 14, 2017 Mr. Frank Rusco Director, Natural Resources and Environment U.S. Government Accountability Office 441 G Street, NW Washington, DC 20226
Dear Mr. Rusco:
I am responding to your letter of January 11, 2017, which provided the U.S. Nuclear Regulatory Commission (NRC) an opportunity to review and comment on the U.S. Government Accountability Office (GAO) draft reporl GA0~17*294, "Nuclear Regulatory Commission:
Changes Planned to Budget Structure and Justification.~
The NRG staff appreciates the opportunity to review the draft, and we appreciate the GAO staff's professionalism and many constructive interactions during this GAO engagement.
Overall, the NRC agrees with the draft report and its findings. Below we offer comments an two of the rePOrts key findings, and 1n the enclosure to this letter, we have provided several technical comments and corrections tor your consideration.
The NAC agrees with the GAO findings that some NRC budget structure ctianges have created confusion amongst users of N RC's budget request. The NRG plans to continue its efforts that began In fiscal year 2016 to improve the transparency of budget information for external stakeholders. The NRC recognizes the need to continue to communicate these efforts to minimize any confusion associaled with this change.
The NAC also agrees with the GAO finding that the NRC's budget request did not align with its budget execution or reflect the agency's use of funds in prior years. NRC's annual formulation and execution of its budget is founded in the ability to accomplish the NRC's rnission and accommodate projected workroads. Consistent with the GAO finding, the NRC plans to begin to include the prior year obligation data Jn subsequent budgets. As stated in the report, there is no requirement for reporting prior year use of funds in an agen(,y's budget request.
Thank you again for the opportunity to provide comments on the GAO report, Please feel free to contact Mr. John Jolicoeur at (301) 415-1642 or John.Jolicgeyr@nrc,gov if you have questions er need additional information.
s~~* r;. >}~
Vic~cC<ee Execulive Director l
for Operations
Enclosure:
NRC comments on draft report GA0*17*294
The U.S. Nuclear Regulatory Commission Comments on the U.S. Government Accountability Office Draft Report GA0-17..294, "Nuclear Regulatory Commission:
Changes Planned to Budget Structure and Justification"
'The purpose of this enclosure is to provide technical comments and corrections to address specific statements included in the draft report. In the issues identified below, the Government Accountability Office (GAO) sta1ernent and the page and line nurnber are specified, followed by the NRC response. We believe that the report would benefit from the consideration of the NRC responses and acknowledgment of any factual errors.
At the outset, the title of the report, ~changes Planned to Budget Structure and Justification, is inconsistent with the cements of the report. whicil provides the details of historical budget structure changes that have already been incorporated into the current budget structure.
GAO statement Page 1, lines 3 and 4. "... increased by about59 percent and about 27 percent .. ,"
NRC response:
These percentages stated for fiscal year (FY) 2005 to FY 2010 cannot be validated and were not included in the prior draft Statement of Fac:l:s provided for NRC comment.
GAO statement:
Page 1, footnote 1, "In 2015 constant dollars, NRC's fiscal year 2005 budget authority was about $804.5 million and its fiscal year 2010 budget authority was about $1,2 billion.n NRC response:
The constant dollar amounts Include no citation for the source, cannot be validaled, and were not included in the prior draft Statement of Facts provided for NRC comment.
GAO statement:
Page 5, line 8, under NRG Budget Structure: ~111 addition, there is a business line called Corporate Support for agency~wide support activities, which include acquisitions, administrative services, financial management, human resource management. 1nfonnation management, information technology, international activHies, outreach, policy support, and associated training and travel" (emphasis added).
NRG response*
Resources for international activities (IA) are included under Corporate Support in the description of the budget structure for FY 2017. Although IA was a corporate product line before the realignment, it is no longer in the realigned FY 2017 budget structure, so to be accurate "internaVonal activities' should be deleted from the sentence.
GAO statement:
Page 6, line under Figure*,, "The fiscal year 2017 budget request for NRC was $970 million (see fig. 2)."
Enclosure
NBC response:
This stated budget amount does not include resources for the Office of the Inspector General (OIG), whereas other stated budget amounts on pages 1, 2. and 22 do include OIG resources We recommend staling resource amounts consistently throughout the report, or noting when the amounts have not been stated consistently.
GAO statement Pag~ 10, line 3 to line 9 NRC resoonse*
To provide consistency with figure 4, and the entirety of the internal budget process, the rote of the Chairman and Commission in approving the budget proposal should be referenced.
GAO statement Page 11, Figure 4 the September 2015 line states ~The Chief Financial Off'cer submitted budget to Office of Management and Budget (OMB)."
NRC response*
Under the NRC in1crnal procedures, lhe Chairman submits the budget to OMS This is stated on the bottom of page 12, which says the Chairman submits the budget to OMS. Figure 4 should be made consistent with the statement on page 12 GAO statement Page 19, line 4, under Mission Supporl activities bullet: . as with salaries and benefits. ttlese items are reported as separate product lines under each business line in FAIMIS for budget."
NRG response The opening statements in this bullet correcUy identify supervisory costs as mission :ndirect costs that were allocated to the business lines along with travel and training" However, the sentence included above is confusing based on two points, since supervisory resources are (1) a Product under the Support Staff Product Lrne (PL), not a separate PL like Travel a')d Training; and (2) supervisory resources are all full*time equivalent (FT!.::), so execution of these resources is not tracked in FAIMlS - FTE actuals are reported in the Human Resources Management System (carrier access codes).
GAO statement:
Page 22, line 17. reciuested overall budgel for fiscal yeat 2017 was $952 m11iron:
NRG resoons_~
The stated amount is not the requested amount. but is the re-basel1ned budget amount as the next sentence on page 23 e)(plains.
- 2*
Jolicoeur, John From: Cain, Keya ,1 (b)(6) I Sent: Wednesday, January ii. 2017 5:44 PM To: Jolicoeur. John; Lev.is, Robert; Pham, Bo Cc: Rusco, Franklin; Ber1edict, Hilary M
Subject:
[Externoil_Sender] Draft GAO Report for NRC Comm1;1nt (100725)
Attachments: GA0,17,294 DRAFT REPORT FOR AGENCY COMMENT pdf January 11, 2017 Stephen G Burns Chairman U_S Nuclear Regulatory Commission Dear ML Chairman*
(b)(5),(b)(6)
Sincerely yours, Frank Rusco Director, Natural Resources and Environment Attachment
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Jolicoeur, John From; GAO Reportsl (b)(6)
Sent: Wednesda March 08 20171:19 PM To: (b)(6)
Cc: (b)(6)
Subject:
xterna _ en er ssuance of GA0-17-294, Nuclear Regulatory Commission: Changes Planned to Budget Structure and Justification, 100725 Ci AO \\'ill release lhc folloVll-ing product to the public today. Until then. use the secure link below to access the product.
GA0-17-294 Nuclear Regulatory Commission: Changes Planned to Budget Structure and Justification httn://www.gao.gov/prerelease/wccc Frank Rusco Director, Government Accountability Office: Natural Resources and Environment After public release later today, the following link should be used to obtain the product.
http:/lv.ww.gao.govlproducts/GA0-17-294
Jolicoeur, John From: GAO Reports! (b)(6)
Sent: Thursday, March 09. 2011 11:39 AM To: ,.J;JJll!fil&l.tl..lil!lllll!l:"-lo!llJ:i.oeJJL..l<:!l:"'-\<eeva_scrivner@dot1-o"-o"'Y-----------~
Cc:: \---..,.=.,,.(~b~)(6~)_,--~0akleyS@gao.govj.___ _ _ _(b_)_(6_)_ _ __,
b) 6
Subject:
xternal_ ender] Release of formerly restricted product: GA0-17-$8, Radioactive Sources.
Opportunities Exist for Federal Agen<ies to Strengthen Transµortation Security, 361633 UAO will release the following prc\*iously restricted product to the public today. Llntil then, use the secure link below to access the product.
GA0-17-58 Radioactive Sources: Opportunities 1-:~ist for Federal Agencies to Strengthen Transportation Security http: I/w'n", gao. gov! prcreleasc/mBK<;
'rhis report contains recommendations to your agency. As you kno\.\*, 31 U.S.C. 720 requires the head of a federal agency t(l submit a written statement of the actions taken on our recommendations to the Senate ('ommittcc on JIQmchu1d Security and Clovcnm1ental Affairs and l() lhc !louse ('01nmittcc on O\'crsight and Government Rt::fr1rm not later than 60 calendar days from the date of the n::port and to the House and Scnati;: Comrnlttecs on Appropriations \Vilh the agency's first rcqucsl for appropriations made 1norc than 60 calendar days after that date. Since the congressional requester has a:-;kcd that the distnbu1ion of the n:port be restricted. as provided by UAO's ('ongressional Protocols, the 60-day period begins on the date the report is released and e-mailed to you. l~ccause agency personnel serve cl~ the primary source of information on the status of recommendations. (iAO requests that you also provide (JA() with a copy of your agency's statement of action to serve as prcliloarv jnfoDJJa1jon send your statement of action tn FFFH_i\N, DANJEJ. (b)(6) 01 theor tostatus me at of open recommcnda.tions, Please (oaklcys([J)~.ao.gov).
We appreciate the assistance and cooperation of your staff during our review.
Shelby S. Oakley Director, Government Accountability Office: Natural Resources and Envirodtncnt After public release later today, the following link should be used to obtain the product.
http://V.'\V\>-,1.gao.gov/product.s/GAO- l 7-58
UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, (>.C. 20$55-0f!Oi January 13, 2017 Shelby S. Oakley, Aeling Director Natural Resources and Environment U S. Govemment Accountability Office Room 2T23 441 G Street, N W.
Washington, DC 20548
Dear Mr. Oakley:
Thank you for the opportunity to review and comment on the draft of the U S. Government Accountability Office (GAO) Report~ Radioactive Sources: Opportunities Exist for Federal Agencies to Strengthen Transportation Security (GAQ.-17-58). The U.S. Nuclear Regulatory Commission (NRC) staff is in general agreement with the overall content of the draft audit report However. the NRC staff disagrees with the first recommendation as well as the wording of a related passage in the body of the draft report Otherwise. the NRC staff agrees with the second recommendation and is not opposed to the third recommendation NRC's specific concerns are summarized below and detailed in the enclosed comments.
The NRC staff disagrees wllh the draft raPort's first recommendalion that collecting additional information in the NRC's National Source Tracking System (NSTS) on the number of shipments and mode of transport would improve the awareness of how risk-significant radioactive sources are transported within 1he Unfted States and better determine whether the NRC is meeting its goal of providing reasonable assurance for preventing the theft or diversion of tnese dangerous materials. Following the terrorist attacks of September 11, 2001, the NRC took steps to strengthen the security of risk<<significant radioactive materials, including addressing the Potential vulnerabilities associated with 1he use and transport of these materials. The NRC implemented a number of measures in coordination with Federal and State agencies to ensure adequate protection of radioactive sources. The NSTS is onty one of those measures. NSTS provides an accounting function for Category 1 and 2 sources following their manufacture, transfer, receipt, disassembly, or disposal The NSTS, along with the rest of the NRC and the U.S. Department of Transportation (DOT) regulatory fr(lmework, provtde reasonable assuran.c;e of the safety and security of radioactive material in transit. Therefore, the NRC staff does not believe that adopting this recommendation would result in improvements in $fdety or secu1ity.
The enclosed NRC comments provide additional details.
On a related note. the NRG staff disagrees with the following $tatement in the draft report on pages 34 and 35:
Not having information on all shipments of risk*s19nificant sources or the mode by
'Nhich they were transported could, in certain situations, complicate NRC's efforts to secure risk-significant sources and thereby inhibit the agency's ability to meet its objective of providing reasonable assurance of preventing their theft or diversion.
S. Oakley 2 NRC licensees pos5essing an aggregated Category 1 or Category 2 quantity of rad1oacti11e material are required to comply with NRC's Title 10 of the Code of Federal Regulatiofls (10 CFR) Part 37. The NRC "erifies licensee compliance with requirements through its oversight program. This enables the NRC to nieet Its objective of providing reasonable assurance of safety and security ot radioactive materials consistent with its mission. The NRC believes ttiat the specific situation cited by GAO in support of this statement is not an issue thal is solved by collecting pos*~shipment information, but is instead best addressed by appropriate coordination between the NRC and DOT, as indicated by GAO's second recommendation, with which we agree. Therefore, the NRC suggests that GAO consider deleting or editing this statement. Additional details are providerj in the encJosure.
Ae rnenhoned above. the NRC agrees with the report's second recommendation that the NRC shou~d, working 1n consultation with the U.S. Department of Homeland Security and wtth the DOT, identify an approach to verify that motor carriers are meeting Part 37 security requirements applicable lo transportation.
Recognizing tt1at highway route controlled quantities (Hf'<CQ) threshOlds are within DOT's 1unsdiction, NRC is willing to explore with DOT staff the draft report's third recommendation that the NRC should consider examining the potential costs and security benefit& a6sociated witll lowering tile HRCQ threshold sucll that more or all Category 1 shipments are classified as HRCQ shipments If you have any questions regarding the NRC's response, please contact John R. Jolicoeur by phone at 30141~1642 or by email at John,Jolicoeur@nrc.gov, Sincerely, Victo , McCree Exec ive Director for Operations
Enclosure:
As stated
U.S. Nuclear Regulatory Commission Comment& on (GA0~17..58), "Radioactive Sources: Opportunities Exist for Federal Agencies to Strengthett TranspOrtation Security" The U.S. Nuclear Regulatory Commission (NRC} staff's comments on the draft report, for the GovemmentAccountability Office's (GAO's) consideration, are ss follows:
A. Significant Issues:
The draft report included three recommendations. The NRC staff disagrees with the first recommendation, agrees with the second recommendation, and is not opposed to the third recommendation Because the NRC staff has no significant issues with !he second or third recommendation, they am not discussed 1n this seciion.
This section provides comments on the first recommendation, which stated; 1 To improve the awareness of how dsk~signific.ant activa sources are transported within ths United States and to better determine whether it is meeting irs goal of providing reasonable assurance for preventing the the ff or diversion of these dangerous maten'als, we recommend Jhat the Chainnan of the Nuclear Regulatory Commission take actions to collect informatfon from licensees on the number of shipments and mode of transport for such sources for inclusion in NRC's [National Source Tracking System]
NSTS.
Based on their a~sessment last year of the effectiveness of Title 10 of the Code of Federal Rogulations (10 CFR) Part 37, the NRC staff is oon~dent toat tne secunty requirement* in tois regulation provide reasonable assurance of adequa1e protection of this material Therefore, we disagree with this recommendation. Following the terrorist attacks of September 11, 2001, the NRC took steps to strengthen the security of risk*signtficant radioactive materials, including addressing the potential vulnerabilities associated wtth the use and transport of these materials.
The NRC implemented a number of measures in coord1nat1on with Federal and State agencies to ensure adequate protection of radioactive source5. The NST S 1s just one of those measures NSTS provides an accounting tunccion 1or Category 1 and 2 sources W1tl1 respect to their manufacture, transfer, receipt, disassembly, or d1spo$al. To provide background tor the basi-s of the NRC staff's disagreement, the following framework for transactions and shipments involving Category 1 and 2 sources is provided
- Accounting for the number of shipments and mode of transport (road, rail, etc.) for Category 1 and 2 source transfen; 1n NSTS would not provide any information that could be used to prevent the theft or diversion of Category 1 and 2 materials.
"' Licensees are required to report some source shipment information in NSTS for Category 1 and 2 source transfers, including the shipping date and estimated date of arrival. Far waste shipments, the waste manifest number and the container identification must be recorded in NSTS. The reporting o1 this information is all done post-shipment Enclosure
" Due to the sensitivi1y of the information, NSTS is not the appropriate system to track the mode of transport and shipment information for transfers of Category 1 and 2 Sot.JrCe5, nor was it designed to track such information. If this infonnation were to be tracked in NSTS, a new security c~tegorizatian evaluation would need to be performed, and it is 1ikely that the results would necessitate designation of a higher security categorization for the system This would result in challenges in a number of areas, such as measures needed to provide licensees with access to the system.
- The NRC established the requi(ements for the NSTS through a notice and comment rulemaking and in close coordination with other Feoeral and State agencies 1nvo1vea with lhe safety and security of radiation sources and transportation ot hazardous materials. The rulemaking process considered a broad range of comments and suggestions (71 FR 65686: November 8, 2006). Imposing a requirement for licensees to provide information in the NSTS on the mode of transport and shipment 1nforrnation for each source would require rulemaking. Such a rule is not likely to result 1n significant improvements in safety or security that would form a basis to justify a rulemaking and the addilional reporting and recordkeepin9 burden.
- As required by 10 CFR20.2207, licensees must report transactions involving Category 1 and 2 sources no later than the close o1 business the day after a source transaction occurs_ Transactions include the manufacture, transfer, receipt, diE:assembly, or disposal of sources tn accordance with 10 CFR 37 .77, licensees must provide adVance notification o1 shipments containing a Category 1 Quantity of material to the NRG (and the governor of any State through which the transport travels). This report must include information related to the material being transported, shipper and receiver, and anticipated departure and arrival tirnes. The report must also provide a point of contact for obtaining current information on the shipment.
- The "RAMQC" database is maintained by NRC to track advance notifications of Category 1 shipments.
- The RAMQC database is not accessible by licensees or other outside entities.
NRC pro\lfdes reports from the RAMQC database to other Federal agencies, as appropriate (e.g , Customs and Border Protection) to assist them in verifying the secure, legitimate transport of hazardous materials in the United States.
- NRC has Memorandums ot Understanding (MOUs) with the Department of Horneland Security and lhe Department of Transportation to ensure appropriate regulatory oversight of radioactive material shipments.
- The NRG currently requires licensees to comply with sp~cific aecurity measur*s under 10 CFR 37. 79 for shipments by road or rail, For example:
- For Category 1 shipments by road: Licensees O( carriers must use movement control center:& to maintain position infonnat1on from a remote location, establish redundant communications that allow the transport to <::ontac;t the escort vehicle
(when used). and movement control center at all times; use telemetric positioriing systems to continuously monitor shipments: provide a second individual to accompany the dri11er for ~long drive time* shipments; and have proC',.edure$ for normal and contingency situations (including responding to actual or attempted theft or diversion of a shipment}.
- For Category 2 shipments by road: Lice11sees must maintain constant control and/or surveillance during transit and ha\/e the capability for immediate communication to summon appropriate response or assistance. Alternately, licensees may use carriers with established package tracking systems that maintain constant control/surveillance during transit and have the capability to summon local law enforcement agencies The NRC staff also suggests that using the term "radioactive sources~ instead of "active sources& in the first sentence of this recommendation may make tMe intent of the statement more clear In addition, NRC staff disagrees with the following statement included in the draft report on pages 34 and 35:
Not having information on all Shipm~nts of risk-significant sources or the mode by which they were transported could, in certain situations, complicate NRC's efforts to secure risk-significant sources and thereby inhibit tne agency's ability to meet its objective of providing reesonabie assurance of preventing their theft or diversion.
NRC licensees possessing an aggregated Category 1 or Category 2 quantity of radioactive material are required to compty with Part 37. The NRC verifies licensee compliance wi1h requirements through ils oversight program. This enables the NRC to meet its objective of providing reasonable assurance of safety and security of radioactive materials consistent with its mission. The NRC staff believes that the specific situation cited by GAO in $upport of this statement is not an issue that is solved by collecting post~shipment information, but is instead best addressed by erisuring compliance with existing regulations through appropriate coordination between the NRC and DOT. Therefore, the NRC suggests that GAO consider deleting or editing this statement The NRC staff is confident that the $ecurity requirements in 1O CPR Part 37 are adequate to protect against then, sabotage, or divel'Sion. We do not belle'ile that adopting this recommendation would result in significant improvements in safety and security. This conclusion is supported by the NRC staff's recent assessment, which concluded that the regulation is effective in achieving its objective of "providing reasonable assurance of the security of Category 1 or 2 quantities Of fadioactive mHteriaJ by protecting these metteri~ls from theft or diversion. M B. Minor comments;
- 1. Inside cover page, gray left h~nd column, revise or provide clarifying language to the final sentence/statement in the sentence above 'What GAO Recornrnends. ~
Comment: The current statement ends with*. and two manufaoturera identified a~
the largest.*
Explanation: For clarity and consistency, consider adding language similar to that found on page 6 related to Mlargest manufacturers.~
- 2. Inside cover page, figure includes the text "Pipelines and Hazardous Materials Safety Adrr1inistration."
Comment: The correct name i$ "Pipeli11e and Hazardous Materials Safety Administration.*
- 3. Cover page and page 4, Figure 1 provides the regulatory authortty f'or transit of radioacti\1e sources Comment: The figure should be clarified, either as a footnote or by expanding the NRC regulatory authority banner, to acknowledge that there are NRC security requirements/
regulations (10 CFR Part 37, Subpart 0) for the in-transit portion of ground transportation.
Explanation: 10 CFR Part 37. Subpart D, requires securrty tor the in-transit portion of movement by both road and rail. The NRC also regulates transportation by private carriers (e.g., licensees transporting a source in their own vehicle) 4 Page 2, footnote 1, ;:ind identically stated an page 8, footnote 14:
Comment: The NRC recommends the following changes- A radionuclide is sn unstable, radiation-emitting nuclide. A nuclide is parlicutar atomic form of an element distingLJished from other nuclides by its number af neutrons and protons. as well as~
- u)...am9~1=1f 9(9q9rg)' it GQf1faiq6 by It§ 8f!ttOlV§fltH Exolanation: Nuclides are correctly defined using energy state rather than amount of energy 5 Page 3 states
NRC data indicates that from January 2010 through September 2015, there were 14 incidents involving 23 r1sk.-si9nificant sources that were reported lost or stolen during transport in the Uni1e<i States. Of these, 22 sources were found within the same day, and 1 was found 5 days after it was declared missing."
Comment: Consider (1) clarifying tex1 to identify that these reports include lost missing, or S1olen sources and (2) adding a foo1note 10 elartfy that "lost or missing* sources includes sources in shipment that are not received by their expected arri\lal time.
Explanation: The reporting criteria for radioactive material require reports to be made when a package fails to arrive at the designated time identified by the shipper. As stated
- 4*
in NUREG-2155, ~Implementation Guidance tor 10 CFR Part 37. 'Physical Protection of Category 1 and Category 2 Quantities of Radioactive Material'": Lost or missing licensed material means licensed material whose location is unknown. It includes material that has been shipped b/Jt has not reached its destination and whose location cannot be readlfy traced in the transportation system. The clarification is needed to provide context with respeci to the transport events noted in the quoted text because without the clarification, the reader may be left with the impression that these sources were lost rather than being in the shipping company's possession and delayed in transit Additionally, these shipping incidents represent a relatively small amount of the approximately 36,000 transfers of Category 1 and Category 2 sources in the United States each year 6 Page 4 states:
"In 2006, an NRC~led task force on radioactive source security evaluated Federal transport programs for radioactive materials, including risk-significant sources, and concluded that safety regulations provided a *1evel of protection" from the security risks associated with the transport of these materials!'
Cgmment: Recommend also identifying supporting language from the 2006 Task Force report, which states that "Ttie safety regulations are widely implemented. and the level of compliance is high."
- 7. Page 6, the sentence after footnote 12 states;
~ ... representatives with responsibility of the security of radioactive sources ..
Comment: Recommend changing "responsibility of the security" to "responsibility for the security.'
- s. Page 9, Table 1 provides thresholds for classifying quantities of radionuclides as Category 1 and 2.
Comment: Table 1 is from 10 CFR ~art 37. Recommend including the NSTS table in Part 20 Appendix E, which contains different nuclides Explanation: Based on the context of pages 8~9 of the draft report, Table 1 should contain the NSTS table in Part 20 Appendi)( E.
- 9. Page 11, footnote 22 includes reference to 49 CFR 173.411.
Comment: Within the stated footnote 22, remove ~173.411 ", as this reference is for lndustnal pac;kages (i.e., IP-1. IP-2, and JP-3).
Explariation: 49 CFR 173.411, 'Industrial packages~, are unrelated to Type A packages. The other references in this footnote adequately support the discussiOt'l related to Type A packages.
10 Page 12 states Ihat GAO states "Th9re is no lfmfl on the transport index for a vel1icle used 9xcJusively fa transport packages of radioactive material."
Comment: This statement rnay be misle~d1n9 consider p1oviding clarity Explanation: While technically correct, the transport index is a rr1easure for non-exclusive use transpon. Exclusive use vehicles have radiation limits established for the safe transport of packages. The way the language currently reads, it implies that the public may be exposed to excessive amounts of radiation.
- 11. Page 12, the bullet related to Highway Route Controlled Quantity (HRCQ) includes a statement. MShipments of radtoacth1e material that meet er exceed this threshold are defined as HRCQ:
Comment: In 49 CFR 173.403, the definition of HRCQ indicates 'A quantity within a single package which exceeds-*** Recommend revising this statement to reflect the Department of Transportation (DOT) definition.
Explanation: The HRCQ definition does not indicate "equals or exceeds." Thus, revising this statement to read "Shipments of radioactive material that exceed this threshold are defined as l*iRCQ" will make the statement accurate to reflect the current regulations.
12 Page 14, footnote 35, provides language related to transuranic waste*
Comment: Recommend providing definition of transuranic waste.
Explanation: Transuranic waste is defined in NRC Glossary (http ://www _nrc. gov-rreadi ng-rm/basic..ref/qlgssarv/transuran ic-waste. htm !)
"Material contaminated with transuranic elements - artificially made, radioactive elements. such as neptunium. plutonium. americium. and others ~that have atomic numbers higher than uranium in the periodic table of elEments."
- 13. Page 16, footnote 40, is related to fissile materials:
Comment; Recommend the footnote be deleted.
Explanation: The term *'ftssile" is not included in the draft report.
- 14. Page 17, last paragraph, the report states," .. adopt measures to ensure the physical protection of such sources during their use and transport via motor carrier or rail."
Corn.rrien.t: Consider changing sentence to read: ~.. physical protection of such sources during transport."
Exolanattorr The language would encompass both road and rail modes, which 10 CfR Part 37, Subpart D addresses.
- 15. Page 18, includes a paragraph that begins: -in addi1ion, NRC Part 37 .. ." Includes a sentence "Specifically, licensees shipping Category 1 quanttties must...*
Comment: Recommend changing to read* "Specifically, licensees shipping Category 1 quantities of radioactive sources by road must~
Exolanation: Regulation$ described here are those necessary for road shipments - not necessarily for rail shipments
- 16. Page 19, at the top of the page, provides requirements for the shipment of Category 2 quantities of radioacti\le sources:
Cornment: Recommend including the third requirement and ordering the requirements as follows:
- Use carriers that have established package tracking systems. An established package tracking syslem is a documented, pro\len. and reliable system routinely used to transPOrt objects cf value. In order for a package tracking system to maintain constant control and/or suNeillance, 1he package tracking system must allow the shipper or transporter to identify when and where the package was last and when it should arrive at the next point of control;
- Use carriers that maintain constant control and/or surveillance during transit and have the capability for immediate communication to summon appropriate response or assistance; and
- Use carriers that have established tracking systems that require an auttiorized signature prior to releasing the package for delivery or return.
Explanation; The draft report cites two requirements for the shipment of Category 2 quantities of radioactive sources, but the regulations have three requirements.
17, Page 18 states that *provide an individual - such as a second drf\ler - to accompany the primary driver for shipments with a long dnve time."
Comment To clarify ~long drive time" and to provide reference to established thresholds that would require use of an additional Individual to accompany the primary driver, suggest changing to "provide an individual - such as a second driver- to accompany the primary driver for shipments exceeding the rriaximurn nun1ber of dnving seivice hours as established by the federal Motor Carrier Safety Administrcition (FMCSA)."
Explanation: The regulation in 10 CFR 37. 79(a)(i\I) specifies the need to provide an individual ta accompany the driver for higtiway shipments with a driving lirne period
greater than !he maximum number of allowable hours of service 1n a 24-hour duly day as established by the FMCSA
- 18. Page 19 states that 'In response to IAEA guidance in its Code of Conduct and agency requirements in the Energy Policy Act of 2005, the NRC implemented the NSTS.~
Comment: Recommend revising the sentence to read: ~1n response to IAEA guidance in its Code of Conduct and aft9AGV requirements in the Energy Policy Act of 2005, the NRC implemented the NSTS."
Explanation: The Energy Policy Act is a law, not an NRC requirement 19, Page 20 states that "Transaction reports include information, such as shipping and receiving licensee numbers, the radioactive matedal in the source, and the radioac:tivity level of the source being tr~nsferred. **
Comment; Suggest changing the word "radioactivity* to wactivity~.
Explanation: Provides more accurate terminology.
- 20. Page 20, the main paragraph, includes the term uRAMQC" several times.
Comment: Recommend using 'RAMQC database_*
Explanation: The clarity of the second sentence in this paragraph may be improved by re\/ising the sentence to read". the original purpose of the RAMQC database was to have .. " This revision could also be made in other similar phrases in this same paragraph,
- 21. Page 20 states that "Applicants for licenses and current authorized licensees can use the web-based licensing (WBL) to apply for licenses and initiate other license.related actions" Comment: Suggest deleting this sentence Explanation: The functionality for applicants and licensees to use WBL to initiate license-related activities iS currently not active. Although the NRC is working toward offering this functionality for the future, applications for new licenses or amendments to existing licenses are currently submitted to NRC via mail, fax, or email.
- 22. Page 2e second paragraph, tourth sentence. and page 29 first paragraph, second lfne, in part needs to be updated to reflect the 2015 Memorandum of Understanding (MOU) activities related to the secure transport of radioactil1e materials signed by the NRC, DOT and the Department of Homeland Security (OHS).
Comment: For clarity the NRC suggests the following edits in the statements.
Page 26
" . AA aRGles1::1re te tt:1e The MOU states that agencies will f*'~-C£1Gr.diRatiM amaAg themser*;es aAel tAeir sem~eAef\t a§eAGies regafdiAg iR6fle~iaA aA6 er;:ifg~;eR:leRt a~i'q;iee, *uill=I t~e abjeative ef sptimizi,q9 a"ailable r:esa1o1Fses aRd MlllldR::ii~R9 eeR::iWtbll!'lieatieR& CR aF&as 'if~* ltlJal iRtarsst address twelve topic.al are:as of coordination and collaboration. The MOU also specified that the agencies will establish the working arrangements between the NRC and the relevant component agencies within DOT and OHS in order to implement the MOU pro1,1isions."
For clarity the NRC suggests the following edits in the statements.
Pago Z9:
" ... In January 2016, the working group pre$ented a draft rn1,.1lti-year action plan that incl1,.1ded how to addreu the 12 topical areas described in the MOU ..
Explanation: The proposed changes to the draft report are intended to reflect the current status of the MOU and the interagency efforts to coordinate activities and share information between their relevant component agencies.
- 23. Pg. 33, penultimate sentence:
Comment: S1J9gest inserting 'sometime$* cir 'on occasionn before "another".
Explanation: The draft report slates that other Federal agencies perform inspections on our behalf. While this may be true in specific situations, the sentence is written very broadly and could be interpreted as meaning we always transfer our inspection responsibilities.
- 24. Pg. 34. middle of paragraph contains language regarding the RAMQC database*
Comment: The draft reporl mentions the RAMQC database and in discussing it. states that "NRC requires licensees to provide advance notification for shipments of Category 1 sources, including the mode by which sources are transported.~ Recommend changing to ~NRC collects information including the information that would indicate the mode of transp0rt' Explanation: NRC regulations do not require the collection of rnode of transportation.
However, in practice, mode and routing are two items of information collected during daily database formulation that indicate the mode of transport for the shipments hsted in the RAMQC database,
- 25. Appendix II provides a table that presents the NRC's requirements for Category 1 and 2 material in transport:
comment: The NRC staff has three recommendations for this table (1) revise the table to inc11,.1de all requirements as wen as a delineation between those for road and rall:
(2) remove or edrt: the statement that written reports are required for suspicious activity; and (3) delete sentence 2 of footnote (b),
Explanation: (1) Throughout the table, there is no di$tinct1on between the items that are for road transport as opposed to rail transport Also, although the table identifies some of the requirements for road transport, It does not include them an. (2) The table in
- 9-
Appendix II states that written reports are required for suspicious activity. In accordance with 10 CFR 37.61(9), such repor1s are not required. (3) Footnote (b) ls potentially misleading. The text in the right-hand column of the table under "During shipment" adequately describes the difference between licensee transpor1, and motor carrier transport.
Administrative Comments
- 1. Table 1 provides ratlionuclides of concerns and thresholds in terabeCQuerels (see comment 10 from previous section, which recommends including the table from part 20 Appendix E instead; if GAO keeps this table, please see below).
comment: Recommend adding the curie values to the table as the caption mentions the conversions of terabecquerels to curies.
E1:planation: Altho1Jgh the NRC regulatory standard is given in terabecquerels, for convenience, the NRC also provides the curie values iti its regulations (10 CFR Part ~7),
- 2. Page 34, footnote 71 states that "According to NRC officials. the Canadian licensee the sole NRG licensee outside the United States ... ~
Comment: Recommend inserting the word "is," so the sentence will read: "According to NRC off1c1als, the Canadian licensee is the sole NRC licensee outside the United States.,."
3 Page 36 states "Thi5 information may give NRC greater confidence that is achieving its goal ol having reasonable assurance of preventing theft or diversion of these :sources."
Comment: Recommend inserting the word "rt." so the sentence will read: 'This information may give NRC greater confidence that it is achieving its goal of having reasonable assurance of preventing theft or diver!liion of these sources."
- 4. Page 11, footnote 23 uses "A 1 or A2." in a statement Comment: Suggest deleting these. and replace with "A, or Ai~. That is, show the numeral following 'A~ as sub-script Explanation: Tl'lis change supports the standard format for how these ciuaritities are represented in both 10 CFR and 49 CFR .
. 10.
Jolic;;oeur, John From: Hundrup, Wyatt RI (b)(6)
Sent; Thursday, March 02. 20171:03 PM To: Jolicoeur. John
Subject:
[External_Sender] FW* Release of formerly restricted product GA0*17~232 John, Below is the letter that went to chairman<@nrc.gov. which has the hngo about responding to recommendations I'm not sure why you were not CC'ed on this, so I'm glad you checked.
BTW, it is also posted on our public website; httn;//www.gao.gov/products/GA0-17-232 Cheers, Wyatt from: GAOReport5 Sent: Thursday, March 02, 2017 9:00 AM To: Chairman@nrc.gov Cc: Hundrup, Wyatt R; Rusco, Franklin; Benedict, Hilary M; Hockaday,! (b)(6) I
Subject:
Release of formerly restricted procluct: GA0~17~232, Nudear Regulatory Commission: Regulatory F~wSetting Calculations Need Greater Transparency, 100450 GAO "'ill release the follo\\1lng previously restricted product to the public today. l~*ntil then, use the secure link below to access lhe product GA0-17-2)2 Nuclear Regulatory Commission: R('gulatory Fef.'~Setting Calculations Need Greater Transparency http://vrwVt*.gao.go"'/prcrcleasc/K86p This report contains recommendations to your agency. As you kno\\ 31 U.S.('. 720 requires the head of a federal 1
agency to sub1nit a written staten1ent of the actions taken on our recommendations to the Senate Com1nittee on Homeland Security and Governmental Affairs and to the House Committee on Oversight and Government Reform not later than 60 calendar days from the date of the report and to the l*louse and Senate ('('lmmittees en Appropriations \Vi th the agency's first request for appropriations made more than 60 calendar days after that date. Sinc;e the congressional requester has asked that the <li:;tribution of the report be restricted, as provi<lc<l by GAO's Congressional Protocols, the 60-day period begins on the date the report is released and e-mailed to you. Because agency personnel serve as the primary source of infonnation on the status of recommendations, GAO requ..:sts that you also provide GAO with a copy of your agency's statement of action to serve as preliminarv infonnation on the status of open recommendations. Please send your staten1ent of action to BENEDICl', HILARY Ml (b)(6) lor to me at (ruscoft@.gao.gov).
We appreciate the assistance and cooperation of your staff during our review.
UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, O.C. 20SSS-0001 January 17, 2017 Mr. Frank Rusco Director, Natural Resources and Environment U.S. Government Accountability Office 441 G Street, NW Washington, DC 20226
Dear Mr. Rusco:
On behal1 of the U,S. Nuclear Regulatory Commission (NRC), I am responding to your e-mail dated December 14, 2016, requesting comments on the U.S. Government A<::countability Otfice (GAO) draft report GA0-17*232, MNuclear Regulatory Commission: Regulatory Fee-Setting Calculations Need Greater Transparency."
The NRC generally agrees with the GAO's recommendations that the NAC could enha11ce !he transparency of NRC's regulatory user fees, noting that improvement activities are in progress.
These efforts were discussed with GAO and are described below, and in the enclosure In greater detail.
GAO recommendations:
"To enhance tlie transparency of NRC's regulatory user fees, we recommend that the Chairman of the NRC take the following two actions:
- 1) Clearly present iniormation 'nits proposed ree rule, final tee rule and fee work papers that stakeholders need to understand fee calculations and provide substantive comments to the agency by defining and consistently using key terms, provide complete calculations for how fees are determined, and correcting errors.
- 2) Develop (1) performance goals and measures to assess the extent to which its cftorts under Project Aim create greater transparency regarding NRC's fee calculations and improves the timeliness with which NRC communicates fee changes so that they are objective, measurable, and quantihable. and (.2) develop and implement a plan and schedule for comparing results with the established performance goals.n NRC response:
As a result of Project Aim, the NRG has committed to implementing improvements to enhance the agency's ability to plan and execute its mission while adapting 1n a timely and effective manner to a dynamic environment As part of this initiative, the NAC analyzed its fee setting process to improve transparency, timeliness and equitability for our stakeholders, We developed numerous Improvements that are scheduled to be implemented over the next few years, as practicable. Starting in fiscal year 2017, the agency will implement changes to the proposed and final fee rule, related work papers, public NRC license fee website, project manager outreach to licensee activities, and the Congressional Budget Juslification 1hat will
enhance transparency for stakeholders. To enhance timeliness for communicating fee changes, we are planning to publish the proposed fee rule earlier than in previous years. To enhance lransparency, we are beginning the analysis to support changes to fee setting to enhance equitability, and invoicing. In addition, the NRC has established goals to support the improvement of the fee setting process, and developed output level nletrics to measure whether ttie improvements to the fee setting process have been achieved. We constanUy strive to improve the transparency, timeliness~ and equltability of our fee setting process and look forward to using GAO's insights to enhance our ongoing improvement efforts.
The NRC appreciates the opportunity to provide lts planned activities to address the recommendations provided in the GAO report. Please feel free to contact Mr. John Jolicoeur at (301) 415*1642 or JohrtJohcoeur@nrc.gov if you have questions or need additional information.
s~ '~~
Victor M. M~ee 2 .
Executive Director f r Operations
Enclosure:
NRC comments on GAO report
Nuclear Regulatory Commission Comments on the U.S. Government Accountability OHlce Draft Report GA0-17*232, "Nuclear Regulatory Commission: Regulatory Fee-Setting Calculations Need Greater Transparency" The purpose of this enclosure is to provide additional information to address specific issues raised in the draft report. In the discussion below, the underlined text ret:ects statements or topics raised by GAO on the pages noted. The following text provides amplirying 1nfonnation about actions taken or underway to address these issues, We believe that the report would benefit from the acknowledgment of these ongoing activities and the 1act that these efforts were in process under Project Aim prior to the initiation of the GAO audit NAC's Regulatorv User Fees Are Based on Its Expected Regulatorv Activities and Budget Authoritv lpaqe 15)
At 1he bottom of page 10, ttie draft report cites "legal support" as an example of Agency Support Resources. While there are some legal support resources that are considered Mbroadly supportingH resources, the rnajority of legal support resources are included within ttle programs they support. Better examples of Agency Support are resources associated with the Office of the Inspector General, human resources, financial management, procuremenVacquisitions, the Office of the Commission, etc, NRC's Fiscal Vear 2016 Fee Rule Did Nol Fully Explain Its Fee Calculalions (page 15!
Each year the NRC staff strives to fully explain the basis for the fee calculation. The agency has made progress and plans to continue lo improve. In the fiscal year (FY) 2017 proposed and final fee rule, the Nuclear Regulatory Commission (NRG) will define all key terms related to the h0tJrly rate calculation and use ttiem consistently throughout the document In addition, the fee rule workpapers will include the calculation of mission-direct full-time equivalent productive hours.
lndustrv Stakeholders Identified Several Ctiallenges with NRC's Fee-Settino Process, Some of which NRC Plans to Address <page 17l Based on comments received from the public and staff, NAC developed a list of more than 50 irnprovement options that address concerns with the current fee process. Over 40 of these improvements were then prioritized using the following criteria: (a) transparency-help stakEiholders undersland the NRC fee setting process, (b) timeliness--enable the NRC to publish its fee rule earlier than in previous years, and (c) equitabiltty--calculate NRC fees based on allocating NAC costs fairly amorig all tts licensees,
- 1) Transparency lpage 17)
The NRC will be implementing a number of improvements to enhance transparency for stakeholders. Starting in FY 2017, the agency will implement changes to the proposed and final fee rule or workpapers to include definitions for key terms to support the hourly rate calculation, defirtrtlons tor international ac1ivities that are subject to fee rellef, a discussion of the new fee class tor small modular reactors, drivers that impact an NRC business line budget, and fees collected data from the previous fiscal year, In the Congressional Budget Justificalion, the NAC will include analysis of planned workload, Enclosure
2 including planned rulemaking, and the associated budgeted resources. The NAC pubOc license fees website will be enhanced to provide more information or links to information that support fee setting, including fee rules, work papers (posted in an E:xcel format). a fee setting blog, and frequently asked questions on fee setting, In addition, the agency will begin developing a strategy to include a breakdown between budgeted resources that support fees for setvici and annual fees, and a comparison between formulated and executed budgetaf)I resources.
- 2) Fairness lpage 18)
The NRC considers the amount of licensing actions and the types of licensing actions expected during the upcoming year when allocating re$ourccs and creating tho related budgot Ralher than risk-significance, the NRC develops budgetary resource needs based on the technical complexity of the licensing action. Although the agency does not necessarily budget for or expend additional resources on risk~significant licensing actions, risk-significant licensing actions are prioritized ahead of less significant activities if there are competing resources.
OBRA-90 requires the NRC to collect approximately 90 percent of our budget through fees. If a licensee leaves the fee class during the fiscal year, the NRC is still required to collect the necessary budgGt authority far that y1;1ar. Going forward, as workload decreases, budgetary resource needs will decrease, and fees will decrease.
The NRC will be implementing a number of improvements to enhance equltability for licensees paying fees. Starting fn FY 2017, the agency will begin to analyze activities executed by staff that are currently billed to licensees as fees for service, and make a determination if additional activities should also be included. The NRC will then train staff accordingly on new activities to be charged to billable projects to ensure accuracy, In addi:ion. the NRC will begin the analysis to support proposing policy changes for Commission consideration in future years, such as: changes to fee classes and fee categories to enhance equitability by either combining fee classes or categories into one, or adding new classes or categories to the existing schedule, aligning with the Small Business Administration's definitions for small entities. billing vendors for inspections, developing a new tee class to charge annual fees tc cover new reactor budgetary resources included in the fee base, developing a new strategy tor charging tor whitepaper reviews, charging annual tees to applicanls regardless of construction phase, developing two hourly rates depending on work performed, and deciding on whether to allow more than one site on one hcense.
- 3) Ijme!jness and Predictabjlitv /page 19)
Witt1in our i:;tatutory framework, the agency is comrnit1ed to accele1aling lt)e publication of the proposed and final lee rules to help licensees budget for expenses. Io support this acceleration, the NAC has developed a strategy to decide on a resource level upon which to base the tee rule earlier In the year, and a new process for estimating the fiscal year's collection of fees for service. In addition the NRC will conduct a pilot to explore flat fees for uranium recovery licensees, To enhance predictability. the NRC will conduct outreach efforts to licensees to include posling estimates of licensing actions and olher services on the public website, developing procedures to communicate project status and running cost totals tor on-going proiects, and developing procedures to provide detailed explana.tions ot work performed by contractors.
3
- 4) Billing (page 211 Mindful of our current budgetary environment of reduced resources, the NRC is currently developing a strategy to support enhancements to invoicing licensees, such as developing upgraded system interfaces to reduce billing errors, providing mare detail on invoices, and exploring opportunities for introducing electronic invoicing which could give the licensees additional time to make their payments as required by statute.
- 5) Workload and Workforce fpage 221 The NRC has made significant progress to streamline operations and reduce budgetary needs, under the Project Aim initiative. The Omnibus Budget Reconciliation Act of 1990 (OBRA-90) rgquires the agency to collect approximately 90 percent of as budget authority through tees by the end of that particular year. Budgetary authority request is based, in part, on planned workload estimates from llcensees. Given the current environment, NAC's costs to regulate are appropriate.
The NRC agrees that In the past few years nuclear power plarit licensing actions were delayed due to the redirecting of staff to support the implementation of recommendations identified as a result of the events at the Fukushima Oai-ichi nuclear power plant. At that time, the NRC actively assessed and redefined priorities and ensured that actions taken in response to Fukushima lessons-learned did not displace ongoing work that had greater safety benefit, work that was necessary for continued safe operation. or other existing high-pr1or1ty work. Additionally, the NRC placed Increased emphasis on communications with licensees in order to foster a common awareness of project schedule expectations, as It related to safety significance and operational needs.
The NAC's congressionally reported timeliness metrics are to complete 95 percent of submitted licensing reviews within 1 year and ~ 00 percent within 2 years, unless the reviews meet spec~lc exclusion criteria (e.g .. license renewals, Improved standard technical specifications conversions, power uprates, and unusually complex actions).
Initially, the redirecting of staff to address Fukushima !essons~learned resulted in a significant increase in the volume of nuclear power plant licensing reviews requiring greater than 1 year to complete (i.e., the backlog). However, through the normalizing of the Fukushima workload and implementation of staffing and process changes, the NRC has since made significant improvements in the timeliness of completing licensing reviews, including reducing the backlog to a historically low level.
In addition to the measures discussed above that contributed to the successful reduction ol the licensing back.log, the NRC also lmplemented items associated with Project Aim and increased communications with the industry regarding future planned licensing action submittals. Along with these efforts, NRC management has placed additional emphasis with the staff regarding several key aspects of licensing reviews for which the industf)' also plays a key role in supporting the efficiency and effectiveness of future licensing reviews.
NRC is Taking Steps to Increase Transparency and Stakeholder Underatanding of its Fee-sening Process but its Plans are Incomplete <page 23)
4 The NRC has established goals to improve the foe setting process, specifically, increasing tn:i.nsparcncy, timeliness and equitability for stakeholders. Currently, NRG has developed output level metrics to measure whether the improvements to the fee setting process have been achieved. The agency is considering other metrics to measure stakeholder satisfaction with the improvements implemented. In ack:lition, the NRC has established a Steering Committee that will direct the analysis and implementation of planned improvement activities and monitor progress against established metrics.
Figure 4 on page 13, appears to omit regulation of new reactors.
Jolicoeur, John From:
Sent; To:
Cc: I (b 16J
Subject:
[External_SenderJ Issuance of GA0-17-182, Critical Infrastructure Protection Additional Actions by DHS Could Help Identify Opportunities to Harmonize Access Control £fforts, 100547 GAO will release the foll(lv.*ing product t-0 the public today. Llntil thenj use the secure link belo~v to access the product.
GA0-17-182 Critical lnfrastrocture Protection: Additional Actions by DHS Could Help ldentify Opportunities to Harmonize Access Control Efforts http: II www.gao.gov/prerelease/dvv 8 Chris P. Currie Director, Go,*ernment Accountabilit) Office: Homeland Security and Justice After public release later today. the follo\Ving link should be used to obtain the product.
http://www.gao.gov/productsiGA0-17-l 82
UNITED STATES NUCLEAR REGULATORY COMMISSION WA:SHINGTO~, O,C, 2\1~5-0D01 January 6, 2017 Ms. Kathryn E. Godfrey, Assistant Director Homeland Security and Justice U.S. Government Accountability Office 441 G Street, NW Washington, DC 20548
Dear Ms. Godfrey:
Thank you for providing the U.S. Nuclear Regulatory Commission (NRC} with ttie opportunity lo review ano comment on the U.S. Government Accountability Office's (GAO's) draft report GA~17-182, "Critical Infrastructure Protection* Additional Actions by OHS Could Help Identify Opportunities to Harmonize Access Control Efforts.** The NRC has reviewed the draft report and finds that it accurately reflects the NRC's access control efforts, which require each commercial nuclear power plant licensee to establish, implement, and maintain an access authorization program, including the provision of unescor1ed access, in accordance with NRC regulations in order to protect against acts of radiological sabotage.
If you have any questions regarding the NRC's response. please contact Mr. John Jolicoeur by phone at (301) 415-1642 or by email at John.Jolicoeur@nrc.gov Si1ic7J. ~~
Victor M McCree Executive Director for Operations 7
cc: Chris Currie, GAO
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Jolicoeur, John From: Jolicoeur. John Sent: Friday, March 17, 201712:03 PM To: 'Ingram, Miles J'; Guffy, Barbara A Cc: Harmond, Michael H
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RE: RE: RE: RE: RE: GAO Engagement Notification 100893 Attachments: Supporting Do<.s 100893.zip; GAO Questions Electrornagnetic Event FINALdocx Miles (b)(5),(b)(6)
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From: Kohan M,1rnhf1ll To: loJi.c!lfur,_JllJJD; 6Qwe.l1,_1er:emt Ct: RrdsNs!rM111!Ceqwr Bwp11u;e; Krjg Ba.rb§r4; Andqumo lamgs; y1ttp S!§yeo; St Amour Norman
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GAO flectroma9oetic f'leot Preparedness (100893) Entrance w1ttl Noclear Regulat'ory Comm1ss.on {NRC)
Daten WedneMJay, Mar~h lS, 2017 t:OO:Sl PM John/Jeremy, (b)(5)
Marshall Kohen Technical Assistant Office of Nuclear Security and Incident Re.\ponse USNRC 301-287-3689
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GAO U.S. GOVERNMENT ACCOUfilAB!l!IY OFFICE Federal Risk and Authorization Management Program (FedRAMP) Implementation Job code: 101221 NRC Entrance Conference (b)(5)
Entrance Conference Questions (b)(5)
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U.S. GOVERNMENT ACCOUNJABILIIY OFFICE Federal Risk and Authorization Management Program (FedRAMP) Implementation Job code: 101221 NRC Entrance Conference (b)(5)
Entrance Conference Questions (b)(5)
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Boyer, Rachel From:
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Guerrero, Rosanna j (b)(6)
Monday, February3, 2017 12:03 PM To: Jolicoeur, John Cc: Lewis, Robert; Rasouli, Houman; Scott Jay L; Crosland, Larry E
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[External_Sender) RE: GAO Engagement Notification 101221 Attachments: Final NRC NOTIFICATION LETTER_ 101221.docx Please see the attached updated final notification letter.
Best regards, Rosanna Guerrero From: Scott, Jay l fmailtoJ (b)(6)
Sent: Monday, February 13, 2017 7:50 AM To: JoHcoeur, John <John.Jolicoeur@nrc.gov>; Lewis, Robert <Robert.Lewis@nrc,gov>; Rasouli, Houman
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Cc: Wilshusen Gregory cl (b)(6) ICrosland, Larry E LI_ __.(;.,b)"(6"')'--...JI Guerrero, Rosanna I (bJ(6l I~-~~-~
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[External_Sender] GAO Engagement Notification 101221 Attached is a notification of a new GAO engagement - 101221.
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Boyer, Rachel From: Scott, Jay L j (b)(6)
Sent: Monday, March 06, 2017 7:33 AM To: Jolicoeur, John; Lewis, Robert; Rasouli, Houman Cc: Fennell. Anne* Marie; Malcolm, Jeffery D; Thomas, Swati Subject-: (External_Sender] GAO Engagement Notification - 101433 Attachments: ALL_ST AF F- # 1966254-vl -NO TIFCIA TIO N_LEn ER_N R( _(l 014 33I. DOCX Attached is a notification of a new GAO engagement-101433.
iav Scott (b)(6)
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