ML18032A561

NUREG-1614, Vol. 7, Strategic Plan Fiscal Years 2018-2022.

ML18032A561
Person / Time
Issue date:	02/28/2018
From:	Jason Cai, Robert Lewis, Segala J P NRC/EDO
To:
Meyd, Donald
References
NUREG-1614 V7
Download: ML18032A561 (36)

Text

STRATEGIC PLANFISCAL YEARS 2018-2022NUREG-1614, Vol. 7 AVAILABILITY OF REFERENCE MATERIALSIN NRC PUBLICATIONS NRC Reference Material As of November 1999, you may electronically access NUREG-series publications and other NRC records at

NRC's Library at www.nrc.gov/reading-rm.html. Publicly released records include, to name a few, NUREG-series publications; Federal Register notices; applicant, licensee, and vendor documents and correspondence; NRC correspondence and internal memoranda; bulletins

and information notices; inspection and investigative

reports; licensee event reports; and Commission papers

and their attachments.

NRC publications in the NUREG series, NRC regulations, and Title 10, "Energy," in the Code of Federal Regulations may also be purchased from one of these two sources. The Superintendent of Documents

Washington, DC 20402-0001

Internet:

bookstore.gpo.gov

T elephone: (202) 512-1800 Fax: (202) 512-2104 The National Technical Information Service5301 Shawnee Rd., Alexandria, VA 22312-0002 www.ntis.gov800-553-6847 or, locally, (703) 605-6000A single copy of each NRC draft report for comment is available free, to the extent of supply, upon written

request as follows:

Address: U.S. Nuclear Regulatory Commission

Branch Washington, DC 20555-0001 E-mail: distribution.resource@nrc.govFacsimile: (301) 415-2289 Some publications in the NUREG series that are posted at NRC's Web site address www.nrc.gov/reading-rm/

doc-collections/nuregs are updated periodically and may differ from the last printed version. Although references to material found on a Web site bear the date the material

was accessed, the material available on the date cited

may subsequently be removed from the site.

Non-NRC Reference Material Documents available from public and special technical libraries include all open literature items, such as books, journal articles, transactions, Federal Register notices, Federal and State legislation, and congressional reports.

Such documents as theses, dissertations, foreign reports

and translations, and non-NRC conference proceedings

may be purchased from their sponsoring organization.

Copies of industry codes and standards used in a substantive manner in the NRC regulatory process are

maintained at-The NRC Technical Library Two White Flint North 11545 Rockville Pike

Rockville, MD 20852-2738 These standards are available in the library for reference

use by the public. Codes and standards are usually

copyrighted and may be purchased from the originating organization or, if they are American National Standards, from-American National Standards Institute 11 West 42nd Street New York, NY 10036-8002 www.ansi.org (212)642-4900 Legally binding regulatory requirements are stated only in laws; NRC regulations; licenses, including technical speci

-

views expressed in contractorprepared publications in this series are not necessarily those of the NRC.

The NUREG series comprises (1) technical and adminis

-trative reports and books prepared by the staff (NUREG-XXXX)or agency contractors (NUREG/CR-XXXX), (2)

proceedings of conferences (NUREG/CP-XXXX), (3) reports

resulting from international agreements (NUREG/IA-XXXX),

(4)brochures (NUREG/BR-XXXX), and (5) compilations of legal decisions and orders of the Commission and Atomic

and Safety Licensing Boards and of Directors' decisions

under Section 2.206 of NRC's regulations (NUREG-0750).

DISCLAIMER: This report was prepared as an account

of work sponsored by an agency of the U.S. Government.

Neither the U.S. Government nor any agency thereof, nor any employee, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third

party's use, or the results of such use, of any information, apparatus, product, or process disclosed in this publication, or represents that its use by such third party would not

infringe privately owned rights.

STRATEGIC PLAN FISCAL YEARS 2018-2022 iiiABSTRACT~e U.S. Nuclear Regulatory Commission (NRC or agency) is an independent agency established by the Energy Reorganization Act of 1974 that began operations in 1975 as a successor to the licensing and regulatory activities of the Atomic Energy Commission. ~e NRC's mission is to license and regulate the Nation's civilian use of radioactive materials to provide reasonable assurance of adequate protection of public health and safety and to promote the common defense and security and to protect the environment. ~is strategic plan, covering the period Fiscal Years (FY) 2018-2022, describes how the NRC plans to achieve its two strategic goals: (1) ensure the safe use of radioactive materials, and (2) ensure the secure use of radioactive materials. ~e plan provides an overview of the NRC's responsibilities and lays out the objectives, strategies, and key activities that will be used to achieve the agency's strategic goals.NRC Headquarters Calvert Cli~s Nuclear Power Plant STRATEGIC PLAN FISCAL YEARS 2018-2022 vTABLE OF CONTENTSABSTRACT ...................................................................................................................... iiiA MESSAGE FROM THE CHAIRMAN

.......................................................................... viiINTRODUCTION

............................................................................................................ 1 About the NRC .............................................................................................................. 1 Stakeholder Engagement ................................................................................................. 2 Organization of the Plan ................................................................................................. 2THE PLAN ......................................................................................................................... 5 Mission .......................................................................................................................... 5 Vision ............................................................................................................................ 5 Principles of Good Regulation ........................................................................................ 5 Strategic Goals, Objectives, and Strategies ....................................................................... 6 Safety Strategic Goal: Ensure the Safe Use of Radioactive Materials.............................. 7 Security Strategic Goal: Ensure the Secure Use of Radioactive Materials ......................11APPENDICES

...................................................................................................................17 Appendix A-External Factors ........................................................................................17 Appendix B-Evaluations and Research .........................................................................19 Appendix C-Planned Program Reviews ........................................................................20 Appendix D-Glossary ..................................................................................................23 Byron Station STRATEGIC PLAN FISCAL YEARS 2018-2022 vii NRC Inspectors at Wolf Creek Generating Station 1 ABOUT THE NRC

~e U.S. Nuclear Regulatory Commission (NRC or agency), created by the Energy Reorganization Act of 1974, began operations in 1975. ~e NRC's mission is to license and regulate the Nation's civilian use of radioactive materials to provide reasonable assurance of adequate protection of public health and safety and to promote the common defense and security and to protect the environment.~e NRC is headed by ve Commissioners appointed by the President of the United States, and conrmed by the U.S. Senate, to serve staggered 5-year terms. ~e President designates one of the Commissioners to serve as Chairman. ~e Commission as a whole formulates policies and regulations governing the safety and security of nuclear facilities and radioactive materials, issues orders to licensees, and adjudicates legal matters brought before it.~e NRC's overall responsibility is to protect public health and safety in the civilian uses of radioactive materials. It has the following main regulatory functions:

• Establish standards and regulations.

• Issue licenses, certicates, and permits.

• Ensure compliance with established standards and regulations.

• Conducts research, adjudication, risk and performance assessments to support regulatory decisions.~e NRC carries out these regulatory functions to regulate nuclear power plants, fuel cycle facilities, and other civilian uses of radioactive materials, such as nuclear medicine programs at hospitals and academic activities at educational and research institutions. ~e NRC also uses these functions to regulate such industrial applications as gauges, irradiators, and other devices that contain radioactive material.~e NRC regulates 99 commercial nuclear power reactors operating in 30 States at 59 sites; 31 research and test reactors; about 4,600 people licensed to operate reactors; 20 nuclear reactors in various stages of decommissioning; 78 independent spent fuel storage installations; 13 licensed fuel cycle facilities; 11 uranium recovery sites; and approximately 2,600 research, medical, industrial, government, and academic materials licensees. ~e NRC also has issued 5 reactor early site permits, 5 reactor design certications, and 12 combined licenses for new reactors. In addition, the NRC has agreements with 37 States, also referred to as Agreement States, under which these States have assumed regulatory responsibility for the use of certain radioactive materials. ~ese Agreement States oversee approximately 17,000 materials licenses. ~e NRC works closely with these Agreement States to ensure that they maintain adequate and compatible regulatory programs.As part of its licensing activities, the NRC complies with the National Environmental Policy Act and other environmental laws that require consideration of potential impacts INTRODUCTION 2 to the environment. ~ese considerations involve analyzing proposed NRC licensing and regulatory activities to assess their environmental impacts. Specic areas that the NRC sta considers include potential human health and socioeconomic impacts and potential impacts to endangered species, air quality, water quality, and historic properties and Tribal cultural resources.~e NRC also licenses the import and export of radioactive materials and works closely with its international counterparts to enhance global nuclear safety and security.STAKEHOLDER ENGAGEMENT~e NRC considers public engagement and communication to be an important aspect of eective regulation. ~e NRC recognizes the public's interest in the regulation of nuclear activities and provides opportunities for citizens to be heard. ~e NRC places a high priority on keeping the public informed of its work and encourages public participation and comments. ~e agency maintains a Web site (www.nrc.gov) with a wide variety of information for its stakeholders; operates the agency's Public Document Room at its headquarters in Rockville, MD; and holds public meetings throughout the country.In keeping with the agency's commitment to openness, the NRC solicited stakeholder input to develop this strategic plan. In July and August 2016, representatives of various stakeholder groups (including licensees, public interest groups, State governments, Federal agencies, congressional sta, the general public, and NRC sta) participated in assessments of the agency's strengths, weaknesses, opportunities, and threats faced, as well as external factors that may impact the NRC during the upcoming planning period. ~e input that the NRC received highlighted many of the challenges the agency faces; this plan reects strategies for addressing these challenges.ORGANIZATION OF THE PLAN~is strategic plan presents the NRC's mission, vision, and values statements. It also describes the NRC's key strategic goals of safety and security-outcomes that the agency is striving to achieve. Each strategic goal has supporting objectives and strategies.Objectives reect the outcome the agency is trying to achieve and the NRC's role in achieving it. Strategic objectives also form the basis for a set of performance goals and indicators established to help the agency monitor and understand progress. ~is plan presents strategies to support each objective.Figure 1 is a graphical depiction of how the NRC's mission, vision, strategic goals, objectives, and strategies are related.

3 Appendix A covers key external factors that could aect the agency's ability to eectively execute this plan.Appendix B discusses the research and program evaluations used in developing this plan.Appendix C provides the schedule of planned program evaluations that the agency will use to adjust and rene its performance.Appendix D oers a glossary of terms used in this plan.Figure 1 Graphical depiction of strategic plan components Safety Goal Security Goal Security Objectives Security Strategies Safety Strategies Safety Objectives MISSION VISION 4 Brunswick Nuclear Power Plant 5 MISSION ~e NRC licenses and regulates the Nation's civilian use of radioactive materials to provide reasonable assurance of adequate protection of public health and safety and to promote the common defense and security and to protect the environment.

VISION Demonstrate the Principles of Good Regulation (independence, openness, eciency, clarity, and reliability) in performing our mission.PRINCIPLES OF GOOD REGULATION

In 1991, the Commission established the NRC's Principles of Good Regulation to focus the agency on implementing our safety and security mission while appropriately considering the interests of the NRC's stakeholders, including the public and licensees. ~e NRC adheres to the Principles of Good Regulation, as described below, to guide both the agency's decisionmaking and sta behaviors.

INDEPENDENCE Nothing but the highest possible standards of ethical performance and professionalism should inuence regulation. However, independence does not imply isolation. All available facts and opinions must be sought openly from licensees and other interested members of the public. ~e many and possibly conicting public interests involved must be considered. Final decisions must be based on objective, unbiased assessments of all information and must be documented with reasons explicitly stated.

OPENNESS Nuclear regulation is the public's business, and it must be transacted publicly and candidly. ~e public must be informed about and have the opportunity to participate in the regulatory processes as required by law. Open channels of communication must be maintained with Congress, other government agencies, licensees, and the public, as well as with the international nuclear community.

EFFICIENCY

~e American taxpayer, the rate-paying consumer, and licensees are all entitled to the best possible management and administration of regulatory activities. ~e highest technical and managerial competence is required and must be a constant agency goal. ~e NRC must establish means to evaluate and continually upgrade its regulatory capabilities. Regulatory activities should be consistent with the degree of risk THE PLAN 6 reduction they achieve. Where several eective alternatives are available, the option which minimizes the use of resources should be adopted. Regulatory decisions should be made without undue delay.

CLARITY Regulations should be coherent, logical, and practical. ~ere should be a clear nexus between regulations and agency goals and objectives, whether explicitly or implicitly stated. Agency positions should be readily understood and easily applied.

RELIABILITY Regulations should be based on the best available knowledge from research and operational experience. Systems interactions, technological uncertainties, and the diversity of licensees and regulatory activities must all be taken into account so that risks are maintained at an acceptably low level. Once established, regulation should be perceived to be reliable and not unjustiably in a state of transition. Regulatory actions should always be fully consistent with written regulations and should be promptly, fairly, and decisively administered so as to lend stability to the nuclear operational and planning processes.STRATEGIC GOALS, OBJECTIVES, AND STRATEGIES~e NRC has two strategic goals that represent the results the agency must achieve to carry out its mission successfully. ~ese goals are the foundation for the organization of this plan:SAFETY STRATEGIC GOAL:

Ensure the Safe Use of Radioactive Materials.SECURITY STRATEGIC GOAL:

Ensure the Secure Use of Radioactive Materials.Each strategic goal has accompanying objectives:

Safety Objective 1: Prevent, Mitigate, and Respond to Accidents and Ensure Radiation Safety.Security Objective 1: Ensure Protection of Nuclear Facilities and Radioactive Materials.Security Objective 2: Ensure Protection of Classified and Controlled Unclassified Information.As described in the following sections, the NRC has identied supporting strategies and contributing activities related to each goal and objective. In implementing all of these strategies and activities, key corporate functions, such as nancial management, human resources management, acquisition planning and execution, and information technology management, play a key role in the agency's eective and ecient use of its resources to deliver mission value. In addition, the agency focuses on continuous improvement of its activities and processes and demonstrates a commitment to eectiveness, eciency, and innovation in all its regulatory activities.

7 SAFETY STRATEGIC GOAL:

Ensure the Safe Use of Radioactive Materials.For this goal, a successful outcome is one in which the Nation can continue to use radioactive materials for civilian purposes while avoiding radiation exposures and releases of radioactive materials that harm people or the environment. ~e Atomic Energy Act of 1954, as amended (AEA), is the fundamental U.S. law on both the civilian and the military uses of nuclear materials. On the civilian side, it provides for both the development and the regulation of the uses of nuclear materials and facilities in the United States.~e AEA generally requires a license for civilian uses of nuclear materials and facilities, and it empowers the NRC to establish by rule or order, and to enforce, such standards to govern these uses as "the Commission may deem necessary or desirable to promote the common defense and security or to protect health or to minimize danger to life or property-."~e licensees and certicate holders that are authorized to possess and use radioactive materials have primary responsibility for the safe use of radioactive material. ~e safety responsibility of licensees is dened through licensing and continuing regulatory oversight and enforcement throughout all stages in the lifetime of a facility. ~is approach is the means by which the NRC ensures the successful outcome of the safe use of radioactive materials.Safety Objective 1:

Prevent, Mitigate, and Respond to Accidents and Ensure Radiation Safety.Minimizing the likelihood of accidents and reducing the consequences of an accident (should one occur) are the key elements for achieving the NRC's safety goal. ~e NRC employs defense-in-depth approaches to ensure that multiple layers of defense protect against accidents and their eects to ensure that the risk to the public is acceptably low. In this approach, the agency does not rely solely on preventing accidents but also recognizes that provisions are needed to mitigate the eects of accidents that may occur. ~e agency must ensure that eective preparedness and response programs are in place if an accident were to occur.Gamma radiation survey 8 Safety Strategy 1: Maintain and enhance the NRC's regulatory programs, using information gained from domestic and international operating experience, lessons learned, and advances in science and technology.CONTRIBUTING ACTIVITIES

• Maintain eective, stable, and predictable regulatory programs and policies.

• Evaluate domestic and international operating events and trends and advances in science and technology for safety implications and enhance the regulatory framework aswarranted.

• Apply lessons learned from license reviews and construction of new reactors and fuel cycle facilities to enhance the eectiveness and eciency of subsequent reviews and construction oversight.Safety Strategy 2: Further risk-inform the current regulatory framework in response to advances in science and technology, policy decisions, and other factors, including prioritizing eorts to focus on the most safety-signicant issues.CONTRIBUTING ACTIVITIES

• Use risk-informed and performance-based approaches to enhance the eectiveness and eciency of the regulatory framework that appropriately consider defense-in-depth, risk insights, and margins of safety.

• Develop and implement, as necessary, a risk-informed regulatory infrastructure to conduct eective and ecient licensing activities for applicants developing new reactors, small modular reactors, advanced reactors, fuel cycle facilities, and domestic medical isotope production facilities.

• Ensure that regulations are eective, ecient, and up-to-date by using established processes to build on a sound regulatory framework, incorporating risk assessments into regulatory decisionmaking as appropriate, providing opportunities for public participation, and addressing the cumulative eects of regulation.

• Conduct research activities to conrm the safety of operations and enhance the regulatory framework by addressing changes in technology, science, and policies.

• Improve the regulatory framework, analytical tools, and data needed to ensure the safe and secure storage, transportation, and disposal of spent nuclear fuel and high-level radioactive waste.

• Engage domestic and international partners in the development and evaluation of consensus standards and collaborate with research counterparts to respond to emerging technical issues, exchange information, and promote best practices.

9 Safety Strategy 3: Enhance the eectiveness and eciency of licensing and certication activities to maintain both quality and timeliness of licensing and certication reviews.CONTRIBUTING ACTIVITIES

• Perform high-quality, timely, and risk-informed reviews of requests for permits, licenses, design approvals, certications, license amendments, license renewals, decommissioning activities, and license termination. Engage in pre-application activities with potential applicants to provide timely feedback and information.

• Improve the timeliness, predictability, and transparency of licensing and certication processes while reducing unnecessary regulatory burden.

• Ensure the availability of the regulatory and technical framework needed for the review of requests to operate for periods beyond 60 years.

• Conduct environmental reviews to ensure that the NRC's actions comply with all applicable laws, such as the National Environmental Policy Act.Safety Strategy 4: Maintain eective and consistent oversight of licensee performance with a focus on the most safety-signicant issues.CONTRIBUTING ACTIVITIES

• Enhance and implement nuclear reactor, material, spent nuclear fuel storage, and radioactive waste oversight programs to ensure the timely identication of safety issues and that licensees take the actions necessary to maintain acceptable safety performance.

• Conduct eective and ecient inspections, as well as follow-up reviews, investigations, and enforcement as needed, to ensure that licensees meet the NRC's regulatory requirements.

• Ensure that licensees, certicate holders, and vendors take the actions necessary to prevent the presence of counterfeit, fraudulent, and suspect items in nuclear facilities and that defective and/or noncompliant items do not cause safety risks in the use of radioactive materials.

• Respond to alleged concerns to ensure safety issues are thoroughly and timely addressed and with appropriate condentiality protections, fostering the willingness of concerned individuals to raise safety issues.

• Emphasize the importance of developing and maintaining an eective nuclear safety culture for all NRC-regulated activities.

• Ensure licensee readiness to respond to and recover from accidents, through the oversight of emergency preparedness and response programs and exercises.Safety Culture Assessment Team 10 Safety Strategy 5: Maintain material safety through the National Materials Program in partnership with Agreement States.CONTRIBUTING ACTIVITIES

• Review NRC and Agreement State materials programs through the Integrated Materials Performance Evaluation Program, an oversight tool that provides the NRC and Agreement States with systematic and integrated evaluations of their respective materials programs.* Work in partnership with Agreement States on the development and implementation of new and revised regulations, radiation standards, guidance, and policies to ensure the safe use of radioactive material on a nationwide basis.

• Provide a consistent training program for the National Materials Program to develop and maintain knowledgeable and well-trained sta who ensure the protection of public health and safety under their respective materials programs.

• Promote eective communications and working relationships between the NRC and Agreement States to foster coordination in ensuring the safe use of radioactive material under the National Materials Program.Safety Strategy 6: Identify, assess, and resolve safety issues.CONTRIBUTING ACTIVITIES

• Address internal and external hazards to nuclear facilities and radioactive materials users, such as seismic activity, ooding, and age-related degradation of plant components, through appropriate regulatory processes and programs.

• Resolve generic safety issues and ensure the implementation of appropriate actions within timeframes commensurate with their risk signicance.

• Conduct conrmatory and anticipatory research to resolve safety issues and conrm the safety bases for the use of radioactive materials.Safety Strategy 7: Ensure the NRC maintains its readiness to respond to incidents and emergencies involving NRC-licensed facilities and radioactive materials and other events of domestic and international interest.CONTRIBUTING ACTIVITIES

• Use lessons learned from exercises, operating experience, and international events to inform regulatory activities.

• Coordinate with Federal, State, local, and Tribal partners to strengthen national preparedness, response, and recovery capabilities.

• Coordinate with licensee and industry stakeholders (e.g., Institute of Nuclear Power Operations) to ensure incident response readiness and capabilities.

• Conduct outreach before, during, and after emergency preparedness exercises and increase collaboration and sharing of lessons learned from emergency preparedness exercises and incidents.

11 Safety Strategy 8: Verify that nuclear facilities are constructed and operated in accordance with permits and licenses and that the environmental and safety regulatory infrastructure is adequate to support the issuance of new licenses.CONTRIBUTING ACTIVITIES

• Inspect nuclear facilities under construction, including the associated vendors, in accordance with construction oversight programs.* Enhance the eectiveness and eciency of design certication and combined license reviews for new, advanced, and small modular reactors and implement lessons learned.

• Increase knowledge, skills, technical tools, and capacity to perform advanced reactor regulatory activities and develop the necessary regulatory infrastructure to support application reviews.

• Ensure regulatory guidance continues to reect the lessons learned from construction, licensing, and research activities.

• Develop methodologies and tools to enhance site-specic safety and environmental reviews in support of regulatory needs.

• Conduct research, including collaboration with international, academic, industry, and other Federal agencies, and incorporate insights gained into the regulatory infrastructure.SECURITY STRATEGIC GOAL:

Ensure the Secure Use of Radioactive Materials.For this goal, a successful outcome is to avoid instances in which radioactive materials are used in a hostile manner. ~e NRC, in carrying out its regulatory responsibilities, should act in a manner consistent with the AEA goals that the peaceful uses of nuclear energy "make the maximum contribution to the common defense and security and the national welfare."~e terms safeguards and security are generally used to describe programs that promote the common defense and security and protect public health and safety by guarding against theft and sabotage. Licensee's security programs and contingency plans deal with threats, thefts, and sabotage relating to special nuclear material, high-level radioactive waste, nuclear facilities, and other radioactive materials and activities that the NRC regulates.~e NRC ensures a successful outcome for this strategic goal by regulating licensees' security programs, contingency plans, and accounting systems for certain materials.Security barriers 12 Security Objective 1:

Ensure Protection of Nuclear Facilities and Radioactive Materials.Nuclear facilities and radioactive materials are protected against threats by two primary means: (1) control of access to facilities and materials, and (2) accountability controls for radioactive materials. ~ese controls are intended to prevent threats from either damaging a nuclear facility in such a way that a signicant release of radioactive material to the environment occurs, or obtaining enough radioactive material for malevolent use.Security Strategy 1: Maintain and further risk-inform the current regulatory framework for security using information gained from operating experience, lessons learned, external and internal assessments, technology advances, and changes in the threat environment.CONTRIBUTING ACTIVITIES

• Maintain stable, eective, and predictable regulatory programs and policies.

• Use risk-informed and performance-based approaches to enhance the eectiveness and eciency of the regulatory framework that appropriately consider defense-in-depth and risk insights.

• Ensure that regulations are eective, ecient, and up-to-date by using established processes to build a sound regulatory framework, incorporating risk assessments into regulatory decisionmaking as appropriate, providing opportunities for public participation, and addressing the cumulative eects of regulation.

• Evaluate domestic and international operating events and trends and technology advances for security implications, including the cybersecurity threat environment, and enhance the regulatory framework and guidance as warranted.

• Assess the threat environment to maintain an adequate regulatory framework through cooperation and liaison with the intelligence and law enforcement communities, as well as with international partners.

• Evaluate cybersecurity requirements for fuel cycle facilities, spent fuel storage facilities, power and nonpower reactors, medical isotope production facilities, nuclear facilities being decommissioned, and other materials licensees.NRC Inspectors conduct seismic walkdowns at nuclear power plants 13 Security Strategy 2: Maintain eective, consistent, and risk-informed oversight of licensee performance with respect to meeting NRC security requirements.CONTRIBUTING ACTIVITIES

• Conduct eective and ecient inspections, as well as follow-up reviews, investigations, and enforcement as needed, to ensure that licensees meet the NRC's regulatory requirements, including those for force-on-force exercises.

• Conduct security performance evaluations at each applicable nuclear facility to assess licensee's protective strategy capabilities and to evaluate support functions provided by Federal, State, local, and Tribal law enforcement.

• Coordinate with Federal, State, local, and Tribal partners on an integrated response so that responding agencies can coordinate eectively with licensees during an incident.

• Emphasize the importance of developing and maintaining an eective nuclear safety culture in security activities for all NRC-regulated programs.Security Strategy 3: Maintain material security through the National Materials Program in partnership with the safety programs administered by the Agreement States.CONTRIBUTING ACTIVITIES

• Manage the use of information technology tools as part of the National Materials Program to improve the security and control of licensed and registered radioactive materials.

• Lead the interagency Radiation Source Protection and Security Task Force, mandated by the Energy Policy Act of 2005, to evaluate and provide recommendations relating to the security of radiation sources in the United States from potential terrorist threats, including acts of sabotage, theft, or use of a radiation source in a radiological dispersal device.* Cooperate with Agreement States in the development and implementation of new and revised regulations, standards, guidance, and policies to ensure the secure use of radioactive material on a nationwide basis.

• Promote eective communications and working relationships between the NRC and Agreement States to foster coordination in ensuring the secure use of radioactive material under the National Materials Program.Security Strategy 4: Proactively identify, assess, and address threats, vulnerabilities, and security risks.CONTRIBUTING ACTIVITIES

• Evaluate and apply, as appropriate, insights from operational experience reviews, international incidents, and lessons-learned programs in a timely manner.

• Address internal and external hazards to nuclear facilities and radioactive materials users, such as insider threats, changes in the design-basis threat, and cyberthreats, through appropriate regulatory processes and programs.

• Resolve generic security issues and ensure the implementation of appropriate actions within timeframes commensurate with their risk signicance.

UNITED STATES NUCLEAR REGULATORY COMMISSION 14

• Conduct threat assessments, determine the consequences of a range of threats, and protect nuclear facilities and radioactive materials consistent with safety, safeguards, and security requirements while using established protocols for sharing results.

• Enhance communication tools and key information technology investments for the dissemination of sensitive security information.

• Assess the threat environment and systems in place to appropriately inform the regulated community of emergent threats through cooperation and liaison with the intelligence and law enforcement communities, as well as with international partners.* Conduct anticipatory research to resolve security issues and conrm the security bases for the use of radioactive materials.

Security Strategy 5: Support U.S. national security interests and nuclear nonproliferation policy objectives consistent with the NRC's statutory mandate through cooperation with domestic and international partners.CONTRIBUTING ACTIVITIES

• Support and participate in international security activities, including International Atomic Energy Agency nonproliferation and guidance development initiatives, as well as bilateral physical security initiatives undertaken with countries that receive special nuclear material and equipment from the United States.

• Participate with Agreement States, the Conference of Radiation Control Program Directors, and the U.S. Department of Energy's National Nuclear Security Administration in identifying, locating, and recovering unwanted and uncontrolled radioactive materials.NRC Executive Director tour of Palo Verde Nuclear Generating Station STRATEGIC PLAN FISCAL YEARS 2018-2022 15 Security Strategy 6: Ensure material control and accounting for special nuclear materials.CONTRIBUTING ACTIVITIES

• Enhance material control and accounting regulations and guidance, as appropriate, to make them more risk-informed and performance-based.

• Develop and implement policies and programs for material control and accounting for NRC-regulated facilities.

• Conduct technical and regulatory reviews of the material control and accounting programs at NRC-regulated facilities.

• Apply International Atomic Energy Agency safeguards for NRC-regulated facilities.

• Support U.S. Government goals to secure radioactive materials internationally through bilateral agreements related to material control and accounting programs.

• Provide oversight and management of the U.S. National Accounting System for tracking transfers and possession of special nuclear material.Security Objective 2:

Ensure Protection of Classified and Controlled Unclassified Information.~e NRC must protect classied and sensitive unclassied information related to U.S. Government programs for the physical protection and safeguarding of nuclear materials or facilities to ensure that such information is protected against unauthorized disclosure.Security Strategy 7: Ensure that programs for the handling and control of classied and Controlled Unclassied Information are eectively implemented at the NRC and at licensed facilities.CONTRIBUTING ACTIVITIES

• Coordinate with licensees to reduce the risks from insiders with access to systems or information that could assist in malevolent activity.

• Train NRC sta on the appropriate handling of Classied Information and Controlled Unclassied Information consistent with current national policy.

• Apply the inspection and enforcement programs for classied information security.NRC Resident Inspector at Fermi Nuclear Power Plant 16 Oyster Creek Nuclear Power Station 17 APPENDIX A-EXTERNAL FACTORSMany external factors inuence the ability of the NRC to achieve its strategic goals and the associated strategic objectives. ~ese factors include industry operating experience, national priorities, a signicant incident at a domestic or non-U.S. nuclear facility, the security and threat environment, legislation, Federal court litigation, market forces, new technologies, and resource availability. ~is appendix discusses the most signicant of these factors. ~e NRC will strengthen its ability to respond promptly to shifts in agency priorities necessitated by these factors. ~e agency will also make eorts to inuence those factors that enable the achievement of its strategic objectives, where appropriate.Market ForcesMany market forces aect the nuclear industry. ~ese can aect the business operations of facility operators and license applicants subject to NRC jurisdiction. ~e NRC must be prepared with the regulatory infrastructure to continue to ensure the safety and security of operating facilities, support areas such as decommissioning of nuclear power plants, changes in exports and imports and licensing of new technologies and facilities.Globalization and Development of Nuclear TechnologyTechnological changes may aect the development of advanced nuclear systems and support infrastructure, resulting in impacts to the industry activities subject to NRC jurisdiction. Increased globalization of nuclear technology, including small modular reactors and advanced reactor designs, could increase competition in the nuclear supply chain and; therefore, could aect industry operating costs and increase the complexity of regulatory oversight due to the need to encompass foreign vendors. In addition to operating and regulatory impacts on the domestic nuclear industry, globalization increases the value of NRC's enhanced cooperation with international organizations for licensing activities, training, development and implementation of codes and standards, and conventions and treaties to ensure safe and secure use of nuclear technology.Incidents~e U.S. national security landscape will continue to be dynamic, encompassing a full range of threats and incidents, including the identication of and protection against, cyber and physical security threats. As a result, the regulatory approach needed to ensure the safety and security of nuclear materials and infrastructure may need to evolve in response to such incidents and threats.A signicant incident at a nuclear facility, whether caused by adversaries, natural disaster, or other factors, could prompt the agency to reassess its safety and security requirements and could impact the agency's focus. ~e NRC must anticipate and be prepared for an operational and regulatory response to threats and incidents involving nuclear infrastructure.

APPENDICES 18 An incident at a non-U.S. facility could also cause the NRC to reassess its safety and security requirements. Legislative and Executive Branch ActionsCongressional or Executive Branch actions may aect the NRC's regulatory responsibilities and strategies to comply with new direction would need to be developed.International Treaties and Conventions~e ratication by the U.S. of international instruments related to the safety of nuclear facilities or radioactive materials could potentially impose binding provisions on the Nation that can aect responsible governmental agencies, such as the NRC. Strategies to comply with new provisions would need to be developed.Workforce Dynamics~e agency's most valuable resource is its sta, and its ability to recruit, hire, train, motivate, and retain qualied sta in a competitive job market is critical to meeting its strategic goals. ~e agency must also maintain a high-performing, diverse, engaged, and exible workforce supported by a healthy organizational culture with a focus on safety, security, and continuous improvement to meet mission needs. ~is will require the NRC to better understand and meet the needs of its employees and become a more exible and agile organization.Information Technology AdvancesInformation technology developments in an increasingly mobile society will impact the agency's operations. NRC will need to take advantage of technology to enable an eective and ecient work environment. It is essential to maintain a reasonable balance between the need to maximize technological innovation to perform our mission and the secure use and protection of sensitive and proprietary information. ~e NRC needs to be aware of the heightened risk that sensitive information held by the agency or its licensees could be lost, misplaced, or intercepted and obtained by unauthorized users. ~e agency will need to develop and maintain a knowledgeable workforce capable of addressing both these technology and security challenges.

19 APPENDIX B-EVALUATIONS AND RESEARCHIn developing this strategic plan, the NRC used the following information from research and program evaluations to assess the ecacy of existing programs and to help shape the agency's objectives and strategies:

• ~e annual Abnormal Occurrence Report for Congress 1 documents unscheduled incidents or events, across all activities regulated by the NRC and by the Agreement States that the NRC determines to be signicant from the standpoint of public health or safety and of signicant stakeholder interest.

• ~e Reactor Oversight Process (ROP) 2 is a risk-informed, tiered approach for ensuring the safety of nuclear power plants. It includes inspecting licensee performance, assessing the safety signicance of identied performance deciencies, taking appropriate actions, and ensuring that licensees correct deciencies. ~e NRC uses the ROP Self-Assessment Program to evaluate the overall eectiveness of the ROP in meeting its pre-established goals and intended outcomes, in examining the ecacy of recent changes to the program, and by verifying agency adherence to program governance.

• ~e Accident Sequence Precursor (ASP) Program 3 systematically evaluates U.S. nuclear plant operating experience to identify, document, and rank those operating events that were most signicant in terms of the potential for inadequate core cooling and severe core damage. ~e results of the ASP Program are made publicly available as precursors are identied, and a summary report documents the results of the program on an annual basis. * ~e Integrated Materials Performance Evaluation Program conducts periodic reviews of NRC regional oces and Agreement States 4 by evaluating their performance in overseeing the safe and secure use of radioactive materials.

Review of this information conrmed that the NRC has a strong, solid, and mature regulatory program as evidenced by the achievement of the strategic outcomes in past strategic plans and historical licensee performance trends. ~e data demonstrate that licensees have made long-term improvements in nuclear safety and security. However, these reviews and signicant external events revealed areas for continued improvement and regulatory vigilance.

Planned program evaluations for FYs 2018-2022 appear in Appendix C.

1 ~e Abnormal Occurrence Reports are available at http://www.nrc.gov/reading-rm/doc-collections/nuregs/sta/sr0090/.

2 Information about the ROP can be found at https://www.nrc.gov/reactors/operating/oversight.

html.3 Information about the ASP Program can be found at: https://www.nrc.gov/docs/ML1715/

ML17153A364.html.

4 Information about the Integrated Materials Performance Evaluation Program and the associated reports are available at https://scp.nrc.gov/impeptools.html.

20 APPENDIX C-PLANNED PROGRAM REVIEWSAbnormal Occurrence (AO) ReportExpected Completion Date: Annually.Objective: To ensure that licensed activities are conducted safely, the AO Report summarizes the review of and response to industry operating experience.

Scope: ~e AO Report helps to identify safety and security deciencies and ensure that corrective actions are taken to prevent recurrence. ~rough the assessment, the U.S. Nuclear Regulatory Commission (NRC) and industry review and evaluate operating experience to identify safety concerns, and the NRC responds to risk-signicant issues through licensing reviews, inspections, and enhancements to its regulations.Accident Sequence Precursor (ASP) ProgramExpected Completion Date: Annually.Objective: ~e ASP Program systematically evaluates U.S. nuclear power plant operating experience to identify and document the operating events that involve potential precursors to inadequate core cooling and severe core damage and to inform potential lessons learned for use by NRC licensing, oversight, and generic issues programs.

Scope: ~e annual assessment (1) provides a comprehensive, risk-informed view of nuclear power plant operational experience and a measure for trending core damage risk at nuclear power plants, (2) provides a partial check on dominant core damage scenarios predicted by probabilistic risk assessments, (3) provides feedback for regulatory activities, and (4) helps the agency monitor performance against the safety goal in the agency's strategic plan.Agency Action Review Meeting (AARM)Expected Completion Date: Annually.Objective: ~rough the AARM, senior agency management reviews the operational safety performance of reactor and materials licensees as part of the NRC's Reactor Oversight Process (ROP), the Construction Reactor Oversight Process (cROP), and the materials licensee oversight process.

Scope: ~e AARM is an integral part of the evaluative process used by the agency to ensure the operational safety performance of nuclear licensees. It includes informational and conrmatory discussions of those plants and licensees that have signicant performance issues and safety or security concerns. During the AARM, senior managers evaluate the appropriateness of agency actions that have been taken. ~ey also identify any additional actions as applicable for (1) plants with signicant performance problems using data compiled during the end-of-cycle review and in the ROP Action Matrix, (2) plants under construction with signicant performance issues using data compiled during the construction end-of-cycle review and in the cROP Action Matrix, and (3) nuclear materials licensees, including fuel cycle facilities, with signicant safety or security issues.Construction Reactor Oversight Process (cROP)Expected Completion Date: Annually.Objective: ~e annual cROP self-assessment has three objectives: (1) to determine whether the ongoing program is eective in supporting the achievement of the performance goals and the agency's strategic goals, (2) to provide timely, objective information to inform program 21 planning and to develop recommended improvements to the cROP, and (3) to inform the Commission, NRC senior management, and the public of the results of the cROP self-assessment program, including any conclusions and resulting improvement actions.

Scope: ~e annual self-assessment includes (1) an evaluation of the construction inspection program; the construction signicance determination process; the closure verication program for inspections, tests, analyses, and acceptance criteria (ITAAC); the construction enforcement program; and the construction assessment program, (2) discussions and assessments of cROP communications and cROP resource expenditures, and (3) updates on recent issues associated with ITAAC and recent domestic and international construction experience being incorporated in the NRC's programs.Integrated Materials Performance Evaluation Program Reviews of NRC Regional Offices and Agreement StatesExpected Completion Date: Each Agreement State and NRC regional review is usually conducted every 4 years.Objective: Program evaluations determine whether the Agreement States and NRC regional oces are conducting programs that meet the objectives set out in Management Directive 5.6, "Integrated Materials Performance Evaluation Program (IMPEP)," dated February 26, 2004.

Scope: ~e evaluations include common criteria and criteria specic to the activities and responsibilities of the Agreement States and NRC regional oces. ~e sta factors any recommendations into future reviews of the materials programs.Operator Licensing ProgramExpected Completion Date: Annually.Objective: ~e annual evaluation of the Operator Licensing Program ensures that the program is eective and consistently implements the requirements in Title 10 of the Code of Federal Regulations (10 CFR) Part 55, "Operators' Licenses"; the guidance in NUREG-1021, "Operator Licensing Examination Standards for Power Reactors," Revision 11, issued February 2017; and other policy documents.

Scope: ~e annual evaluation of the Operator Licensing Program involves audits of one or two written examinations and operating tests in each NRC region to ensure consistent quality, level of diculty, administration, and grading. ~e evaluation also includes a detailed review of the operator-licensing function of one regional oce each year, so that each region is reviewed once every 4 years. During the other 3 years, the regions perform a similar self-assessment. ~e detailed reviews assess nine functional areas: (1) examination administrative requirements, (2) written examinations, (3) operating tests, (4) operator requalication program, (5) regional operations, (6) resource utilization, (7) regional and program oce communications, (8) regional dierences, and (9) cross-regional examination participation.Performance Management FrameworkExpected Completion Date: Quarterly and annually.Objective: To ensure that NRC is meeting its performance measures and program goals.

Scope: Annually, the agency reviews and updates its performance goals and indicators to ensure alignment with applicable Federal performance management requirements and guidance. ~is includes both externally reported performance indicators (e.g., in the 22 agency's Annual Performance Plan, Annual Performance Report, and Congressional Budget Justication). Additionally, each quarter, the agency conducts a review of performance data that span all areas of agency operations, to seek improvements in eectiveness and eciency.Reactor Oversight Process (ROP)Expected Completion Date: Annually.Objective: ~e annual ROP evaluation has two objectives: (1) to determine whether the ongoing program is eective in supporting the achievement of the performance goals and the agency's strategic goals, and (2) to provide timely, objective information to inform program planning and improvements.

Scope: ~e evaluation includes (1) the eciency of the agency's baseline inspection program, (2) the eectiveness of the signicance determination process, (3) the usefulness of current performance indicators for enhancing agency planning and response, and (4) the eectiveness of the assessment program in prescribing appropriate regulatory oversight to those plants with performance deciencies.Support Service EvaluationsExpected Completion Date: Varies on a periodic basis (e.g., quarterly, annually, and biennially) by area.Objective: Each evaluation will determine whether the NRC's support services (e.g., administrative services, human capital management, nancial management, contract management, and information technology and information management) are being delivered in an eective and ecient manner and whether internal and external customer needs and requirements are met.

Scope: Various evaluation tools (e.g., surveys, questionnaires, and data analysis) will determine (1) whether the program area delivers the promised results, and (2) the level of customer satisfaction.

23 APPENDIX D-GLOSSARYAgreement State: A State that has signed an agreement with the U.S. Nuclear Regulatory Commission (NRC), or its predecessor the Atomic Energy Commission, pursuant to § 274b. of the Atomic Energy Act of 1954, as amended, which allows the State to regulate certain uses of radioactive materials within the State.Byproduct Material: As dened by NRC regulations, includes any radioactive material (except enriched uranium or plutonium) produced by a nuclear reactor. It also includes the tailings or wastes produced by the extraction or concentration of uranium or thorium or the fabrication of fuel for nuclear reactors. Additionally, it is any material that has been made radioactive through the use of a particle accelerator or any discrete source of radium-226 used for a commercial, medical, or research activity. In addition, the NRC, in consultation with the U.S. Environmental Protection Agency, U.S. Department of Energy, U.S. Department of Homeland Security, and others, can designate as byproduct material any discrete source of naturally occurring radioactive material, other than source material, that it determines would pose a threat to public health and safety or the common defense and security of the United States.E~ectiveness: ~e degree to which the outcome of an activity, process, or program contributes to achieving the agency's strategic goals, objectives, or strategies.

Eciency: ~e degree to which the resources needed to produce an outcome can be minimized without reducing the outcome's eectiveness.High-Level Radioactive Waste (HLW): ~e highly radioactive material produced as byproducts of fuel reprocessing or of the reactions that occur inside nuclear reactors. HLW includes the following:

• irradiated spent nuclear fuel discharged from commercial nuclear power reactors.

• the highly radioactive liquid and solid materials resulting from the reprocessing of spent nuclear fuel that contain ssion products in sucient concentrations (this includes some reprocessed HLW from defense activities and a small quantity of reprocessed commercial HLW).* other highly radioactive materials that the Commission determines require permanent isolation.National Materials Program:~e broad collective eort within which both the NRC and the Agreement States function in carrying out their respective regulatory programs for radioactive material.Nuclear Safety Culture:

5 As it applies to the regulated community, the core values and behaviors resulting from a collective commitment by leaders and individuals to emphasize safety and security over competing goals to ensure the protection of people and the environment.

5 ~e NRC's Safety Culture Policy Statement, published in Volume 76 of the Federal Register, page 34773 (76 FR 34773), on June 14, 2011, is available at http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14656.pdf.

24 Performance-Based Regulation: A regulatory approach that focuses on desired, measurable outcomes rather than on prescriptive processes, techniques, or procedures. Performance-based regulation leads to dened results without specic direction on how those results are to be obtained. At the NRC, performance-based regulatory actions focus on identifying performance measures that ensure an adequate safety margin and oer incentives for licensees to improve safety without formal regulatory intervention by the agency.Radioactive Material: As used in this strategic plan, refers to any substance that produces ionizing radiation and is regulated by the NRC. ~e NRC regulates all civilian uses of material producing ionizing radiation, including the use of such substances for nuclear power generation, all aspects of the nuclear fuel cycle, medical and government uses, and research and industrial applications.Regulatory Framework: ~e interrelated elements that form the basis for the NRC's oversight of the use of radioactive materials, including (1) the NRC's mandate from Congress in the form of enabling legislation, (2) the NRC's licenses, orders, and regulations in Title 10 of the Code of Federal Regulations (10 CFR), (3) regulatory guides, review plans, and other documents that clarify and guide the application of NRC requirements and amplify agency regulations, (4) the licensing and inspection procedures used by NRC employees, and (5) the agency's enforcement guidance.Risk Assessment: A systematic method for addressing three questions as they relate to the performance of a particular system:

1. What can go wrong?

2. How likely is it?

3. What are the consequences?Risk-Informed: An approach to decisionmaking that considers risk insights along with other factors such as engineering judgment, safety limits, and redundant or diverse safety systems. Such an approach is used to establish requirements that better focus licensee and regulatory attention on design and operational issues and ensure that such attention is commensurate with the importance of those issues to public health and safety.Risk-Informed Decisionmaking: An approach to regulatory decisionmaking that considers insights from probabilistic risk assessment along with other engineering insights.Risk-Informed Regulation: An approach to regulation taken by the NRC that incorporates an assessment of safety signicance or relative risk. ~is approach ensures that the regulatory burden imposed by an individual regulation or process is appropriate to its importance in protecting public health and safety and the environment.Risk Insights: ~e results and ndings that come from risk assessments. ~ey may include improved understanding of the likelihood of possible outcomes, sensitivity of the results to 25 key assumptions, relative importance of the various system components and their potential interactions, and the areas and magnitude of the uncertainties.Source Material: Uranium or thorium, or any combination thereof, in any physical or chemical form, or ores which contain by weight, 1/20 of 1 percent (0.05 percent) or more of uranium, thorium, or any combination thereof. Source material does not include special nuclear material.Special Nuclear Material: Plutonium, uranium 233, or uranium enriched in the isotope uranium 233 or in the isotope uranium 235; any other material which the Commission, pursuant to the provisions of section 51 of the Atomic Energy Act of 1954, as amended, determines to be special nuclear material; or any material articially enriched by any of the foregoing (but does not include source material).Spent Nuclear Fuel: Nuclear reactor fuel that has been used to the extent that it can no longer eectively sustain a chain reaction.Stakeholders: Members of the public; public interest groups, Federal, State, Tribal, and local agencies; non-governmental organizations; and license applicants and licensees with a specic interest in a given topic.Standards: Technical requirements and recommended practices for any device, apparatus, system, or phenomenon associated with a specic eld.

Chairman Svinicki at the 61st International Atomic Energy Agency General Conference in Vienna, Austria BIBLIOGRAPHIC DATA SHEET (See instructions on the reverse)

NRC FORM 335 (12-2010)NRCMD 3.7 U.S. NUCLEAR REGULATORY COMMISSION

1. REPORT NUMBER (Assigned by NRC, Add Vol., Supp., Rev., and Addendum Numbers, if any.)

3. DATE REPORT PUBLISHED MONTH YEAR 4. FIN OR GRANT NUMBER

2. TITLE AND SUBTITLE

5. AUTHOR(S)

6. TYPE OF REPORT

7. PERIOD COVERED (Inclusive Dates)

8. PERFORMING ORGANIZATION - NAME AND ADDRESS (If NRC, provide Division, Office or Region, U. S. Nuclear Regulatory Commissio n, and mailing address; if contractor, provide name and mailing address.)

9. SPONSORING ORGANIZATION - NAME AND ADDRESS (If NRC, type "Same as above", if contractor, provide NRC Division, Office or Reg ion, U. S. Nuclear Regulatory

Commission, and mailing address.)

10. SUPPLEMENTARY NOTES

11. ABSTRACT (200 words or less)

12. KEY WORDS/DESCRIPTORS (List words or phrases that will assist researchers in locating the report.)

14. SECURITY CLASSIFICATION

13. AVAILABILITY STATEMENT unlimited (This Page) unclassified (This Report) unclassified

15. NUMBER OF PAGES

16. PRICE NRC FORM 335 (12-2010)

NUREG-1614, Vol.7 U.S. Nuclear Regulatory Commission Strategic Plan Fiscal Years 2018-2022 February 2018 N/A June Cai, Robert Lewis, John Segala, et al.Triennial Fiscal Years 2018-2022 Office of the Executive Director for Operations U. S. Nuclear Regulatory Commission Washington, DC 20555-0001 Office of the Executive Director for Operations U. S. Nuclear Regulatory Commission Washington, DC 20555-0001 The Fiscal Years 2018-2022 Strategic Plan describes the NRC's mission and establishes the Commission's strategic direction by defining the strategic goals and outcomes the agency intends to pursue.Strategic Plan Strategic Goals Fiscal Years 2018-2022 Mission Vision Principles of Good Regulation Objectives United States Nuclear Regulatory CommissionNUREG-1614, Vol. 7 February 2018