ML18226A118

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NUREG-1350, Vol. 30, Information Digest 2018-2019, Section 1 NRC
ML18226A118
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Issue date: 08/14/2018
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NUREG-1350 V30
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NRC 1

2About the NRC The U.S. Nuclear Regulatory Commission (NRC) is an independent agency created by Congress. The NRC regulates the Nation's civilian commercial, industrial, academic, and medical uses of nuclear materials.The NRC's scope of responsibility includes regulating commercial nuclear power plants; research and test reactors; nuclear fuel cycle facilities; medical, academic, and industrial uses of radioactive materials; the decommissioning of licensed facilities and sites; and the transport, storage, and disposal of radioactive materials and wastes. The agency issues licenses for and oversees the use of radioactive materials and certi~es nuclear reactor designs, spent fuel storage casks and transportation packages. The agency also licenses the import and export of radioactive materials and works closely with its international counterparts to enhance nuclear safety and security worldwide. To ful~ll its responsibilities, the NRC performs ~ve principal regulatory functions, as seen in Figure 1. How We Regulate. Mission StatementThe 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 in performing our mission.To be successful, the NRC must not only excel in carrying out its mission but must do so in a manner that engenders the trust of the public and stakeholders. The Principles of Good Regulation-independence, openness, ef~ciency, clarity, and reliability-guide the agency. They affect how the NRC reaches decisions on safety, security, and the environment; how the NRC performs administrative tasks; and how its employees interact with each other as well as external stakeholders. By adhering to these principles and values, the NRC maintains its regulatory competence, conveys that competence to stakeholders, and promotes trust in the agency. The agency puts these principles into practice with effective, realistic, and timely actions.

3Figure 1. How We Regulate Regulations and Guidance

  • Rulemaking* Guidance Development* Generic Communications* Standards Development Figure 3. How We Regulate Oversight* Inspection* Assessment of Performance* Enforcement
  • Allegations
  • Investigations* Incident Response Licensing, Decommissioning, and Certi~cation
  • Licensing
  • Decommissioning
  • Certi~cation Support for Decisions* Research Activities* Risk Assessment* Performance Assessment* Advisory Committee Activities
  • Adjudication Operational Experience* Events Assessment* Generic Issues 1 5 4 2 3 Source: U.S. Nuclear Regulatory Commission
1. Developing regulations and guidance for applicants and licensees.
2. Licensing or certifying applicants to use nuclear materials, operate nuclear facilities, and decommission facilities.
3. Inspecting and assessing licensee operations and facilities to ensure licensees comply with NRC requirements, responding to incidents, investigating allegations of wrongdoing, and taking appropriate followup or enforcement actions when necessary.
4. Evaluating operational experience of licensed facilities and activities.
5. Conducting research, holding hearings, and obtaining independent reviews to support regulatory decisions.

Independence:

Nothing but the highest possible standards of ethical performance and professionalism should in~uence regulation.

Openness:

Nuclear regulation is the public's business, and it must be transacted publicly and candidly.

Ef~ciency:

The highest technical and managerial competence is required and must be a constant agency goal.

Clarity: Regulations should be coherent, logical, and practical. Agency positions should be readily understood and easily applied.

Reliability:

Regulations should be based on the best available knowledge from research and operational experience.Principles of Good Regulation 4Strategic Goals Safety: Ensure the safe use of radioactive materials.

Security: Ensure the secure use of radioactive materials.Statutory Authority The Energy Reorganization Act of 1974 created the NRC from a portion of the former Atomic Energy Commission. The new agency was to independently oversee-but not promote-the commercial nuclear industry so the United States could bene~t from the use of radioactive materials while also protecting people and the environment. The agency began operations on January 18, 1975. The NRC's regulations can be found in Title 10, "Energy,"

of the Code of Federal Regulations (10 CFR). The principal statutory authorities that govern the NRC's work can be found on the NRC's Web site (see the Web Link Index for more information).

The NRC, its licensees (those licensed by the NRC to use radioactive materials), and the Agreement States (States that assume regulatory authority over certain nuclear materials) share responsibility for protecting public health and safety and the environment. Federal regulations and the NRC's regulatory program play a key role. Ultimately, however, the licensees bear the primary responsibility for safely handling and using radioactive materials.

Major ActivitiesThe NRC ful~lls its responsibilities by doing the following:

  • licensing the design, construction, operation, and decommissioning of commercial nuclear power plants and other nuclear facilities
  • licensing the possession, use, processing, handling, exporting, and importing of nuclear materials
  • licensing the siting, design, construction, operation, and closure of low-level radioactive waste (LLW) disposal sites in States under NRC jurisdiction
  • certifying the design, construction, and operation of commercial transportation casks
  • licensing the design, construction, and operation of spent fuel storage casks and interim storage facilities for spent fuel and high-level radioactive waste See the complete list of the NRC's authorizing legislation in Appendix W.

5* licensing nuclear reactor operators

  • licensing uranium enrichment facilities
  • conducting research to develop regulations and to anticipate potential reactor and other nuclear facility safety issues
  • collecting, analyzing, and disseminating information about the safe operation of commercial nuclear power reactors and certain nonreactor activities
  • issuing safety and security regulations, policies, goals, and orders that govern nuclear activities
  • interacting with other Federal agencies, foreign governments, and international organizations on safety and security issues
  • conducting criminal, civil, and administrative investigations of alleged violations by NRC licensees
  • inspecting NRC licensees to ensure adequate performance of safety and security programs
  • enforcing NRC regulations and the conditions of NRC licenses and imposing, when necessary, civil sanctions and penalties
  • conducting public hearings on nuclear and radiological safety and security and on environmental concerns
  • implementing international legal commitments made by the U.S. Government in treaties and conventions
  • developing effective working relationships with State and Tribal governments
  • maintaining an effective incident response program and overseeing required emergency response activities at NRC-licensed facilities
  • implementing lessons learned from the March 2011 nuclear accident in Japan to enhance safety at U.S. commercial nuclear facilities
  • involving the public in the regulatory process through meetings, conferences, and workshops; providing opportunities for commenting on proposed new regulations, petitions, guidance documents, and technical reports; providing ways to report safety concerns; and providing documents under the Freedom of Information Act and through the NRC's Web site (see Figure 2. A Typical Rulemaking Process)
  • engaging and informing the public through social media platforms and by providing interactive, high-value data sets (data in a form that allows members of the public to search, ~lter, or repackage information)

6 PUBLIC INVOLVEMENT/

STAKEHOLDER INPUT

  • Advance notice of proposed rulemaking
  • Draft regulatory basis
  • Preliminary proposed rule language
  • Public meeting COMMISSION REVIEW AND APPROVAL OF DRAFT PROPOSED RULE
  • Commission issues staff requirements memorandum
  • Staff resolves Commission comments STAFF EVALUATES PUBLIC COMMENTS COMMISSION REVIEW AND APPROVAL OF DRAFT FINAL RULE
  • Commission issues staff requirements memorandum
  • Staff resolves Commission comments COMMISSION REVIEW AND APPROVAL OF RULEMAKING PLAN COMPLIANCE DEADLINE PUBLISH FINAL RULE* Final environmental assessment
  • Final regulatory analysis
  • Final guidance PUBLISH PROPOSED RULE FOR COMMENT
  • Draft environmental assessment
  • Draft regulatory analysis (cost-bene~t)
  • Draft guidance
  • Public meeting STAKEHOLDER INPUT (for Materials-related rulemaking)
  • Agreement States
  • Tribes A TYPICAL RULEMAKING PROCESS RULEMAKING TRIGGERS
  • Congress/Executive order
  • Commission/EDO direction
  • Staff-identi~ed need
  • Petition for rulemaking FINALIZE REGULATORY BASIS RULE RULE TAKES EFFECTSTARTFigure 2. A Typical Rulemaking ProcessThe process of developing regulations is called rulemaking. The NRC initiates a new rule or a change to an existing rule when there is a need to do so to protect public health and safety. Additionally, any member of the public may petition the NRC to develop, change, or rescind a rule. The Commission directs the staff to begin work on a new rulemaking activity through approval of a staff rulemaking plan. Proposed Rules NRC regulations (rules) provide licensees with requirements that, if met, will result in the adequate protection of workers, the public, and the environment.

The impetus for a proposed rule could be a direction from the Commission to the NRC staff or a petition for rulemaking submitted by a member of the public.

Each proposed rule that involves signi~cant matters of policy is sent to the NRC Commission for approval.

7 If approved, the proposed rule is published in the Federal Register and usually contains the following items:

1. the background information about the proposed rule
2. an address for submitting comments
3. the date by which comments should be received in order to ensure consideration by the staff
4. an explanation indicating why the rule change is thought to be needed
5. the proposed text to be changed Usually, the public is given 75 to 90 days to provide written comments. Not all rules are issued for public comment. Generally, those excepted from public comment concern agency organization, procedure, or practice; are interpretive rules (e.g., guidance interpreting current regulations); or are rules for which delaying their publication to receive comments would be contrary to the public interest and impracticable.

Final Rules Once the public comment period has closed, the staff analyzes the comments, makes any needed changes, and prepares a draft ~nal rule for Commission approval. Once approved, the ~nal rule is published in the Federal Register and usually becomes effective 30 days later.

Direct Final Rulemakings When appropriate, the NRC can shorten the traditional rulemaking process by using a direct ~nal rulemaking process. This process is only used for regulatory changes that the NRC believes are noncontroversial.

Advance Notice of Proposed Rulemakings For especially important or complex rules, the NRC may publish an advance notice of proposed rulemaking and conduct one or more public meetings. The notice requests public comment well in advance of the proposed rulemaking stage. The notice describes the need for the proposed action but discusses only broad concepts.

Rulemaking InformationThe public can access a centralized, Web-based tracking and reporting system, which provides real-time updates on all NRC rulemaking activities on the NRC Web site at https://www.nrc.gov/about-nrc/regulatory/

rulemaking/rules-petitions.html.

8Organizations and FunctionsThe NRC's Commission has ~ve members nominated by the President of the United States and con~rmed by the U.S. Senate for 5-year terms. The members' terms are staggered so one Commissioner's term expires on June 30 of each year. The President designates one member to serve as Chairman. The Chairman is the principal executive of~cer and spokesperson of the agency. No more than three Commissioners can belong to the same political party. The Commission as a whole formulates policies and regulations governing the safety and security of nuclear reactors and materials, issues orders to licensees, and adjudicates legal matters brought before it. The Executive Director for Operations carries out the policies and decisions of the Commission and directs the activities of the program and regional of~ces (see Figure 3. NRC Organizational Chart).Commissioner Term Expiration*

The NRC is headquartered in Rockville, MD, and has four regional of~ces. They are located in King of Prussia, PA; Atlanta, GA; Lisle, IL; and Arlington, TX. The NRC's corporate of~ces provide centrally managed activities necessary for agency programs to operate and achieve goals. Corporate support is needed for a succesful regulatory program. The NRC has the following major program of~ces:

The Of~ce of Nuclear Reactor Regulation handles all licensing and inspection activities for existing nuclear power reactors and research and test reactors.

The Of~ce of New Reactors oversees the design, siting, licensing, and construction of new commercial nuclear power reactors.

The Of~ce of Nuclear Regulatory Research provides independent expertise and information for making timely regulatory judgments, anticipating potentially signi~cant safety problems, and resolving safety issues. It helps develop technical regulations and standards and collects, analyzes, and disseminates information about the safety of commercial nuclear power plants and certain nuclear materials activities.* Commissioners listed by seniority.

Stephen G. Burns June 30, 2019 Annie Caputo June 30, 2021 David A. Wright June 30, 2020 Kristine L. Svinicki Chairman June 30, 2022 Jeff Baran June 30, 2023 9Figure 3. NRC Organizational ChartExecutive Director for OperationsDirector, Of~ce ofNuclear Regulatory ResearchDirector, Of~ce of Nuclear MaterialSafety and SafeguardsDirector, Of~ce ofAdministrationDirector, Of~ce ofEnforcementDirector, Of~ce of Investigations Chief Human Capital Of~cerRegional Administrator Region IRegional Administrator Region IIRegional Administrator Region IIIRegional Administrator Region IVDirector, Of~ce of Small Business and Civil RightsChief Information Of~cer Assistant for OperationsDirector, Of~ce of New ReactorsDirector, Of~ce of Nuclear Reactor RegulationDirector, Of~ce of Nuclear Security and Incident ResponseDirector, Of~ce ofInternational ProgramsDeputy Executive Director for Reactor andPreparedness ProgramsDeputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital ProgramsSecretary of the CommissionGeneral CounselDirector, Of~ce ofCongressional AffairsDirector, Office of Public AffairsExecutive Director,Advisory Committee on Reactor SafeguardsDirector, Office of Commission Appellate AdjudicationInspector General Commissioner Commissioner Chairman Commissioner CommissionerChief Administrative Judge (Chairman), Atomic Safety and Licensing Board Panel The CommissionNote: For the most recent information, go to the NRC Organization Chart at https://www.nrc.gov/about-nrc/organization.html .Chief Financial Of~cer 10 The Of~ce of Nuclear Material Safety and Safeguards regulates the production of commercial nuclear fuel; uranium-recovery activities; decommissioning of nuclear facilities; and the use of radioactive materials in medical, industrial, academic, and commercial applications. It regulates safe storage, transportation, and disposal of low- and high-level radioactive waste and spent nuclear fuel. The of~ce also works with other Federal agencies, States, and Tribal and local governments on regulatory matters.

The Of~ce of Nuclear Security and Incident Response initiates and oversees the implementation of agency security policy for nuclear facilities and users of radioactive material and coordinates with other Federal agencies and international organizations on security issues. This of~ce also maintains the NRC's emergency preparedness and incident response programs.

The NRC regional of~ces conduct inspections and investigations, take enforcement actions (in coordination with the Of~ce of Enforcement), and maintain incident response programs for nuclear reactors, fuel facilities, and materials licensees. In addition, the regional of~ces carry out licensing for certain materials licensees (see Figure 4. NRC Regions).

The advisory committees, including the Advisory Committee on Reactor Safeguards (ACRS) and the Advisory Committee on the Medical Uses of Isotopes (ACMUI), are independent of the NRC staff. The ACRS reports directly to the Commission, which appoints its members. The advisory committees are structured to provide a forum where experts representing many technical perspectives can provide independent advice that is factored into the Commission's decision-making process. Most committee meetings are open to the public, and any member of the public may request an opportunity to make an oral statement during committee meetings.

The NRC Headquarters complex is located in Rockville, MD.

11Figure 4. NRC Regions Nuclear Power Plants

  • Each regional of~ce oversees the plants in its region-except for the Callaway plant in Missouri, which Region IV oversees.

Materials Licensees

  • Region I oversees licensees and Federal facilities located in Region I and Region II.
  • Region III oversees licensees and Federal facilities located in Region III.
  • Region IV oversees licensees and Federal facilities located in Region IV.Nuclear Fuel Processing Facilities
  • Region II oversees all the fuel processing facilities in all regions.
  • Region II also handles all construction inspection activities for new nuclear power plants and fuel cycle facilities in all regions.

MN WI IA IL OH MI IN CA NV OR WA ID UT WY MT CO NM AZ TX OK KS NE SD ND AR LA AK HI MS AL TN KY VA WV GA FL SC NC MO PA NY ME V T CT NH MD DC DE NJ RI MA Region II Region I Region III Region IV PR USVITitle of Map goes here.

Headquarters (1)

Regional Of~ce (4)Technical Training Center (1)

Region IV oversees a nuclear plant in Missouri 12Fiscal Year 2018 Budget For ~scal year (FY) 2018 (October 1, 2017, through September 30, 2018), the NRC's budget is $922 million. The NRC has 3,186 full-time equivalents (FTE) in FY 2018; this includes the Of~ce of the Inspector General (see Figure 5. NRC Total Authority, FYs 2008-2018). The Of~ce of the Inspector General received its own appropriation of $12.9 million. This amount is included in the total NRC budget. The breakdown of the budget is shown in Figure 6. NRC FY 2018 Distribution of Enacted Budget Authority; Recovery of NRC Budget. By law, the NRC must recover, through fees billed to licensees, approximately 90 percent of its budget authority, less the amounts appropriated from general funds for Waste-Incidental-to-Reprocessing activities, Generic Homeland Security activities, Defense Nuclear Facilities Safety Board activities, and Advanced Reactors Regulatory Readiness activities. The NRC collects fees each year by September 30 and transfers them to the U.S. Treasury. The agency estimates that it will recover $790.3 million in fees in FY 2018.Figure 5. NRC Total Authority, FYs 2008-2018 Note: Dollars are rounded to the nearest million.

Full-Time Equivalent (FTE)

Carryover Authority Dollars in Millions Total Authority Dollars in Millions 08 3,707 926 09 3,848 1,046 10 3,961 1,067 11 3,992 1,054 14 3,815 1,056 15 3,779 1,015 34 23 15 16 3,595 1,002 17 3,396 13 3,931 986 12 13 3,953 1,038 917 18 3,186 922 13Figure 6.

NRC FY 2018 Distribution of Enacted Budget Authority; Recovery of NRC Budget Nuclear Reactor Safety Program:

75% ($689.6 Million)Nuclear Reactor Safety Program:

77% (2,430 FTE)Headquarters 74%(2,372 FTE)Regions 26% (814 FTE)Nuclear Materials Fees: $84.5 MillionReactor Fees:

$705.8 MillionBudget Not Recovered By Fees: $131.6 MillionEstimated Fees To Be Recovered FY 2018:

$790.3 Million*Nuclear Materials and Waste Safety Program:

22% ($204.6 Million)Integrated University Program:

2% ($15 Million)Nuclear Materials and Waste Safety Program:

21% (693 FTE)Inspector General:

1% ($12.9 Million)Inspector General:

2% (63 FTE)* Recovered fees do not include the use of prior year carryover where fees were previously collected. Notes: The NRC incorporates corporate and administrative costs proportionately within programs.

Numbers are rounded. Enacted budget for FY 2018. Total Budget: $922 MillionTotal FTE: 3,186Recovery of Budget FY 2018