ML20082J656
| ML20082J656 | |
| Person / Time | |
|---|---|
| Issue date: | 02/28/1995 |
| From: | NRC OFFICE OF THE CONTROLLER |
| To: | |
| References | |
| NUREG-1100, NUREG-1100-V11, NUDOCS 9504180341 | |
| Download: ML20082J656 (201) | |
Text
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Volume 11 l
BUDGET i
ESTIMATES 4
l FISCAL YEARS l
1996-1997 l
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February 1995 i
U.S. Nuclear Regulatory Commission i
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l AVAILABILITY NOTICE Availability of Reference Materials Cited in NRC Publications Most documents cited in NRC publications will be available from one of the following sources:
1.
The NRC Public Document Room 2120 L Street, NW., Lower Level, Washington, DC 20555-0001 2.
The Superintendent of Documents. U.S. Government Printing Office, P. O. Box 37082.
Washington, DC 20402-9328 3.
The National Technical information Service, Springfield VA 22161-0002 Although the listing that follows represents the majority of documents cited in NRC publica-tions, it is not intended to be exhaustive.
Referenced documents available for inspection and copying for a fee from the NRC Public Document Room include NRC correspondence and internal NRC memoranda; NRC bulletins, circulars, information notices, inspection and investigation notices; licensee event reports; vendor reports and correspondence; Commission papers; and applicant and licensee docu-monts and correspondence.
The following documents in the NUREG series are available for purchase from the Government Printing Office: formal NRC staff and contractor reports, NRC-sponsored conference pro-coedings, international agreement reports, grantee reports, and NRC booklets and bro-chures. Also available are regulatory guides, NRC regulations in the Code o/ Federal Regula-tions, and Nuclear Regulatory Commission Issuances.
Documents available from the National Technical Information Service include NUREG-series reports and technical reports prepared by other Federal agencies and reports prepared by th6 Atomic Energy Commission, forerunner agency to the Nuclear Regulatory Commission.
Documents available from public and special technical libraries include all open literature items, such as books, journal articles, and transactions. Federal Register notices, Federal and State legislation, and congressional reports can usually be obtained from these libraries.
Documents such as theses, dissertations, foreign reports and translations, and non-NRC con-forence proceedings are available for purchase from the organization sponsoring the publica-tion cited.
Single copies of NRC draft reports are available free, to the extent of supply, upon written request to the Office of Administration, Printing and Mail Services Section U.S. Nuclear Regu-latory Commission, Washington, DC 20555-0001.
Copies of industry codes and standards used in a substantive manner in the NRC regulatory process are maintained at the NRC Library, Two White Flint North,11545 Rockville Pike, Rock-ville, MD 20852-2738, for 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 the American National Standards Institute,1430 Broadway, New York, NY 10018-3308.
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BUDGET ESTIMATES i
FISCAL YEARS l
1996-1997 i
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SUMMARY
OF CONTENTS F
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SUMMARY
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B u d get S t..i m a ry.............................................
2 Program Goals and Performance Measures.........................
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REACTOR PROGRAM 36 1
Reactor Regulation Cost Center...................................
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j Standard Reactor Designs Cost Center............................
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Test and Research Reactors Cost Center...........
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NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM..........
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Fuel Facilities Cost Center......................................
102 Materials Users Cost Center....................................
105 Low-Level Waste and Decommissioning Cost Center..................
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0 her Nuclear Materials and Waste Activities Cost Center.............
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High-Level Waste Cost Center...................................
127 i
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MANAGEMENT AND SUPPORT PROGRAM.......................
140 Policy and Direction Cost Center'.................................
143 Resource and Administration Cost Center..........................
147 Special Technical Programs Cost Center..........................
160 5.
INSPECTOR GENERAL PROGRAM.............................
166 i
6.
SPECIAL SUPPORTING TABLES...............................
173 4
1 Legislative Program Projections.....................
174 l
Schedule of Consulting Services by Program.......
175 Report on NRC's Drug Testing Activities......
176 l
Report to Congress on Metrication 178 j-OIG Report on Public Law 101-121, Anti. Lobbying Act................
179 l
Summary of Reimbursable Work Agreements........................
181 1
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1 DETAILED TABLE OF CONTENTS Page j
1.
S U M MA RY.................................................
1 I n t ro d u ctio n................................................
1
- Bu dge t Summary l.............................................
2 Total NRC Budget Authority by Appropriations 2
Appropriations and Financial Summary..........................
3 Proposed FY 1996 Appropriations Legislation.....................
4 Summary of F,udget Authority by Function 15 Summary of Staffing by Program and by Cost Center................
16 Summary of Budget Authority by Program and by Cost Center.........
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Changes in Budget Authority by Program and by Cost Center.........
18 Explanation of Resource Changes for Current Services..............
19 Explanation of Resource Changes for Program Requirements.........
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Distribution of NRC Budget Authority by Program.................
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Distribution of NRC Staff by Program...........................
23 Program Goals and Performance Measures.......................
24 Principles of Good Financial Management......................
24 Pr ogram G o als..........................................
26 Performance Measures....................................
28 Reactor Program......................................
28 Licensee Performance Indicators for Operating Nuclear Power Plants 29 Direct Inspection Activity.......................
30 Licensing Actions..........................
31 Nuclear Materials and Nuclear Waste Program...............
32 Transportation Incidents 32 Materials Licensing Reviews 33 Materials Inspections.................................
34 2.
REACTO R PROG RAM........................................
36 Total Budget Authority by Fnaction and by Cost Center 36 Full-Time Equivalent Employment by Cost Center..................
36 Changes in Budget Authority..................................
36 Explanation of Resource Changes for Current Services.................
37 Explanation of Resource Changes for Program Requirements 37 Reactor Regulation.........................................
37 Standard Reactor Designs....................................
37 Test and Research Reactors..................................
37 iv
Description of Program '........................................
37 Reactor Regulation Cost Center..................................
40 Budget Authority by Function and by Activity.....................
40 Full. Time Equivalent Employment by Activity:...................
41 Reactor Inspection ;..........................................
42 Reactor Oversight......................... ^..................
45 Reactor and Site Licensing....................................
52
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Reactor Aging and Renewal................................. '..
53 y
Reactor Safety Assessment and Regulation Development...............
59 Independent Analysis of Operational Experience.....................
72 Technical Training and Qualification........ a...................
78 Investigations, Enfoncement, and Legal Advice......................
80.
i Independent Review.........................................
- 83 ;
General Support..........................................;
86 Standard Reactor Designs Cost Center............................
87-l Budget Authority by Function and by Activity......................
87 Full-Time Equivalent Employment by Activity...................
87 Standard Reactor Design Cenification............................
88.
Standard Reactor Safety Assessment 89 i
Legal A dvice..............................................
92' Independsnt Review................... =............ ;.........
_ 92 General Suppon............................................
93 Test and Research Reactors Cost Center...........................
94-Budget Authority by Function.................................
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Full-Time Equivalent Employment............................
94 3.
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM..........
98 Total Budget Authority by Function and by Cost Centu...............
98 3
Full-Time Equivalent Employment by Cost Cente....................
98 Changes in Budget Authority....................................
99 Explanation of Resource Changes for Current Services.................
99 Explanation of Resource Changes for Program Requirements...........
99 Fu el Facilities................................ '..............
99 Materials Users............................................
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Low-Level Waste and Decommissioning.........................
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Other Nuclear Materials and Waste Activities.....................
100 High-level Waste..........................................
100 Description of Program........................................
.101 Fuel Facilities Cost Center..................................... '102 Budget Authority by Function and by Activity..................... :102 Full-Time Equivalent Employment by Activity..................,
102 Fuel Fabricators Oversight and Inspections.........................
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CONTENTS (continued)
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Uranium Enrichment Oversight and Inspections.....................
104 General Support............................................
104 Materials Users Cost Center....................................
105 Budget Authority by Function and by Activity.....................
105 Full-Time Equivalent Employment by Activity...................
105 Transportation and Spent Fuel Storage Licensing and Inspection.........
106 Licensing and Inspecting Nuclear Materials Users....................
107 Nuclear Materials Research and Regulation Development 108 General Support............................................
110 Low-Level Waste and Decommissioning Cost Center..................
111 Budget Authority by Function and by Activity.....................
111 Full-Time Equivalent Employment by Activity...................
111 Low-Level \\Yaste Oversight and Inspections........................
112 Decommissioning...................................
115 Uranium Recovery..........................................
118 General Support............................................
119
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Other Nuclear Materials and Waste Activities Cost Center.............
120 Budget Authority by Function and by Activity.....................
120 Full-Time Equivalent Empicymni by Activity...................
120 Independent Analysis of Operat%al Exp3rience.....................
121 Technical Training and Quaupcation..
123 Adjudicatcry Reviews.............
123 Investigations, Enforcement, and Legal Advice......................
124 Event Evaluation...........................................
126 High Level Waste Cost Center...................................
127 Budget Authority by Function and by Activity.....................
127 Full-Time Equivalent Employment by Activity...................
127 High-Level TYaste Licensing....................
128 High Level 1Yaste Research c.nd Regulation Development..............
131 Other High. Level \\Yaste Activities...............................
135 4.
MANAGEMENT AND SUPPORT PROGRAM.......................
140 Total Budget Authority by Function and by Cost Center 140 t
Full-Time Equivalent Employment by Cost Center..................
.140 Changes in Budget Authority....................................
140 Explanation of Resource Changes for Current Services.................
141 Explanation of Resource Changes for Program Requirements 141 Resource and Administration 141 vi
i CONTENTS (continued) l l
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Special Technical Programs.............................
141 Description of Program..................................
142 Policy and Direction Cost Center.................................
143 i
Budget Authority by Function and by Activity.....................
143 Full-Time Equivalent Employment by Activity................
'143 Com m ission...............................................
144 Commission Appellate Adjudication..........................
144 l
Congressional Affairs........................................
144 General Counsel...........................................
145 Pu blic Affairs..............................................
145 Secretariat................................................
146 Executive Director for Operations................................
146 Resource and Administration Cost Center........................
147 Budget Authority by Function and by Activity.....................
147 Full-Time Equivalent Employment by Activity...................
147 Controller................................................
148 Administration.............................................
150 Information Resources hianagement 153 Personn el.................................................
156 Training.................................................
157 Small Business and Civil Rights.................................
158 Permanent Change of Station..................................
159 Special Technical Programs Cost Center...........................
160 Budget Authority by Function and by Activity.....................
160 Full-Time Equivalent Employment by Activity...................
160 International Programs.......................................
160 State Programs.............................................
162 DOE /DOD Projects.........................................
163 Educational Grants.........................................
163 Small Business Innovative Research (SBIR)........................
164 Nuclear Materials Management and Safeguards System (NMMSS)........
164 5.
INSPECTOR GENERAL PROGRAM.............................
166 Budget Authority by Function...................................
166 Full-Time Equivalent Employment 166 Changes in Budget Authority....................................
166 Explanation of Resource Changes for Current Services.................
166 Explanation of Resource Changes for Program Requirements 167 vii
CONTENTS (continued)
M Description of Program........................................
167 Audits 167 Investigations............................................
168 Inspector Genemi and Resource Management and Operational Support....
169 6.
SPECIAL SUPPORTING TABLES...............................
173 legislative Program Projections..................................
174.
Schedule of Consulting Services by Program.........................
175.
- Report on NRC's Drug Testing Activities...........................
176 Report to Congress on Metrication...............................
178 OIG Report on Public Law 101-121, Anti-Lobbying Act................
179 Summary of Reimbursable Work Agreements.......................
181 i
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INTRODUCTION i
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The U.S. Congress has determined that the safe use of nuclear materials for peaceful purposes is a legitimate and important national goal. It has entrusted the NRC with the primary Federal responsibility for achieving that goal. The NRC's mission, therefore, is to ensure adequate protection for the public health and safety, the common defense and security, and the environment in the use of nuclear materials in the United States.
The NRC's scope of responsibility includes regulation of commercial nuclear power plants; research, test, and training reactors; fuel cycle facilities; medical, academic, and industrial
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uses of nuclear materials; and the transport, storage, and disposal of nuclear materials and wastes. The NRC carries out its mission by setting standards and requirements that licensees must meet to design, construct, and operate safe facilities, in the form of rules, license conditions, and regulatory guidance; inspecting facilities and taking enforcement action, as necessary, to ensure that such standards are followed; and conducting research to support, confirm, or refine judgments used in regulatory decisions. The technologies involved in the use of nuclear energy are relatively new and complex. Regulatory decisiens often require conservatism to account for technical uncertainty. Conservatisms should be modified appropriately as increased understariding of physical phenomena and interactions is achieved.
Further, essential functions must be maintained through appropriate combinations of high component and system reliability, redundancy, and diversity to provide multiple barriers to the release of radiation (defense-in-depth).
ALL DOLLAR AMOUNTS IN.THIS DOCUMENT REPRESENT BUDGET AUTHORITY ENACTED FOR FY 1994 AND FY 1995,: REQUESTED FOR FY 1996 AND ESTIMATED FOR FY 1997.
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- Ir.licduction BUDGET
SUMMARY
(Dollar amounts in tables represent thousands of dollars ($K). In text, whole dollar amounts are used. Staff numbers represent full-time equivalents (FTEs).)
FUNDS: The Nuclear Regulatory Commission's (NP.C's) Fiscal Year (FY) 1996 budget request is $525,800,000. This is an increase of $219,000 above FY 1995. The NRC's FY 1997 planning estimate is $510,900,000.
This is a decrease of
$15,800,000 below FY 1996. This represents a 3 percent reduction from the FY 1996 request. The FY 1997 reduction has been applied equzlly to all programs in this document. The agency will conduct a further review of the allocation of this reduction. Any redistribution among programs will be provided with the FY 1997 budget request.
FTE:
The NRC's FY 1996 budget request is 3,185 FTEs. This is a decrease of 33 FTEs below the FY 1995 level. The planniag estimate for FY 1997 is 3,144 FTEs. This is a decrease of 41 FTEs below FY 1s'96.
TOTAL NRC llUDGET AUTIIORITY HY APPROPRIATIONS FY 1996 Estimate FY 1997 Estimate IFY1995 Change Change fran Planning from FY 1994 Enacted Request FY 1995 Estimate FY 1996 Enacted NRC Salaries and Expenses (S&E) Appropriations ($K) salaries and Expenses 530,200 520,501 520,300
-201 504.300
-16,000 Offsetting Fees Receipts 508,200 498,501 498,300
-201 482,300
-16,000
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Net Appropriated - S&E' 22,000 22.000 22,000 0
22,000 0
NRC Office of Inspector General (IG) Appropriations ($K) d Inspector General 4,800 5,080 5,500 420 5,700 200 Offsetting Fees Receipts 4,800 5,080 5,500 420 5,700 200 Net Appropriated - IG 0
0 0
0 0
0 Total Net Appropriated - NRC 22,000 22,000 22,000 0
22,000 0
' Appropriated from the Nuclear Waste Fund, 2
SUMMARY
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APPROPRIATIONS AND FINANCIAL
SUMMARY
The NRC's FY 1996 budget requests new budget authority of $525,800,000, to be funded by two appropriations -- one is NRC's Salaries and Expenses appropriation for $520,300,000, and the other is NRC's Office of the Inspector General appropriation for $5,500,000. Of the funds appropriated to the NRC's Salaries and Expenses, $22,000,000, shall be derived from the Nuclear Waste Fund. The sums appropriated to the NRC's Salaries and Expenses and NRC's Office of the Inspector General shall be reduced by the amount of revenues received during FY 1996 from licensing fees, inspection services, and other services and collections, so as to result in a final FY 1996 appropriations for the NRC at an estimated
$22,000,000 -- the amount appropriated from the Nuclear Waste Fund. Revenues derived from enforcement actions will be deposited to miscellaneous receipts of the Treasury.
The NRC's FY 1996 appropriations legislation and its accompanying analysis are provided on pages 4 through 14 of this section. This section also provides summaries for budget authority by function and by program, a summary of staffing by program, changes in budget authority by program, an explanation of resource changes for current services and program requirements and the NRC's performance measures and goals. The detailed justifications for direct program activities are presented on pages 36 through 169. It should be noted that the contract funds related to the reimbursable program are not financed by NRC's appropriated funds, but solely through reimbursable agreements with other Federal agencies and non-Federal entities.
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SUMMARY
PROPOSED FY 1996 APPROPRIATIONS LEGISLATION-The proposed ' appropriations legislation is as'follows:
Salaries and Expenses j
For necessary expenses of the Commission in carrying out the purposes'of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended, including the employment of aliens; services authorized by section 3109 of title 5, United States Code; publication and dissemination of atomic information; purchase, repair, and l
cleaning of uniforms; official representation expenses ' (not to exceed $20,000);
reimbursements to the General Services Administration for security guard services; hire of l
passenger motor vehicles and aircraft; $520,300,000, to remain available until expended,.of which $22,000,000 shall be derived from the Nuclear Waste Fund: Provided.That from this -
i appropriation, transfers of sums may be made to other agencies of the Government for the.
performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Provided further, l
That moneys received by the Commission for the cooperative nuclear safety research.
program, services rendered to foreign governments and international organizations, and the
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material and information access authorization programs, including criminal history checks under section 149 of the Atomic Energy Act of 1954, as amended, may be retained and used for salaries and expenses associated with those activities, notwithstanding the provisions 'of i
section 3302 of title 31, United States Code, and shall remain available until expended:
3 Provided further, That revenues from licensing fees, inspection services, and other services and collections shall be. retained and used for necessary salaries and expenses in this account, notwithstanding the provisions of section 3302 of title 31, United States Code, and' shall remain available until expended: Provided further, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal' year 1996 from licensing fees, inspection services, and other services and collections, excluding those moneys received -
1 for the cooperative. nuclear safety research program, services rendered to foreign governments and international organizations, and the material and information access authorization programs, so as to result in a final fiscal year 1996 appropriation estimated at not more than $22,000,000.
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SUMMARY
i Proposed FY 1996 Anoropriations lenislation -
Office of the Insoector General I
For necessary expenses of the Office of the Inspector General in cartying out the provisions of the Inspector General Act of 1978, as amended, including services authorized by section-3109 of title 5, United States Code, $5,500,000,-to remain available until apended; and in 1
addition, an amount not to exceed 5 percent of this sum may be transferred from Salaries and Expenses, Nuclear Regulatory Commission: Provided, That notice of such transfers shall be' given to the Committees >on Appropriations of the' House :and Senate:
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Provided further. That from this appropriation, transfers of sums may be made to other
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agencies of the Government for the performance of. work for which this. appropriation is i
made, and in such cases the sums so transferred may be merged with the r ropriation to which transferred: Provided further, That revenues from licensing fees, inspection services, _
a and other services and collections shall be retained and used for'necessary salaries and expenses in this account, notwithstanding the provisions of section 3302 of title 31, United; States Code, and shall remain'available until expendediProvided further. That the sum
,herein appropriated shall be reduced by the amount of revenues received during fiscal-e year 1996 from licensing fees, inspection services, and other services and collections, so as to result in a final fiscal year 1996 appropriation estimated at not more than $0.
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SUMMARY
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ANALYSIS OF PROPOSED FY 1996 APPROPRIATIONS LEGISLATION j
The analysis of the proposed appropriations legislation is as follows:
Salaries and Excenses 1.
FOR NECESSARY EXPENSES OF THE COMMISSION IN CARRYING OUT THE PURPOSES OF THE ENERGY REORGANIZATION ACT OF 1974, AS AMENDED, AND THE ATOMIC ENERGY ACT OF 1954, AS AMENDED:
42 U.S.C. 5841 et. seq.
The Nuclear Regulatory Commission (NRC) was established by the Energy -
Reorganization Act of 1974, as amended, (42 U.S.C. 5801 et seq).
This Act abolished the Atomic Energy Commission and by section 201 (42 U.S.C 5841),
transferred to the NRC all the licensing and related regulatory functions of the Atomic Energy Commission. These functions included those of the Atomic Safety and Licensing Board Panel; the Advisory Committee on Reactor Safeguards; responsibilities for licensing and regulating nuclear facilities and materials; and conducting research for the purpose of confirmatory assessment related to licensing and other regulation, and other activities, including research related to nuclear 1
material safety and regulation under the provisions of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq).
2.
EMPLOYMENT OF ALIENS:
42 U.S.C. 2201(d) 42 U.S.C. 2201(d) of the Atomic Energy Act of 1954, as amended, authorizes the Commission to employ persons and fix their compensation without regard to civil service laws.
3.
SERVICES AUTHORIZED BY 5 U.S.C. 3109:
5 U.S.C. 3109 provides in part that the head of an agency may procure by contract -
the temporary or intermittent services of experts or consultants when authorized by an appropriation.
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SUMMARY
- Analysis of Pronosed FY 1996 Anoropriations Legislation 4.
PUBLICATION AND DISSEMINATION OF ATOMIC INFORMATION:
42 U.S.C. 2161(b) 42 U.S.C. 2161(b) directs that the Commission shall be guided by the principle that the dissemination of scientific and technical information related to atomic energy should be permitted and encouraged so as to provide that interchange of ideas and criticism which is essential to scientific and industrial progress and public understanding and to enlarge the fund of technical information.
4 5.
PURCHASE, REPAIR, AND CLEANING OF UNIFORMS:
5 U.S.C. 5901 5 U.S.C. 5901 authorizes the annual appropriation of funds to each agency of the Government as a uniform allowance.
6.
OFFICIAL REPRESENTATION EXPENSES:
47 Comp. Gen. 657 i
43 Comp. Gen. 305 This language is required because of the established rule restricting m agency from charging appropriations with the cost of official representai;on unless the appropriations involved are specifically available therefor. Congress has appropriated funds for official representation expenses to the NRC and NRC's predecessor, the Atomic Energy Commission, each year since FY 1950.
7.
REIMBURSEMENTS TO THE GENERAL SERVICES ADMINISTRATION FOR SECURITY GUARD SERVICES:
34 Comp Gen. 42 i
This language is required because, under the provisions of the Federal Property and Administrative Services Act of 1949, specific appropriation is made to the General Services Administration for carrying out the function of protecting public buildings and property and, therefore, NRC appropriations not specifically made available therefor may not be used to reimburse the General Services Administration for security guard services.
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SUMMARY
- Analysis of Proposed FY 1996 Appropriations Legislation 8.
HIRE OF PASSENGER MOTOR VEHICLES AND AIRCRAFT:
31 U.S.C.1343 31 U.S.C.1343 provides in effect that unless - specifically authorized by the appropriation concerned or other law, no appropriation shall be expended.to purchase or hire passenger motor vehicles for any branch of the Government.
9.
TO REMAIN AVAILABLE UNTIL EXPENDED:
31 U.S.C.1301 31 U.S.C.1301 provides in part that no regular, annual appropriation shall be construed to be permanent or available continuously unless the appropriation expressly provides that it is available after the fiscal year covered by the law in which it appears.
10.
SHALL BE DERIVED FROM THE NUCLEAR WASTE FUND:
41 U.S.C.10131(b)(4) 42 U.S.C.10222(a)(4) 41 U.S.C.10131(b)(4) provides for the establishment of a Nuclear Waste Fund to ensure that the costs of carrying out activities relating to the disposal of high-level radioactive waste and spent nuclear fuel will be borne by the persons responsible for generating such waste and spent fuel.
42 U.S.C.10222(a)(4) provides that the amounts paid by generator 8 and owners of these materials into the fund is reviewed annually to determine if any la adjustment is needed to insure full cost recovery.
42 U.S.C.10134 42 U.S.C. ~10133 42 U.S.C.10134 specifically requires the NRC to license a repository for the disposal of high-level radioactive waste and spent nuclear fuel and sets forth certain licensing procedures. 42 U.S.C.10133 also assigns review responsibilities to the NRC in the
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steps leading to submission of the license application. Thus, the Nuclear Waste 8
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SUMMARY
- Analysis of Proposed FY 1996 Appropriations Legislation 3
Policy Act of 1982, as amended, establishes NRC's responsibility throughout the-repository siting process, culminating in the requirement for NRC licensing as a prerequisite to construction and operation of the repository.
42 U.S.C.10222(d) j 42 U.S.C.10222(d) specifies that expenditures from the Nuclear Waste Fund can be used for purposes of radioactive waste disposal activities, including identification,.
development, licensing, construction, operation, decommissioning, and post -
i decommissioning maintenance and monitoring of any repository constructed under the Nuclear Waste Policy Act of 1982, and administrative cost of the radioactive 2
waste disposal program.
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FROM THIS APPROPRIATION, TRANSFERS OF SUMS MAY BE MADE TO OTHER AGENCIES OF THE GOVERNMENT FOR THE PERFORMANCE OF WORK FOR WHICH THIS APPROPRIATION IS MADE, AND IN SUCH CASES THE SUMS SO TRANSFERRED MAY: BE MERGED WITH THE APPROPRIATION TO WHICH TRANSFERRED:
31 U.S.C.1532 31 U.S.C.1532 permits the transfer of appropriated funds from one account to another or to a working fund only when authorized by law.
12.
MONEYS RECEIVED BY THE COMMISSION FOR THE COOPERATIVE i
NUCLEAR SAFETY RESEARCH PROGRAM, SERVICES RENDERED TO
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FOREIGN GOVERNMENTS AND INTERNATIONAL ORGANIZATIONS, AND THE MATERIAL AND INFORMATION ACCESS AUTFIORIZATION PROGRAMS, INCLUDING CRIMINAL HISTORY CHECKS UNDER SECTION 149 OFTHE ATOMIC ENERGY ACT OF 1954, AS AMENDED, MAY BE RETAINED AND USED FOR SALARIES AND EXPENSES ASSOCIATED WITH THOSE ACTIVITIES, NOTWITHSTANDING THE PROVISIONS OF 4
SECTION 3302 07 TITLE 31, UNITED STATES CODE, AND SHALL REMAIN AVAILABLE UN TIL EXPENDED:
l 31 U.S.C. 3302 2 Comp. Gen. 775 1
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SUMMARY
- Analysis of Proposed FY 1996 Anoropriations Immislation Appropriated funds may not be augmented with funds from other sources unless specifically authorized by law. Under the cooperative nuclear safety research program,. funds are received from domestic entities, foreign governments, and international organizations for their participation in NRC's reactor safety research experiments. The NRC is authorized to receive directly, compensation from foreign governments and international organizations for providing safety assistance and other services related to promoting the public health and safety. Funds are also received in the form of fees from licensees for the cost of security investigations and related processing associated with access to formula quantities of special. nuclear material.
i These funds will be used to pay the related NRC processing costs and the agency
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performing the security investigations. Pursuant to P.L.99-399, section 606, funds will be received in the form of fees from licensees for the cost of fingerprint examinations and criminal history checks 'of.each individual granted access to safeguards information or unescorted access to'a nuclear power plant. These funds will be used to pay for processing and performing the fingerprint examinations and criminal history checks. NRC will also use the money currently collected under 10 CFR Part 25 to pay the NRC processing costs and the Office of Personnel _-
Management for conducting background investigations used as a basis for NRC security clearances for designated licensee representatives and other personnel requiring access to classified information.
13.
REVENUES FROM LICENSING FEES, INSPECTION SERVICES, AND OTHER SERVICES AND COLLECTIONS SHALL BE RETAINED AND USED FOR NECESSARY SALARIES AND EXPENSES IN THIS ' ACCOUNT, NOTWITHSTANDING THE-PROVISIONS OF SECTION 3302 OF TITLE 31, UNITED STATES CODE, AND SHALL REMAIN. AVAILABLE UNTIL EXPENDED:
31 U.S.C. 9701 The NRC is authorized under Title V of the Independent Offices Appropriation Act of 1952 to collect license fees. Pursuant to 31 U.S.C. 9701, any person who receives a service or thing of value from the Commission shall pay fees to cover the NRC's-cost in providing such service or thing of value.
42 U.S.C. 2213 l
42 U.S.C. 2214 L
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SUMMARY
- Analysis of ProDosed FY 1996 ADDroDriations Leeislation y
' Pursuan; to 42 U.S.C. 2213, the NRC shall assess and collect annual charges from persons licensed by the Ccmmission. ~ 42 U.S.C. 2214 (P.L.101-508, Title VI,.
4 Subtitle B, of the Omnibus' Fudget Reconciliation Act of 1990; and P. L 102-486, Title 'XXIX, section 2903 of 'he Energy Policy Act of 1992) requires, except for the holder of any license for a federally ~ owned research reactor used.primarily for educational training and academic research purposes, the Commission to assess and collect annual charges from persons licensed by the Commission that approximate i
100 percent of the Commission's budget authority,less any amount appropriated to j
the Commission from the Nuclear Waste Fund and the amount of fees' collected-under the Independent Offices Appropriation Act of 1952 (31 U.S.C. 9701), for each i
j year of FY 1991-1998.
31 U.S.C. 3302 4
i The NRC is required to deposit all revenues collected to miscellaneous receipts of the Treasury unless specifically authorized by an appropriation to retain and use such j
revenue.
l 14.
THE SUM HEREIN APPROPRIATED SHALL BE REDUCED BY. THE.
AMOUNT OF REVENUES RECEIVED FROM LICENSING
- FEES, INSPECTION SERVICES, AND OTHER SERVICES AND COLLECTIONS, EXCLUDING THOSE MONEYS RECEIVED FOR THE COOPERATIVE.
i NUCLEAR SAFETY RESEARCH PROGRAM, SERVICES RENDERED TO FOREIGN GOVERNMENTS AND INTERNATIONAL ORGANIZATIONS, AND THE MATERIAL AND INFORMATION ACCESS AUTHORIZATION i
PROGRAMS:
1 I
42 U.S.C 2214 l
The total fees to be collected in FY 1996 are to approximate 100 percent of the Commission's budget authority. Pursuaat to 42 U.S.C 2214 (P.L 101-508, Title VI, Subtitle B, section 6101 (a)(2)(3) and (c)(2)), the aggregate amount of the annual i
charge collected from all licensces shall equal an amount that approximates 100 percent of the budget authority of the Commission in the fiscal year in which such charge is collected,less any amount appropriated to the Commission from the Nuclear Waste Fund and the amount of fees collected under the Independent Offices j.
Appropriation Act of 1952 (31 U.S.C. 9701), for each year of FY 1991-1998.
i L
11 f
l~
i l
SUMMARY
- Analysis of Proposed FY 1996 Anoropriations Ledislation Office of the In pector General 15.
FOR NECESSARY EXPENSES OF THE OFFICE. OF THE INSPECTOR GENERAL IN CARRYING.OUT THE PROVISIONS OF THE INSPECTOR -
GENERAL ACF OF 1978, AS AMENDED:
P.L 95-452 j
i P.L.100-504 -
P.L 100-504 amended P.L 95-452 to establish the Office of the Inspector General within the NRC effective April 17,1989, and to require the establishment of a separate appropriation account to fund the Office of the Inspector General.
16.
SERVICES AUTHORIZED BY 5 U.S.C. 3109:
5 U.S.C. 3109 provides in part that the head of an agency may procure'by contract the temporary or intermittent services of experts or consultants when authorized by an appropriation.
17.
TO REMAIN AVAILABLE UNTIL EXPENDED:
31 U.S.C.1301 31 U.S.C.1301 provides in part that no regular, annual appropriation shall be construed to be permanent or available continuously unless the appropriation expressly provides that it is available after the fiscal year covered by the law in which it appears.
.18.
AN AMOUNT NOT TO EXCEED PERCENT OF.THIS SUM -MAY BE i
TRANSFERRED FROM SALARIES _AND
- EXPENSES, NUCLEAR REGULATORY COMMISSION: PROVIDED, THAT NOTICE OF: SUCH TRANSFERS SHALL BE GIVEN TO THE-COMMITTEES ON APPROPRIATIONS OF THE HOUSE AND SENATE:
31 U.S.C.1301 31 U.S.C.1301 prohibits the transfer of funds between appropriations without specific l
statutory authority. This language provides for limited transfer authority from NRC's Salaries and Expenses appropriation to its. Office' of the Inspector General i
12
j
SUMMARY
- Analysis of ProDosed FY 1996 ADDroDriations Legislation appropriation. This will' permit the NRC to augment the Office of the Inspector i
General appropriation on a limited basis, if it becomes necessary, without seeking:
additional appropriations for that fiscal year.
19.
FROM THIS APPROPRIATION, TRANSFERS OF SUMS MAY BE MADE TO OTHER AGENCIES OF THE GOVERNMENT FOR THE PERFORMANCE OF -
WORK FOR WHICH THIS APPROPRIATION IS MADE, AND IN SUCH CASES
[
THE SUMS SO TRANSFERRED MAY.BE MERGED lWITH -THE.
j APPROPRIATION TO WHICH TRANSFERRED:
i 31 U.S.C.1532 1
1 31 U.S.C.- 1532 permits the transfer of' appropriated funds from one account to '
another or to a working fund only when authorized by law.
i r
i
_ 20.
. REVENUES FROM LICENSING FEES, INSPECTION SERVICES, AND OTHER j
SERVICES AND COLLECTIONS SHALL BE RETAINED AND USED FOR NECESSARY-SALARIES AND EXPENSES IN THIS - ACCOUNT, NOTWITHSTANDING THE PROVISIONS OF SECTION 3302 OF TITLE 31, 4
UNITED STATES CODE, AND. SHALL REMAIN AVAILABLE ' UNTIL EXPENDED-t 1
31 U.S.C. 9701 1
The NRC is authorized under Title V of the Independent Offices Appropriation Act i
of 1952 to collect license fees. Pursuant to 31 U.S.C. 9701, any person who receives -
a service or thing of value from the Commission shall pay fees to cover the NRC's i
i cost in providing such service or thing of value.
i l
42 U.S.C. 2213-42 U.S.C 2214 Pursuant to 42 U.S.C. 2213, the NRC shall assess and collect annual charges from-persons licensed by the Commission.
42 U.S.C. 2214 (P.L 101-508, Title VI,'
L
- 20) title B, of the Omnibus Budget Reconciliation Act of 1990; and P. L.102-486, Title XXIX, section 2903 of the Energy Policy Act of 1992) requires, except for the holder of any license for a federally owned research reactor used primarily for 1
educational training and academic research purposes, the Commission to assess and collect annual charges from persons licensed by the Commission that approximate 5
13
i
SUMMARY
- Analysis of Proposed FY 1996 Anoropriations Ierislation j
j 100 percent of the Commission's budget authority, less any amount appropriated to -
the Commission from the Nuclear Waste Fund and the amount of fees collected under the Independent Offices Appropriation Act of 1952 (31 U.S.C. 9701), for each year of FY 1991-1998.
The NRC is required to deposit all revenues collected to miscellaneous receipts of the Treasury unless specifically au'xdred by an appropriation to retain and use such revenue.
21.
THE SUM HEREIN ' APPROPRIATED SHALL BE REDUCED BY'THE AMOUNT OF REVENUES RECEIVED FROM LICENSING FEES,1 INSPECTION SERVICES, AND OTHER SERVICES AND COLLECTIONS:
42 U.S.C. 2214 The total fees to be collected in FY 1996 are to approximate 100 percent of the Commission's budget authority. Pursuant to 42 U.S.C 2214 (P.L 101-508, Title VI, Subtitle B, section 6101 (a)(2)(3) and (c)(2)), the aggregate amount of the annual charge collected. from all licensees shall equal an amount that approximates-100 percent of the' budget authority of the Commis: ion in the fiscal year in which such charge is collected, less any amount appropriated to the Commission from the.
Nuclear Waste Fund and the amount of fees collected under the Independent Offices Appropriation Act of 1952 (31 U.S.C. 9701), for each year of FY 1991-1998.
1 14 1
SUMMARY
i
SUMMARY
OF BUDGET AUTHORITY BY FUNCTION j
FY 1996 Estimate FY 1997 Estimate Change Change from Planning from FY 1994 FY 1995 Enacted Enacted Request FY 1995 Estimate FY 1996 NRC Appropriation: Salaries and Expenses (S&E) ($K)
Salaries and Benefits 261,406 255,195 260,140 4,945 252,032
-8,108 Contract Support 252,720 249,044 244,114
-4,930 236,666
-7,448 Travel 16,074 16,262 16,046
-216 15,602
-444 Total (S&E) 530,200 520,501 520,300
-201 504,300
-16,000 NRC Appropriation: Office of Inspector General (IG) ($K)
Salaries and Benefits 3,933 4,192 4,507 315 4,651 144 Contract Support 662 653 751 98 800 49 Travel 205 235 242 7
249 7
Total (IG) 4,800 5,080 5,500 420 5,700 200 Total NRC Budget Authority by Function ($K)
Salaries and Benefits 265,33S 259,387 264,647 5,260 256,683
-7,964 Contract Support 253,382 249,697 244,865
-4,832 237,466
-7,399 Travel 16,279 16,497 16,288
-209 15,851
-437 Total NRC 535,000 525,581 525,800 219 510,000
-15,800 15
t
SUMMARY
SUMMARY
OF STAFFING BY PROGRAM AND HY COST CENTER FY 1996 Estimate FY 1997 Estimate 1
Change Change FIE from FTE from FY 1994 FY 1995 l
FTE FTE Request FY 1935 Request FY 1996 Reactor Program by Cost Center Reactor Regulation 1,651 1,608 1,581
-27 1,574
-7 Standard Reactor Designs 192 176 169
-7 145
-24 Test and Research Reactors 14 15 35 0
15 0
i Subtotal 1,857 1,799 1,765
-34 1,734
-31 l
Nuclear Materials and Nuclear Waste Program by Cost Center l
Fuel Facilities 108 109 106
-3 105
-1 Materials Users 241 238 241 3
236
-5 Low-Level Waste and Decommissioning 109 g 116 115
-1 116 1
Other Nuclear Materials and Waste Activities 68 3 69 68
-1 69 1
High-Level Waste 70 59 60 1
60 0
Subtotal 596 591 590
-1 586
-4 1
Management and Support Program by Cost Center a
Policy and Direction 187 178 178 0
178 0
J Resource and Administration 51 510 508
-2 502
-6 Special Technical Proarams 91 96 100 4
100 0
)
Subtotal 797 784 786 2
780
-6 Inspector General Program 43 44 44 0
44 0
Total NRC 3,293 3,218 3,185
-33 3,144
-41 i
16
SUMMARY
SUMMARY
OF BUDGET AUTHORITY BY PROGRAM AND BY COST CENTER i
FY 1996 Estimate FY 1997 Estimate 4
Change Change from Planning from FY 1994 FY 1995 i
Enacted Enacted Request FY 1995 Estimate FY 1996 Reactor Program by Cost Center i
Reactor Regulation 235,955 228,922 225,661
-3,261 220,622
-5,039 Standard Reactor Designs 42,314 37,852 34,933
-2,919 31,476
-3,457 Test and Research Reactors 1,969 2,018 2,078 60 2,032
-46 254,130
-8,542 Subtotal 280,238 268,792 262,672
-6,120 li Nuclear Materials and Nucl9ar Waste Proaram by Cost Center 4
Fuel Facilities 13.235 11,748 11,506
-242 11,674 168 Materials Users 26,424 27,551 28,372 821 27,545
-827 4
Low-Level Waste snd Oecomissioni ng 19,986 19,527 21,535 2,008 20,678
-857 t
Other Nuclear Materials and Waste Activities 6,981 7,326 7,437 111 7,385
-52 i
Migh-level Vaste 22,000 22,000 22,000 0
22,000 0
Subtotal 88,626 88,152 90,850 2,698 89,282
-1,568 Management and Support Program by Cost Center i
j Policy and Direction 18,688 17,862 18.323 461 17,954
-369 Resource and Administration 129,689 131,224 132,137 913 127,792
-4,345 Special Technical Programs 12,959 14,471 16,318 1,847 15.142
-1,176 a
Subtotal 161.336 s 163,557 166,778 3,221 160,888
-5,890 j
inspector General Program 4,800 5,080 5,500 420 5,700 200 Total NRC 535,000 525,581 525,800 219 510,000
-15,800 1
1 4
17 I
SUMMARY
CHANGES IN BUDGET AUTHORITY BY PROGRAM AND COST CENTER FY 1996 Change fran FY 1995 FY 1997 Change frun FY 1996 Current Program Services' Requirements' Total Total Program
, Reactor Program by Cost Center 1
Reactor Regulation 6,600
-9,861
-3,261
-5,039 j
Standard Reactor Designs
$39
-3,918
-2,919
-3,457 1
Test and Research Reactors 60 0
60
-46 Subtotal 7,659
-13,779
-6,120
-8,542 Nucitar Materials and Nuclear Waste lYogram by Cost Center Fuel Facilities 346
-588
-242 168 Materials Users 836
-15 821
-827 Low-Level Waste and Decommissioning 615 1,393 2,008
-857 Other Nuclear Materials and Waste Activities 191
-80 111
-52 High-level Waste 523
-523 0
0 Subtotal 2,511 187 2,698
-1,568 Managanent and Support Program by Cost Center Policy and Direction 541
-80 461
-369 Resource and Administration 4,268
-3,355 913
-4,345 Special Technical Programs 444 1,403 1,847
-1,176 l
Subtotal 5,253
-2,032 3,221
-5,890 Inspector General Program 343 77 420 200 Total NRC 15,766
-15.547 219
-15,800
' Current Services: These estimates show how projected price increases affect agency funding requirements in FY 1996.
2Procram Requirements:
These estimates show how the actual program funding requirements change from FY 1995 to FY 1996, j
18
SUMMARY
EXPIANATION OF RESOURCE CHANGES FOR CURRENT SERVICES Personnel Compensation FY 1996 Change From FY 1995............... $7,972,000 The change for current services reflects (1) increases in personnel compensation of 2.0 percent general raise plus 1.21 percent locality raise expected in calendar year (CY) 1995, 2.4 percent expected in CY 1996, within-grade increases, and several minor adjustments, such as the varying number of paydays, the increased number of staff in the Federal Employees Retirement System, and the increased cost of benefits.
(Note:
Fluctuations due to staffing changes are included in the description of the program requirements.)
Administrative Price Increases FY 1996 Change From FY 1995............... $7,794,000 The increase for contract support and travel reflects inflation estimated at 3.0 percent in FY 1996. Additionally, there is approximately $900,000 in rent increases primarily due to an estimated 4.5 percent increase in rent charges for office space each year from GSA for 4
headquarters rent. These administrative price increases are summarized in the following table:
FY 1996 Change Administrative Price Increases from FY 1995 ($K)
Contract Support 6,476 Travel 443 Rent 875 Total 7,794 s
19
SUMMARY
EXPLANATION OF RESOURCE CHANGES FOR PROGRAM REOUIREMENTS Reactor Program FY 1996 Change From FY 1995..............-$ 13,779,000 The program decrease in FY 1996 reflects (1) resolution of outstanding severe-accident safety issues, (2) completion of the aging studies on electrical and mechanical components conducted under the Nuclear Plant Aging Research Program, (3) licensing of Watts Bar Unit 1, (4) completion of the technical reviews in the design certification process for the General Electric ABWR and Combustion Engineering System 80+ standard reactor designs, (5) completion of major efforts to support the revision of the Standard Review Plan for future reactor designs, (6) completion of modifications for the ROSA-V facility that will be used to validate systems performance for the Westinghouse AP600 design, and (7) agency reorganization and streamlining efforts.
Nuclear Materials and Nuclear Waste Program FY 1996 Change From FY 1995................ $ 187,000 The program increase in FY 1996 reflects increasing decommissioning efforts to conduct (1) radiological assessments of formerly licensed sites; (2) reviews oflicense files terminated prior to 1965; (3) confirmatory radiological surveys; and (4) environmental impact statements for selected uranium recovery, fuel facility and materials facility, and contaminated sites listed in the Site Decommissioning Management Plan (SDMP). These increases are partially offset by the completion of the licensing efforts associated with the Louisiana Energy Services Clairborne Enrichment Center and the completion of the first annual certification for the United States Enrichment Corporation's gaseous diffusion enrichment facilities.
1 Management and Support Program FY 1996 Change From FY 1995............... $2,032,000 The resource decrease in FY 1996 primarily reflects (1) completion of refurbishment for One White Flint North, (2) completion of start-up costs for high performance computing, (3) planned reductions in the microcomputer replacement program, (4) reductions in computer hardware maintenance costs and systems development efforts, and (5) planned reductions in supervisory and management development training.
20
i f
I l
I
{
SUMMARY
Inspector General Program i
~
FY 1996 Change From FY 1995................ $77,000 The resource increases in FY 1996 are primarily required to support additional contract-costs for the annual audit of the agency's financial statement.
i i
b l
l 1
I 21 i
i
SUMMARY
DISTRIBUTION OF NRC BUDGET AUTHORITY BY PROGRAM
/ nspector General I
($5.5) 1 %
z
- w::
o "s
<t.'
2 );.17%h
(
8 m;
.J::w.
y
- Nu
- ($282.7) 50% 3,
Management and !
Support...
1 q(5186.8) 32% P l
a FY 1996 ($525.8 MILLION) i
/ nspector General I
($5.7) 1%
a Nuclear Material (880.3) 17 %
.. Reactor
'fr+;+ Twit and c
- ($254,1) 50%
St@ port.
- ($100.9) 32% :
~
x FY 1997 ($510.0 MILLION)
Note: Percentages are rounded to the nearest whole number i
22
e i,
l
SUMMARY
t 4
i DISTRIBUTION OF NRC STAFF BY PROGRAM I
4
/ nspectorGenerat I
i
/
(44) 1%
i i
dN
.=
p m3 y-i, 2 (500) 19% c.....
- zg 4.n s
e 4
q t
.-<.1..
.[ j."$ji
/
.. 1.? n l
, Management andl
.,... H1.765) 55%;
3"
Sipport.
, =,. _
s, m.s TP d l
l i
i l
FY 1996 (TOTAL STAFF 3,185 FTE) i 1
j nspectorGeneral i
j
/
(44) 1%
e f
i 1
Nuclear Malertal j
[(586)19%fi
,s Reactor l
Management and.:1 L(1,734) 56%.
Support.._
g j
, ((780)25% -
J 4
..hl 1
1 i
j j
FY 1997 (TOTAL STAFF 3,144 FTE)
Note: Percentages are rounded to the nearest whole number 23 1
5 1
SUMMARY
- Program Goals and Performance Measures PROGRAM GOALS AND PERFORMANCE MEASURES The Nuclear Regulatory Commission (NRC) is committed to ensuring adequate protection for the public heaDh and safety, the common defense and security, and the environment in the civilian use of nuclear materials in the United States. Sound financial management, an integral part of regulatory management, will improve the efficiency and effectiveness with which the NRC canies out its regulatory mission. Program and financial managers, working in partnership using modem management techniques and an integrated financial management system, will enable the NRC to make decisions and measure performance to achieve desirable outcomes and real cost effectiveness.
)
I In July 1993 the Chief Financial Officer (CFO) issued the NRC's Principles of Good Financial Management that codified agency practices and highlighted the importance of sound financial management to the entire agency. These principles recognize that good financial management begins with good planning. The principles also recognize the necessity for periodic evaluation of performance against meaningful financial and l
perfonnance measures and for financial implications being considered in decisionmaking.
The Principles of Good Financial Management follow:
PRINCIPLES OF GOOD FINANCIAL MANAGEMENT Those who handle public resources have a special responsibility to safeguard the resources entmsted to them and to use them properly. Poor financial management by NRC can undermine the confidence that we are effectively accomplishing our health and safety mission. NRC managers must ensure that public funds are used for authorized purposes only and that they are used economically, efliciently, and within established limits. Toward these ends, l
the NRC uses the following Principles of Good Financial Management:
PLANNING Good financial management begins with good planning. NRC's strategic planning should be based on sound assumptions and accurate information, and should provide the foundation for the entire fiscal process. Resource requests must be consistent with program goals, guidance, and planning assumptions, 24
SUMMARY
- Prouram Goals and Performance Measures and must consider current financial status. Plans should be developed for the commitment and obligation of ftmds based on program needs, procurement lead times, and the need for continuity of funding.
CONTROL Good financial management requires good financial control. Appropriate, cost effective controls throughout the financial management process ensure adequate accounting of funds expended, prevent over-obligation of funds and inappropriate expenditures, identify early instances where funds should be reallocated, and produce valuable information for the planning process.
COMMUNICATION Good financial management requires good communication among those involved in the financial management process. Complete, accurate, and timely financial information must be readily available, and financial implications i
must be considered in decisionmaking. Financial systems should be integrated and meet both agency and office data needs. New infonnation and ideas must be shared throughout the organization.
COST EFFECTIVENESS Good financial management balances expenditures and results. _ Maugers at all levels must ensure that NRC gets what it pays for and that the results are what NRC needs to accomplish its mission. Ongoing projects should be evaluated to ensure resultsjustify continued funding. Appropriate precautions ensure that waste is avoided. To ensure maximum utility of available resources, funds should be obligated as early as practical during the fiscal year, and excess ftmds should be deobligated as soon as practical after project completion.
EVALUATION Good financial management requires periodic evaluation of performance against meaningful financial and program performance measures. Such 25
SIIMMARY: Program Goals and Performance Measures performance assessment should evaluate planned versus actual program results as well as the comparison of program costs with program accomplishments.
PERSONNEL Good financial management is the product of competent and motivated people.
Those who are given financial management responsibility must have integrity, dedication, and be well trained and qualified. They must have authority that i
is commensurate with their responsibility, and they must be recognized when achieving superior performance.
The NRC has already established a framework for meeting the requirements of the Government Performance and Results Act (GPRA). The NRC's strategic planning process, which has been in effect for seven years, sets the long-tenn direction of the Agency and provides the basis for futme resource requirements. Performance information is included in the Agency's financial statements pursuant to the Chief Financial Officers Act. During the next year, the NRC will further evaluate its program goals and program performance information in order to strengthen quantitative and qualitative measures of outputs and outcomes. Following is a summary of the current NRC goals and key program performance measures.
A.
PROGRAM GOALS Annually, the Steering Committee for Strategic Planning, which is composed of i
senior managers, assesses the Agency's strategic goals, planning assumptions, and objectives and guidance for the upcoming budget cycle. The FY 1996 Agency goals are:
1.
Ensure that nuclear power plants and other licensed facilities are operated safely and that licensees are adequately prepared to respond to accidents.
l 2.
Ensure NRC accident response capability and continue coordination of other government entities' response.
I l
26
4 i
~
SUMMARY
- Pronram Goals and Performance Measures 3.-
Ensure that nuclear power plants under construction are' designed and constructed properly and are ready for safe operation.
i 4.
Ensure that adequate capabilities exist for licensing of evolutionary and advanced reactor designs and for reactor license renewal activities.
5.
Ensure that research provides the technical bases _ for timely and sound.
rulemaking and regulatory. decisions in support of NRC licensing:and inspection activities.
6.
Ensure that current and future uses and transportation of nuclear'and radioactive materials are safe and have adequate safeguards.
7.
Ensure that high-level and low-level nuclear waste and uranium mill tailings -
are safely managed and disposed of.
8.
Ensure that facilities, when no longer in operation, are adequately and safely monitored or decommissioned.-
9.
Continue to maintain special and independent reviews and investigations of NRC activities.
10.
Allocate NRC's human and capital resources and direct the agency's affairs so.
that they contribute most effectively to the mission of protecting the public health and safety.
l 11.
Ensure that the NRC has effective external communications and relations with outside organizations.
12.
Conduct timely, independent Inspector General audits, investigations, and l
regulatory reviews, and recommend or suggest actions to reduce costs and/or improve NRC operations.
During the FY 1997 strategic planning process, the NRC's Steering Committee for Strategic Planning will place greater emphasis on program goals in the context of measerability as an element ofimplementing the GPRA. In particular, the committee will contend with how 27
SUMMARY
- Procram Goals and Performance Measures NRC, as a regulatory agency, can link its program goals with outcomes when the success largely depends on the response of the regulated industry and companion regulatory activities of state governments.
l B.
PERFORMANCE MEASURES The NRC financial statement includes perfonnance measures for key aspects of the NRC's programs. In general, these measures are focused on output rather than outcome. They also primarily reflect budget execution history rather than budget formulation expectations. During the next year, these measures, as well as newly identified measures, will be evaluated, refined, and incorporated into the NRC's future planning process, as appropriate. The following performance measures, which will be included in the FY 1994 Financial Statement, are representative of measures that will be assessed for future implementation pursuant to GPRA.
Reactor Pronram Safety of operations is the responsibility of NRC licensees. Regulatory oversight of licensee safety is the responsibility of the NRC. As an outcome measure, the safety perfonnance oflicensees is partially a reflection of the NRC's perfonnance; however, it is not possible to isolate the causal relationship or a specific set of factors that directly link the NRC's perfonnance to licensee performance.
Safety perfonnance indicators reflect the collective results of the efforts of the NRC and the nuclear industry. Certain trends in industry perfonnance reinforce that the NRC is accomplishing its rnission of protecting the public health and safety.
As depicted in the following charts, Licensee Performance Indicators for Operating Nuclear Power Plants; AnnualIndustry Averages for 1985-1994, the general trend of the set ofindustry safety performance indicators has been toward improved industry performance. Although the overall trend has leveled offin recent years, there has been continued improvement in several of the indicators.
28
SUMMARY
- Program Goals and Performance Measures l
l UCENSEE PERFORMANCE INDICATORS FOR OPERATING NUCLEAR POWER PLANTS Annualindustry Averages CY1985-1994 Automatic Scrams While Critical Safety System Actuations y6',
~. _ _ _
m
- - - - - - - - - -.. - > - - ~ -
2 4
g 3
1.
g 1
.. _~ _"_"
f 0.5
. _~ _~ _" _~ _~_~
- ~
O'"
9 0 1985 86 87 88 89 90 91 92 93 1994*
1985 86 87 88 89 90 91 92 931994* '
Significant Events Safety System Failures
_ ~,,,,,,, _,,,, _,,,,,,
f4
)
23 4
/
8
,u 7
2 L 3 m
3 1.5 2
T~
D I
j g
s j;,.,__,
g j*3
+
0 V
F 4
-F j
7 4
1987 88 89 90 91 92 93 1904
- 198586 87 88 89 90 91 92 931994 P
g Equipment Forced Outage Rate g
Forced Outage Rate (%)
Per 1000 Critical Hours E 10 f 1.2 '
s 12 '.
=
0 1
f8 0.8 f 6 0.8 4
0.4 0
o j
, -:L
-L
_-2
_)
,2 y
w 1985 86 87 88 89 90 91 92 931994*
198586 87 88 89 90 91 92 931994 f
l
{
toa 4
Collectiv8 Radiation Exposur8 2 800 '
'"' _. _.. _ _. '~~[~~]~]
- Based on annual projections from first nine 500 months of Calendar Year 1994.
400 l
(
g200
" Based on annual projections from first six l
g 100
__;__;___;__g rnonths of Calendar Year 1994, 198586 87 88 89 90 91 92 931994**
l l
t ee>=.
29 l
SUMMARY
- Program Goals and Performance Measures A basic element in the NRC reactor regulation program is the inspection oflicensed reactor facilities to determine the state of reactor safety, confirm that operations are in compliance with the provisions of the license, and ascertain whether other conditions exist that have safety implications serious enough to warrant corrective action. The chart below shows the use of allocated inspection resources in direct inspection activities by resident and region-based staff. Direct inspection effort in FY 1994 was approximately 308,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br />, which was approximately five percent greater than the hours that were planned.
DIRECTINSPECTION ACTIVITY Actual vs. Planned 400-
[
lORegion Staff OResident OPlannedl 350
,s
-m 300 u
e m
go 200 E
250 s
h yg
, y;:
g h
$$3 p-,
N $If 150 n
f g
2 100 ik he 7 :;
- r.,
-gm 0
i 7
a 0
1991 92 93 1994 Fiscal Year i
i w
30 I
1
SUMMARY
- Proeram Goals and Performance Measures Either routine activity or unexpected events at a nuclear facility can result in a need for licensing actions by the NRC. During FY 1994, the NRC completed about 1520 licensing actions for operating power reactors. The total inventony at the end of FY 1994,vas 1293 lic.ensing actions. Over 98 percent of the actions in inventory are plant-specific amendments requested by licensees; the balance are the result of NRC-imposed requirements. Steady progress has been realized in reducing the number of older licensing actions in the inventory. From 1989 to 1994, the i
percentage of licensing actions more than three years old has dropped from 23 percent to less than 2 percent. As the following chart shows, the median age of the licensing action inventory has also decreased over time.
UCENSING ACTIONS Median Age of Inventory 14.0 12.7 SM Y 11.2 12.0
$1Ei$$$
g/
j g g -- -- -
x 10.0
' [,,; ['
k.. $~$$
b
\\
8.0 g? $.5%
_ g,3 _
{
,, )
t q - !'
' O V' 9Qh s
s.O
'::m
+-
. s u
r YS Nv '
(?' ' 'k
?
4.0
@$ffp!N k,. $$$$
- '1 L
['
l n
.94 ;
- n a;o: 47 g7 2o 0.0 1989 90 91 92 93 1994 Fiscal Year 31
SUMMARY
- Program Goals and Performance Measures i
Nuclear Materials and Nuclear Waste Program I
i One of the goals of the materials safety program is;to ensure that radioactive materials -
l are safe and have adequate safeguards during transit.'.Approximately. 200,000 packages containing radioactive materials are shipped each year in NRC-certified l
packaging. Because NRC-certificd packaging is designed to wi hstand severe t
j accidents, the likelihood 6f n release occurring is minimal. Ar depicted in the i
following chart, there have been no transportation incidents invalving rr.dioactive l
releases from NRC-certified packages in the past five years.
I 1
TRANSPORTATION INCIDENTS
? FY.1990l.[hY 5991j
- FM 1992 h t FY/1993II FY 1'994*-
i Incidents invoMng NRC-Certified 3
13 4
7 1
Packaging Releases invoMng NRC-Cortified 0
0 0
0 0-Packaging t
- information is through March 1994 P
32
i s
j
SUMMARY
- Program Goals and Performance Measures i
NRC licenses and inspects about 7000 medical, academic, and industrial ' users of.
nuclear material and all commercial nuclear fuel facilities involved in the processing and fabrication of uranium ore:into reactor fuel. During FY 1994, the NRC completed about 4800 licensing actions for materials users. The following chart shows the average time to complete the materials licensing reviews. The average number of days to complete renewals is somewhat hgher timn previous years because of the complexity of some of these reviews.
MATERIALS UCENSING REVIEV/S Timeliness lONew Apps. & Amends. CJRenewalsl l
80 65 70 62 w
g 60 50 ---- - - 4g- ~ - - - - -
- 7 45 46 g~r -
8 44 mammmu W,. <y menu
- -40 * *42_
seman o
50 s M manags 3
m.mmmmel'dh
- f' muassa " **"
i
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4 x
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z 30 y
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- 'O,
'7" s
t y,
0 1990 91 92 93 1994 No. of Completions Fiscal Year 33
SUMMARY
- Program Goals and Performance Measures t
As shown in the following chart, the NRC completed about 2200 inspections of materials facilities in FY 1994; which exceeded the planned number ofinspections by four percent. Over the last four years, there has been a decline in the number of materials licensees, therefore, fewer materials inspections are planned and performed.
MATERIALS INSPECTIONS
[
lCPlanned CPerformedl as00 samuune
>'l -[ p m
. ~ -.
w-w+g
,s y
E 2500 C,'l,
.9 2x, 1,'yc y&Mn d
asusumus M
's 3 7'-
s q
3 3
2000
- : ',~
~
- l s
'j, 4 42
~ '
f
$500
- ' '3
+ '
~: t B
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. [' '
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' W..~.
E g[',;
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1000
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- ' ^
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0 1990 91 92 93 1994 Rscal Year l
34
i i
?
1 s
J 4
4 i.
j l
d, i
h I
j i
i REACTOR PROGRAM 4
i i
2 i
i l
1 i
t 1
i l
d I
l
(
4 i
4 3
1 4
4
]
i E
e
REACTOR PROGRAM (Dollar amounts in tables represent thousands of dollars ($K). In text, whole dollar amounts are used. Staff numbers represent full-time equivalents (FTEs).)
Total FY 1996 Estimate
$262,672,000 FY 1996 Estimate FY 1997 Estimate E
Change Change from Planning from FY 1994 FY 1995 Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by Function ($K)
Salaries and Benefits 153,911 148,419 150,000 1.581 144,462
-5,538 Contract Support 115,142 108,708 101.191
-7,517 98,510
-2,681 Travel 11,185 11,665 11,481
-184 11,158
-323 Total 280.238 268,792 262,672
-6,120 254.130
-8,542 Budget Authority by Cost c. enter ($K)
Reactor Reculation 235,955 228,922 225.661
-3,261 220,622
-5,039 Standard Reactor Designs 42,314 37,852 34,933
-2,919 31.476
-3,457 Test and Research Reactors 1,969 2.018 2,078 60 2,032
-46 Total 280,238 268,792 262,672
-6,120 254.130
-8,542 Full-Time Equivalent Employment by Cost Center Reactor Regulation 1,651 1,608 1,581
-27 1,574
-7 Standard Reactor Designs 192 176 169
-7 145
-24 Test and Research Reactors 14 15 15 0
15 0
Total 1,857 1,799 1,765
-34 1.714
-31 i
i
)
Changes in Budget Authority ($K)
FY 1996 Change from FY 1995 FY 1997 Change from FY 1996 l
Current Program Cost Center Services Requirements Total Total
)
Reactor Regulation 6,600
-9,861
-3,261
-5,039 i
Standard Reactor Designs 999
-3,918
-2,919
-3,457 Test and Research Reactors 60 0
60
-46 I
Total 7,659
-13.779
-6.120
-8,542 4
1 4
36
]
]
REACTOR PROGRAh!
/
EXPLANATION OF RESOURCE CHANGES FOR CURRENT SERVICES The change for current services reflects (1) increases in personnel campensation of C
2.0 percent general raise plus 1.21 percent locality raise expected in calendar year (CY) 1995, 2.4 percent expected in CY 1996, within-grade increases, and several minor adjustments, such as the varying number of paydays, the increased number of staff in the Federal Employees Retirement System, and the increased cost of benefits; and (2) increases for contract support and travel to reflect inflation estimated at 3.0 percent in FY 1996.
EXPLANATION OF RESOURCE CHANGES FOR PROGRAh! REOUIREh1ENTS Reactor Regulation The resource decrease in FY 1996 reflects the resolution of outstanding severe accident safety issues; completion of the aging studies on electrical and mechanical components conducted under the Nuclear Plant Aging Research program; licensing of Watts Bar Unit 1; and reorganization / streamlining efforts.
Standard Reactor Designs The resource decrease in FY 1996 reflects completion of the technical reviews in the design certification process for the two evolutionary reactor designs - the General Electric ABWP.
and the Combustion Engineering System 80+ designs; completion of the draft revisions of the Standard Review Plan (SRP) for the next generation of reactor designs and issunnee of the draft SRP for public comment; and completion of modifications for the ROSA-V facility that will be used to validate systems performance for the Westinghouse AP600 dedgn.
Test and Research Reactors There are no significant changes to the resources required to conduct this effort in FY 1996.
DESCRIPTION OF PROGRAh!
The Reactor Program encompasses all NRC inspection, oversight, and licensing of reactor facilities, as required by the Atomic Energy Act of 1954, as amended; all reactor regulatory research as required by the Energy Reorganization Act of 1974 (Section 205 of Public Law 95-209); and all other functions associated with reactors including evaluation of safety 37
REACTOR PROGRAM concerns, assessment of operational events and experience, technical training for NRC staff, independent review and legal advice to the Commission on safety issues, adjudicatory reviews, investigations of wrongdoing by reactor licensees, and reactor enforcement policy and actions to protect the public health and safety.
The Reactor Program is conducted by several NRC organizations, encompassing efforts at headquarters and in the regions. NRC's Office of Nuclear Reactor Regulation (NRR) is responsible for evaluating the public health effects, safety, environmental, safeguards, and antitrust aspects of reactor facilities; and enaring that civilian reactor facilities are designed, constructed, and operated safely and are in compliance with agency regulations. Through these efforts, the NRC ensures that nuclear reactors are designed and constructed properly and are ready for safe operation; that licensees operate nuclear plants safely and are adequately prepared to respond in the event of an accident; and that licensees possess the capability to protect against sabotage and theft of nuclear materials at reactors. NRR, in coordination with the Office of Nuclear Regulatory Research, ensures that the NRC is prepared for the future licensing of reactors by reviewing applications for standard reactor design certification and reactor license renewal and updating acceptance criteria for future applications in standard review plans and other regulatory documents.
The Office of Nuclear Regulatory Research (RES) is responsible for developing recommendations for research and engaging in or contracting for research deemed necessary by the Commission in performing reactor licensing and related regulatory functions. RES provides independent expertise and information for making timely regulatory judgments, anticipates problems of potential safety significance for which new or expanded knowledge can assist the NRC in pursuing its mission, and develops regulations and regulatory guidance necessary to implement Commission policy or technical requirements. In conducting the agency's reactor safety research program, RES uses relatively new and highly complex technologies to make regulatory judgments on matters related to safety that are well beyond normal experience-based engineering practice. The NRC finds it essential to develop a body of knowledge that gives confidence in judgments to avoid undue risk to the health and safety of the public, especially when these matters involve high-consequence accidents. The NRC uses this body of knowledge in establishing the technical bases for issuing timely safety regulations and completing licensing and inspection activities based on the NRC's longstanding philosophy of defense in depth.
In an effort to make use of all available sources of safety research information, the NRC is engaged in broad cooperative international safety research programs to exchange nuclear safety-related information and to conduct joint research projects of mutual interest. NRC's policy of cooperating with foreign groups is designed to (1) obtain foreign experimental and analytical research results to expand NRC's technical base; (2) encourage foreign safety 38
REACTOR PROGRAM research program.s to make the optimum use of NRC resources and enhance our research capabilities; and (3) interact with foreign nuclear safety organizations to obtain expert review of our research results. In addition, cooperative research between the NRC and industry is pursued in areas where conflict of interest issues are not involved.
Other NRC organizations also support the Reactor Program. The Office for Analysis and Evaluation of Operational Data (AEOD) provides the NRC with an independent capability to analyze operational data, and coordinates the development and implementation of the NRC staff technical qualification program. The Office of Investigations (OI) investigates alleged wrongdoing by licensees, applicants, contractors or vendors.
The Office of Enforcement (OE) takes appropriate enforcement action against licensees for violations of NRC regulations. The Office of Nuclear Material Safety and Safeguards (NMSS) evaluates the threat environment at domestic reactors. The Office of the General Counsel (OGC) provides legal advice on all matters pertaining to reactors. The Advisory Committee on
.h Reactor Safeguards (ACRS) provides independent advice to the Commission on safety aspects of proposed and existing nuclear plants. The Atomic Safety and Licensing Board Panel (ASLBP) conducts hearings and makes decisions in proceedings to grant, amend, suspend, or revoke NRC licenses.
The Reactor Program comprises the following three cost centers: Reactor Regulation; Standard Reactor Designs; and Test and Research Reactors.
The funds and staffing for each of the cost centers are discussed on pages 40 through 95.
The contract support funds are allocated for work done by Department of Energy (DOE) contractors, commercial contractors, small-business entities, nonprofit organizations (e.g.,
universities and foundations), and grantees. The narrative that follows describes these cost centers and addresses the reasons why the resources are needed.
39
REACTOR PROGRAM Reactor Regulation Cost Center FY 1996 Estimate FY 1997 Estimte s
IFY1995 Change Change fu W anning fu FY 1994 Enacted Request FY 1995 Estimate FY 1996 Enacted Budget Authority by Function ($K)
Salaries and Benefits 136,074 132,081 133,816 1,735 130,673
-3,143 Contract Support 89,177 85,671 80,871
-4,800 79,285
-1,586 Travel 10,704 11,170 10,974
-196 10,664
-310 Total 235,955 228,922 225,661
-3,261 220,622
-5,039 Budget Authority by Activity ($K)
Reactor Inspection 55,965 53,232 55,332 2,100 54,092
-1,240 Reactor Oversight 56,296 56,106 57,084 978 56,266
-818 f
Reactor and Site l
Licensing 5,404 4,354 1,705
-2,649 1,490
-215 Reactor Aging and Renewal 28,628 26,521 26.061
-460 25,342
-719 Reactor Safety Assessment and Regulation Development 41,837 41,250 38,214
-3,036 37,842
-372 Independent Analysis of Operational Experience 14.040 14.040 13.946
-94 13,536
-410 Technical Training and Quali fication 6,801 6,996 6,897
-99 6,781
-116 Investigations, Enforcement, and Legal Advice 5,734 5,805 5,949 144 5,815
-134 Independent Review 5,420 4,711 4,802 91 4.606
-196 General Support 15,830 15,907 15,671
-236 14,852
-819 Total 235,955 228,922 225,661
-3,261 220,622
-5,039 40
e REACTOR PROGRAM: Reactor Reculation j
FY 1996 Estimate FY 1997 Estimate Change Change from Planning from FY 1994 FY 1995 Enacted Enacted Request FY 1995 Estimate FY 1996 Full-Time Equivalent Employment by Activity i
Reactor Inspection 599 566 571 5
569
-2 Reactor Oversight 500 495 488
-7 493 5
Reactor and Site j
Licensing 36 31 9
-22 7
-2 j
Reactor Aging and Renewal 65 74 73
-1 73 0
l Reactor Safety Assessment and j
Regulation Development 79 81 82 1
82 0
Independent Analysis of i
Operational Experience 71 68 68 0
67
-1 Technical Training and Qualification 25 25 25 0
25 0
i Investigations.
4 Enforcement, and j
Legal Advice 60 59 59 0
59 0
Independent Review 46 42 42 0
41
-1 170 167 164
-3 158
-6
)
General Support l
Total 1,651 1,608 1,581
-27 1,574
-7 l
l This cost center is conducted to ensure that nuclear power plants are designed, constructed, and operated safely; to prepare for future licensing activities to renew existing reactor
.4 licenses and reactivate existing reactors that have been deferred; to establish a sound technical basis and regulatory framework for reactor licensing activities; to ensure that the safety-related reactor plant systems and components perform their required function and i
maintain their integrity and operability over the life of the plant; to provide technical requirements and the regulatory framework for renewal of nuclear power plant operating licenses upon expiration of their 40-year license term; and to evaluate safety concerns involving reactor facilities, assess reactor operational events and experience, conduct reactor technical training for NRC staff, provide technical advice to the Commission on reactor safety issues, conduct reactor adjudicatory reviews, investigate alleged wrongdoing by NRC 41 k
i
REACTOR PROGRAM: Reactor Reculation reactor licensees, and pursue reactor enforcement policy and actions to protect the public health and safety, This cost center comprises ten major activities: reactor inspection; reactor oversight; reactor and site licensing; reactor aging and renewal; reactor safety assessment and regulation development; independent analysis of operational experience; technical training and qualification; investigations, enforcement, and legal advice; independent review; and general support.
Reactor Inspection FY 1996 Estimate FY 1997 Estimate IFY1995 change Change from Planning from FY 1994 Enacted Request FY 1995 Estimate FY Enacted 1996 Budget Authority by Function ($K)
Salaries and Benefits 46,661 44,015 45,850 1,835 44,867
-983 Contract Support 4,377 4,350 4,479 129 4,357
-122 Travel 4,927 4,867 5,003 136 4,868
-135 Total 55,965 53,232 55.332 2,100 54,092
-1,240 l
l Full-Time Equivalent Employme.'t 599 566 571 5
569
-2 l
The NRC assesses licensee operation of nuclear power plants to ensure the safe operation of the facilities in accordance with NRC regulations. The primary focus is on plant operations, maintenance, engineering, and plant support; and includes efforts by NRC resident, region-based, and headquarters inspectors.
NRC's inspection program consists of three basic types ofinspections (1) the core inspection program, (2) plant-specific regional initiative inspections, and (3) generic safety issue inspections. For those plants that have demonstrated superior performance in specific areas of the NRC's systematic assessment of licensee performance (SALP) program, the goal is that they receive only the core inspection program and generic safety issue inspections in those areas in which they excel. Regional administrators have significant flexibility to direct additional inspections on safety problems and on plants that require speci;l attention rather 42 l
REACTOR PROGRAM: Reactor Regulation than on completing a more rigidly defined inspection program for each site. This flexibility helps to ensure that resources are allocated effectively to enhance reactor safety.
The NRC will conduct inspections at all 110 operating reactors during FY 1996-1997.
Historically the NRC has spent a yearly average of approximately 2,800 hours0.00926 days <br />0.222 hours <br />0.00132 weeks <br />3.044e-4 months <br /> in direct onsite inspection activities at each reactor. In recent years, however, industry performance has shown a demonstrated improvement. As a result, the NRC plans to reduce the direct onsite inspection effort to 2,700 hours0.0081 days <br />0.194 hours <br />0.00116 weeks <br />2.6635e-4 months <br /> per plant each year during FY 1996-1997. This reduction is expected to have no adverse effect on plant safety.
Resident inspectors serve as onsite NRC representatives in a variety of inspection functions.
Their primary job is to observe, evaluate, and report on the adequacy of licensee nuclear safety activities concentrating on day-to-day licensee operations, event follow-up activities, licensee management, and staff performance. In addition, they coordinate onsite activities of the various agency offices and participate in emergency exercises. Resident inspectors carry out the major part of the core inspection program and participate in regional initiative and generic safety issue inspections. In general, the NRC assigns resident inspectors to operating reactor sites in accordance with the "N+1" policy (the number of reactor units plus one). Exceptions to N+ 1 staffing can be granted only at multi-unit facilities that have shown sustained high-level performance.
Region-based and headquarters inspectors carryout specialist inspection activities to supplement the activities carried out by resident inspectors. These specialist activities include in-depth technical inspections, operationally determined inspections, vendor / contractor inspections, and operator licensing requalification inspections. In-depth, specialized technical inspections are carried out by inspectors in the broad areas of plant operations, maintenance, engineering, plant support, and licensee control systems (systems established by the licensee to identify, resolve, and prevent problems that would degrade plant safety). To augment the efforts of the region-based inspectors, the NRC contracts for highly specialized technical assistance in areas such as electrical and mechanical engineering, metallurgy, instrumentation, aerial radiological surveys, environmental monitoring at reactor sites, and other independent, confirmatory measurements.
In addition, region-based inspectors and headquarters staff respond to allegations of safety and safeguards violations at nuclear facilities and provide technical support to investigative personnel.
The NRC also conducts operationally determined inspections which are comprehensive examinations that evaluate the performance of all plant systems under specific circumstances. Such inspections include but are not limited to Safety System Functional Inspections, Safety Systems Outage Modification Inspections, Operational Safety Team Inspections, safety issue inspections, and special inspections relating to the restart of 43
1 REACTOR PROGRAM: Reactor Regulation shutdown plants (e.g. Tennessee Valley Authority plants). These inspections are conducted by teams of specialists that include operations, design, and installation-oriented personnel, and provide senior NRC management a national perspective on plant performance in cases where regional inspections indicate the need to further examine overall operational safety.
The NRC plans to conduct approximately 45 operationally determined inspections each year.
Vendor / contractor inspections are reactive in nature and determine whether suppliers of materials, components, and services used in nuclear power plants are complying with NRC requirements. These inspections improve reactor safety by (1) ensuring that root causes of -
reported vendor-related problems are identified and that suitable corrective actions are developed and implemented, (2) informing the nuclear industry of substandard, suspected counterfeit, or fraudulently marketed vendor products, and (3) ensuring that fraudulently marketed products are traced to their source. The NRC plans to conduct approximately 35 reactor vendor / contractor inspections each year through FY 1997.
Reactor operator licensing requalification inspections were implemented as part of the FY 1994 amendment to NRC's operator licensing regulations. The NRC will use this performance-based inspection program to evaluate licensee examination and training programs and to improve operational safety through early identification and correction of programmatic weaknesses.
To improve the inspection process, the NRC will continue to assess the effectiveness and implementation of the inspection program and apply lessons learned from events and inspection and enforcement findings to the inspection process.
l
[
44 T
a a
REACTOR PROGRAM: Reactor Regulation Reactor Omsieht FY 1996 Estimate FY 1997 Estimate lFY1995 Change Change from Planning from FY 1994 Enacted Request FY 1995 Estimate FY 1996 Enacted Budget Authority by Function ($K)
Salaries and Benefits 42,201 41,491 42,108 617 41,690
-418 Contract Support 11.600 11,615 11,854 239 11,538
-316 Travel 2,495 3,000 3,122 122 3.038
-84 Total 56.296 56,106 57,084 978 56,266
-818 Full-Time Equivalent Employment 500 495 488
-7 493 5
The NRC ensures that operating facilities maintain adequate levels of protection of public health and safety in their daily operation and throughout the life cycle of the plant. The NRC oversees safety in all operating conditions, in the event of a radiological emergency or theft of nuclear materials or sabotage. This safety oversight includes assurances that facilities are adequately designed and maintained, and that trained and qualified operating and technical support personnel can prevent or cope with accidents. The NRC fulfills its oversight role by performing probabilistic risk assessments to identify inadequacies in plant design and operation; evaluating operating experience and unanticipated events; resolving safety issues, inspection findings, and licensee proposals; and sponsoring safety research.
These efforts enable the NRC to evaluate both plant and human performance, including accident management capability, and to focus on operational safety.
Senior agency managers have the discretion to apply additional attention to plants for which systematic assessment of licensee performance (SALP) scores, significant events, or inspection findings indicate deficiencies.
Project managers perform the overall management activities pertaining to the regulation of nuclear power plants and serve as the headquarters point of contact with licensees, other NRC staff, and the public on safety matters concerning specific plants. They assign priorities to safety issues and manage the review and issuance of license amendments. In addition to reviewing plant modification activities that are initiated by licensees, project managers also review safety and environmental modifications to operating plants that are directed by the NRC as a result of safety, environmental, and safeguards assessments.
Through these modifications, the NRC ensures that operating facilities achieve and maintain 45
REACTOR PROGRAM: Reactor Reculation adequate protection of the public health and safety. Project managers also consult with State and local officials and reply to public and congressional inquiries. In addition, they conduct selected technical reviews, coordinate complex technical reviews, evaluate overall licensee performance, and assist the regions in developing inspection plans. The NRC will continue to conduct project management activities for 110 operating reactors through FY 1997.
After an operating license is issued, the requirements of the license may need to be changed as a result of routine activities, technical advances, or unexpected events at power plants.
Detailed technical review of these licensing actions is necessary to ensure that the operational safety of the plant is not compromised. Routine post-licensing activities affecting reactor operations include requests for license amendments, requests for exemption from regulations, new regulations requiring backfit modifications to operating reactors, and orders for modifications of a license. Licensing actions can affect more than one plant.
To manage these changes effectively, the NRC has made a distinction between items that require review and approval by the NRC before they are implemented by the licensee (licensing actions) and items that either require licensee certification or do not require prior NRC review and approval (other licensing tasks).
The NRC expects to complete approximately 1,200 operating reactor licensing actions each year through FY 1997. These actions include conversions of plant-specific technical specifications to the improved standard technical specifications. As technical specifications (that are part of the operating license) increased in size over the years, some of the requirements became less safety-significant than others. Therefore, the NRC has worked with industry to improve technical specifications to make them more operator oriented and to focus on the more safety-significant requirements. Through FY 1997, the NRC will continue efforts to convert existing technical specifications for five lead plants (seven units) to the improved standard technical specifications. Three units are expected to convert by the end of FY 1995, and the remaining four units in FY 1996. Confirmation that the conversions were performed correctly will be completed in FY 1997.
Another major licensing action effort will result from applications from licensees to increase their power ratings by a small percentage (5 percent). Licensees of approximately 20 boiling water reactor (BWR) units have expressed interest in the BWR power uprate program; power uprates could increase the available electrical generating capacity in the United States by 1,000 megawatts with minimal plant modification and minimal impact on plant safety margins. The NRC expects to process four to six power uprate applications each year through FY 1997.
46
REACTOR PROGRAM: Reactor Regulation i
i The NRC will also continue to review licensing actions that have no adverse effect on safety j
but that would provide economic relief to licensees. These cost beneficial licensing actions (CBLAs) can reduce the burden on licensees without adversely affecting safety at currently operating plants. To be responsive to requests for CBLAs, the NRC will assign a higher review priority to requests of relatively low safety significance when such changes result in a high economic benefit to licensees. Safety significant issues will continue to receive high priority.
"Other licensing tasks" - license changes that do not require NRC review and approval before they are implemented by the licensee - may result in a safety evaluation, a letter to the licensee, or NRC internal documentation concerning technical or administrative issues for a particular plant. The NRC expects to complete approximately 1,000 "other licensing l
tasks" each year through FY 1997.
I NRC's severe accident policy statement requires that all operating reactors undergo systematic examination to identify plant-specific features that are dominant contributors to j
risk. Individual plant examination (IPE) reports submitted by licensees are potential sources j
of licensing tasks. After the initial review by the Office of Nuclear Regulatory Research (RES), the Office of Nuclear Reactor Regulation (NRR) screens the findings to identify i
generic license implications and to initiate followup action.
Another source of licensing tasks is the review of the procedures that licensees maintain for coping with accident conditions (emergency operating procedures) and for implementing offsite protective measures (offsite emergency plans). Upgrades to the emergency operating procedures improve their technical content and increase their usefulness by applying human j
factors principles in their development.
The NRC can streamline the licensing action process by reviewing and approving topical reports submitted by licensees, vendor / owner groups, and other parties. Topical reports i
deal with safety issues common to a set of plants. The NRC will review the 10 to 20 most safety-significant topical reports each year through FY 1997.
Each year the Reactor Engineer Intern Program graduates a group of qualified, broadly a
trained technical and engineering personnel to assume professional positions in the NRC.
l Through a series of rotational and technical training assignments, the interns are given broad exposure to the work performed by the NRC. After successfully completing the i
2-year program, interns are assigned permanently to technical professional positions. During FY 1996-1997, the program will continue to support both the headquarters and the regional missions of the Reactor Regulation Cost Center.
1 47 4
f i
REACTOR PROGRAM: Reactor Regulation Experience has shown that safety issues will continue to arise as a result of events at operating reactors. in response to these events, the NRC analyzes various aspects of reactor performance to identify actions that would help to prevent significant events, and disseminates the findings to licensees via generic communication. This work supports NRC's accident prevention goals of having an effective regulatory program for designs that reduce the potential for safety-system challenges, high availability of equipment, effective operating personnel, and timely sharing of operating experience.
The NRC conducts prompt technical assessments of approximately 2,000 to 2,500 reactor event reports and augmented inspection team reports each year to determine the immediate safety implications for a facility, the applicability to other operating reactors, and the regulatory actions that must be taken. Event reports include telephone notifications of significant events at licensed reactor facilities, as well as additional event and followup reports submitted through the NRC's regional offices. Each year, approximately 300 event reports require followup effort by the NRC to ensure that affected facilities take appropriate corrective action. In addition, approximately 200 event reports require immediate corrective actions in the form of oral and written guidance and, on occasion, orders and confirmatory action letters. For certain significant events having generic concerns, the NRC issues temporary instructions to enable each region to verify licensee implementation of corrective actions.'
Each year, NRC's regional offices submit approximately 50 potential generic safety questions and associated reports to the NRC headquarters staff for technical assessment. These questions are reviewed, the reports analyzed, and the results considered for dissemination to the licensees. In addition to the reports submitted by NRC regional personnel, the NRC expects that approximately 200 reports of defects and/or noncompliance (10 CFR Part 21) will be submitted annually by licensees and permit holders.
The NRC will also continue to support the incident investigation program by providing resources for approximately 15 augmented inspection teams and incident investigation teams each year through FY 1997 in response to significant operating events.
NRC's performance evaluation processes improve the agency's ability to evaluate the effectiveness of licensee performance to ensure safe plant operation.
In evaluating performance, the NRC integrates data from many sources including technical reviews, licensee organizational structure evaluation and staffing, performance inspections, research, responses to industry initiatives, design and procedures change processes, and reports on the effectiveness of operating plant maintenance and surveillance. NRC senior management uses these results to appraise plant performance and direct attention to those plants of greatest concern.
48
l i
s 6
i-REACTOR PROGRAM: Reactor Regulation The systematic assessment of licensee performance (SALP) program is a major effort that j
involves collecting and assessing inspection data on each site. The purposes of the SALP 1
review process are (1) to conduct an integrated assessment of performance for safe plant
]
operation, (2) to provide a means for useful dialogue with the licensee, (3) to assist NRC i
]
management in allocating resources used to inspect and assess licensee performance, and i
(4) to inform the public of NRC's assessment of licensee performance. NRC's SALP 4
methodology places special emphasis on licensee performance in the areas of operations, maintenance, engineering and plant support. Through FY 1997, the NRC will continue to conduct SALP reviews for each reactor site on about n 18-month schedule, depending on t
}
licensee performance. The NRC will issue approximately 50 SALP reports covering i
approximately 80 operating units each year.
i 1
By integrating data collected from programs and activities such as inspections, enforcement, j
event evaluations, SALP reviews, operator examinations, and trend analyses, the NRC j
compares current operational trends with historical patterns 'Firough FY 1997, the NRC 1
will continue to use these data to evaluate operational perforinance at nuclear power plants i
to identify plants that exhibit declining, marginal, or unacceptable safety performance, to determine appropriate corrective action, and to evaluate the effectiveness oflicensee actions to address declining, marginal, or unacceptable safety performance. The NRC will continue s
l to emphasize identification and correction of root causes of declining, marginal, or unacceptable safety performance.
l NRC's quality assurance program provides another vehicle to ensure acceptable operational safety at nuclear power plants by determining the underlying causes of major operations-related problems and ensuring their timely detection and correction.
The NRC will j
continue to develop and implement methodology, procedures, guidance, and training for
]
NRC inspectors. In addition, it will continue to support industry initiatives to perform i
critical self-assessments, that are designed to heighten licensee awareness and to enhance
]
licensee ability to predict plant performance trends and resolve associated problems as early j
as possible. The NRC will conduct approximately 35 technical reviews of new and revised licensee quality assurance programs each year through FY 1997.
l In addition to reviewing reactor performance at plants that have been operational for longer j
periods, the NRC must evaluate licensee performance and review licensee test programs for i
initial plant startup and for restart of plants that have been shut down. Through FY 1996, l
the 'W ' will focus its restart review efforts on Browns Ferry Units 1 and 3.
The NRC's new performance-based maintenance rule will become effective on July 10,1996.
The Commission believes that safety can be enhanced by improving nuclear power plant maintenance across the industry and that effective maintenance must be sustained over the 49
REACTOR PROGRAM: Reactor Reculation life of each facility.
In FY 1996, the NRC will continue to conduct pilot inspections at selected licensee facilities to evaluate NRC procedures for inspecting licensee implementation of the maintenance rule.
The NRC must license all personnel authorized to operate reactors. To fulfill this responsibility, the NRC currently administers initial and requalification examinations to approximately 5,000 licensed power reactor operators to evaluate their understanding of the facility design and their familiarity with the controls and operating procedures. These examinations consist of both written examinations and hands-on operating tests under g
J simulated operating conditions.
Initial examinations are given to new operators at existing power reactor facilities to ensure that operating plants are staffed by qualified operators. The NRC plans to conduct approximately 850 initial examinations for power reactor operators each year through FY 1997.
As part of the initial examination process, the agency will also conduct approximately 650 generic fundamentals examinations annually to measure the candidate's knowledge of reactor theory, plant components, and thermodynamics.
In FY 1994, the Commission approved a change to the operator licensing rule that will enable the NRC to more efficiently utilize its resources by inspecting licensees' requalification programs to verify continued operator proficiency rather than conducting individual requalification examinations. The NRC will continue to conduct requalification examinations at selec' facilities "for cause" only - because of inspection results or licensee performance
- otilems.
Through FY 1997, the NRC plans to inspect 50 requalification programs each year.
Also included within the scope of operator licensing activities are efforts to resolve generic problems associated with operator licensing, to maintain an examination question bank, to review appeals pertaining to license denials, and to improve the proficiency of examiners.
Through FY 1997, various aspects of examination program implementation (including the newly developed examiner training syllabus, upgraded refresher training for examiners, and improved guidance for preparing and conducting examinations) will be evaluated.
The plant personnel training and human-systems interaction efforts included in this activity evaluate the ability of nonlicensed nuclear power plant personnel to meet job performance requirements; ensure that an effective mechanism exists to assess and improve, where necessn3 h quality and effectiveness of licensee training programs (not including the requdiNWp program training discussed above); and ensure that nuclear power plant operational evems involving human performance receive a detailed analysis that will enable the root causes to be determined and corrections to be made.
50 o
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l REACTOR PROGRAM: Reactor Reculation i
l l
In compliance with the April 1990 decision by the U.S. Court of Appeals for the District of Columbia, the NRC issued, in 1993, regulatory requirements for training and qualifying civilian nuclear power plant personnel. The regulation,10 CFR 50.120, " Training and Qualification of Nuclear Power Plant Personnel," supersedes the amended policy statement l
on " Training and Qualification of Nuclear Power Plant Personnel" issued in November 1988.
l The NRC continues to endorse the Training Accreditation Program managed by the Institute of Nuclear Power Operations (INPO). The staff will monitor and evaluate the effectiveness of this accreditation program by participating in INPO's accreditation team visits. NRC teams, licensing examiners, and/or training and assessment specialists will conduct performance-based post-accreditation reviews. The NRC senior staff will also observe the discussions of the INPO team representatives and the utilities before the National Nuclear Accrediting Board. To conduct the evaluations and determine adherence to the new rule, the NRC will observe INPO training accreditation team visits at two or three sites each year through FY 1997. The NRC also plans to conduct approximately seven j
training program inspections for cause each year to ensure program effectiveness.
l l
The NRC will continue to provide project management oversight of all reactors in the decommissioning process, including reviews of all proposed license amendraents, exemption requests, and decommissioning plans. Based upon recent experience with prematurely shutdown plants, the NRC is also reviewing the regulatory process for decommissioning. As l
part of this review, the staff will clarify the applicability of existing regulations to plants in the decommissioning process, reducing the need for licensees to submit exemption requests.
l On the basis of the results of NRC's analysis of a reactor operating event, a licensee or vendor deficiency report, or a study or report issued by NRC's Office for Analysis and Evaluation of Operational Data, the NRC may determine that a potential safety problem i
exists and recommend or require that corrective action be taken. In cases that warrant prompt notification oflicensees, vendors, and the agency staff of the existence of a potential safety-related problem, the NRC will issue a generic communication (i.e., a generic letter, information notice, or bulletin) that will recommend or require corrective action. The NRC recently revised the process it uses to develop and issue generic communications. The revised process ensures greater participation by interested groups and the public in developing generic communications that state new staff positions or that seek additional l
licensee commitments. The NRC expects to prepare and issue approximately 110 generic communications each year.
To assist the staff in analyzing data and making decisions on issues affecting safety, the NRC created an in-house organization to develop and apply advanced computer codes used to analyze plant data for operating reactor performance, safety analyses of new reactor designs, 51
REACTOR PROGRAM: Reactor Regulation and other special studies. During FY 1996-1997, the NRC will maintain the analytical capability to support technical staff reviews.
As part of its mission to ensure the public health and safety, the NRC must maintain the ability to safeguard nuclear power facilities against radiological sabotage and theft of nuclear materials. In its continuing effort to evaluate the threat environment, the NRC assesses all reported information on potential or actual threats worldwide; adversary characteristics, intentions, and capabilities of terrorist group activities; and any relevant domestic or foreign events of a nuclear or nonnuclear nature. A team of specialists is available to work with NRC licensees to assess reported threats and to respond promptly. Through FY 1997, the NRC will continue its trends analysis efforts and its program to review and evaluate threat information. The NRC will also publish annual revisions to the " Safeguards Summary Events List" (NUREG-0525).
Reactor and Site Licensine FY 1996 Estimate FY 1997 Estimate IFY1995 Change change fran Planning from FY 1994 Enacted Request FY 1995 l Estimate FY 1996 Enacted Budget Authority by Function ($K)
Salaries and Benefits 2.924 2,492 786
-1,706 598
-188 Contract Support 2,354 1,660 709
-951 687
-22 Travel 126 202 210 8
205
-5 Total 5,404 4,354 1,705
-2,649 1,490
-215 Full-Time Equivalent Employment 36 31 9
-22 7
-2 l
The NRC ensures that nuclear power plants are designed and constructed properly and are ready for safe operation, and prepares for and conducts future licensing activities associated with new reactor designs and the reactivation of deferred reactors.
The NRC is responsible for reviewing applications for reactor construction permits and reactor operating licenses to evaluate their safety, environmental, and safeguards aspects, i
as well as their antitrust implications. As part of the review process, the NRC inspects reactors throughout their construction to assess applicant conformance with construction 52 l
l
i l
l l
REACTOR PROGRAM: Reactor Reculation standards. The NRC also assesses the operational readiness of each applicant to ensure that plants are ready for and capable of safe power operation before issuing an operating license.
In FY 1995, the NRC will issue an operating license to Watts Bar Unit 1. At present, there are no construction permit or early site permit applications pending NRC review.
The NRC continues to enhance its capability to review new applications and to create a stable and predictable licensing environment. During FY 1996-1997, the NRC will focus on l
tasks in several siting and environmental areas including (1) revision to parts of the environmental standard review plan to reflect requirements in NRC regulations, regulatory guides, and technical specifications, and to update site suitabilhy and emergency preparedness issues in areas such as the geosciences in which significant changes in technology and assessment methods warrant inclusion in the review Fuidance to the staff, t
l (2) enhancement of geographical information and expert systems capabilities for site l
chr
-izations and license reviews, and (3) revision of the reactor sitsg criteria contained l
in 10. R Part 100 to decouple source term and dose calculations from reactor siting. The l
update will include revisions to Appendix A, " Seismic and Geologic Siting Criteria for l
Nuclear Power Plants" to reflect improved understanding of geological and seismological phenomena gained since the adoption of Appendix A in 1973.
l Reactor Agine and Renewal l
FY 1996 Estimate FY 1997 Estimate Change Change FY 1994 FY 1995 from Planning from Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by Function ($K)
Salaries and Benefits 5.634 G,357 6.448 91 6,316
-132 Contract support 22,826 19,973 19,418
-555 18.841
-577 Travel 168 191 195 4
185
-10 Total 28,628 26.521 26.061
-460 25,342
-719 Full-Time Equivalent Employment 65 74 73
-1 73 0
l l
As reactors age and approach the expiration of their operating licenses, the NRC must l
(1) be prepared to evaluate applications to renew current reactor operating licenses beyond their expiration dates, (2) understand the effects of aging on materials and safety-related 53 l
REACTOR PROGRAM: Reactor Reculation systems and components, (3) ensure that the safety-related reactor plant systems and components perform their required function and maintain their integrity and operability over the life of the plant, and (4) establish the technical requirements and regulatory framework for renewal of nuclear power plant operating licenses upon expiration of their 40-year license term.
The NRC must be prepared to evaluate licensee applications to renew current reactor opersmy, licenses beyond their expiration dates. This preparation involves determining technical and policy issues, resolving licensing issues, and defm' ing the criteria and process to review such renewal applications. The NRC issued the final rule (10 CFR Part 54) in December 1991, establishing the procedural requirements that an applicant for renewal of a nuclear power plant operating license must meet and the information that the applicant must submit to the NRC. As a result of industri concerns associated with the efficiency of implementation of the final rule and the ned to integrate the maintenance rule (10 CFR 50.65) with the renewal rule (10 CFR Part 54), the NRC issued a proposed amendment to 10 CFR Part 54 that is expected to become final in FY 1995. The SRP and regulatory guide are projected to be completed in FY 1996.
1 In a separate rulemaking, the NRC is revising 10 CFR Part 51, Environmental Protection Regulations for Domestic Licensing and Related Regulatory Functions, to enhance the agency's environmental review process for reactor license renewal. The final revised rule is scheduled for publication in FY 1995. It is anticipated that a number of environmental issues previously identified for generic consideration in the proposed rule will be reclassified to require plant-specific analyses. The need for plant-specific analyses will increase the effort required to complete environmental reviews associated with license renewal applications.
When the NRC first approached the license renewal process, lead plants were thought to be the best way to resolve issues associated with license renewal. Since that time, however, both lead plants - Yankee Rowe and Monticello - have either withdrawn or indefinitely postponed their applications for plant-specific reasons. From this experience, both the NRC and the industry have concluded that a generic approach is needed to work through the license renewal process for the first time. The Babcock & Wilcox (B&W) Owners Group has started discussions with the NRC on a license renewal program for B&W design facilities. Submittal of a license renewal application from a B&W member plant in FY 1997 is one of the objectives of this program. The Westinghouse and BWR (Boiling Water Reactor) Owners Groups are pursuing a similar approach; however, no schedule has been established for a submittal from either owners group. The Baltimore Gas & Electric Company has also asked the NRC to review its proposed program to implement the license renewal rule.
54
I REACTOR PROGRAM: Reactor Regulation The industry's generic programs will identify systems, structures, and components that need to be reviewed to determine if the effects of age-related degradation are being managed by existing programs or if additional analyses or actions are necessary. In parallel with the generic license renewal program, the NRC plans to develop and revise the technical and environmental standard review plans for license renewal to reflect experience gained during the generic program reviews and to enhance future reviews oflicense renewal applications.
Aging affects all reactor systems, structures, and components in various degrees and has the potential to increase risk to the public health and safety ifits effects are not controlled. To ensure continuous safe operation of currently licensed reactors, the NRC will characterize aging effects, evaluate methods to detect aging degradation, and evaluate the effectiveness of typical current maintenance and repair practices to mitigate the effects and diminish the rate of degradation caused by aging. The NRC will accomplish this by conducting experiments on a wide variety of materials under a wide range of expected environmental conditions. The assessment of the safety implications of aging will be used as the basis for making decisions on extending reactor operation beyond the original license period of 40 years.
The NRC will evaluate the cumulative effects of radiation on reactor pressure vessel l
materials that occur during the normal service of operating reactors to (1) determine the factors that can cause the vessel to become increasingly brittle and potentially fait during i
normal operation and accidents and (2) identify factors or processes, such as annealing, that can ameliorate these consequences. Brittle fracture of the reactor pressure vessel, that could result in a core melt accident, must be prevented by ensuring that adequate safety margins exist in NRC regulations. The current safety margins are intended to cover uncertainties in analysis methods and material characteristics used in evaluating reactor i
pressure vessel safety. To ensure that reactors can continue to operate safely during the 40-year license term and during an additional 20-year license renewal period, the actual behavior of reactor pressure vessel materials exposed to radiation must be reflected in the NRC's safety analyses, and the analytical methods and material databases must be validated to ensure that an adequate, but not unnecessarily large, margin of safety exists.
Experimental and analytical research on the effects of temperature, stress, irradiation, and flaws will be used to provide assurance that reactor pressure vessels will not fail by brittle fracture during service or in the event of an accident.
The NRC will continue the technical review of pressurized thermal shock (PTS) issues started in FY 1992 with the Electric Power Research Institute (EPRI). This technical review will address the fracture mechanics and materials aspects of the PTS analyses described in Regulatory Guide 1.154, to determine which aspects of the guide warrant revision. This effort is expected to contribute to an overall assessment of the guide, 55
REACTOR PROGRAM: Reactor Reculation providing input to the technical basis for its revision in FY 1996. During FY 1996-1997, the NRC will complete tests simulating an axial or circumferential surface crack in a pressure vessel to evaluate the combbed effects of bi-axial loading and cladding, and issue the final report. The results of the -ffects of stainless steel cladding on fracture initiation under startup and accident loadings, such as PTS, will be incorporated in the NRC evaluation.
During FY 1996-1997, the NRC will evaluate the effects of fracture-mode conversion and the effects of high loading rates on fracture toughness for reactor pressure vessel materials.
During FY 1995-1996, the NRC will perform irradiation and testing to evaluate the effects of thermal annealing and reirradiation on irradiation-embrittled reactor pressure vessel steels to validate the draft rule and regulatory guide on thermal annealing which was issued for public comment in early FY 1995. In FY 1995, the NRC will complete the irradiated material characterizations and begin the irradiated and annealed testing. In FY 1996, testing of the annealed specimens will be completed, the reirradiating begun, and the results reported.
During FY 1995-1997, the NRC will develop and verify physical models, based on fundamental mechanisms, for radiation hardening and embrittlement, and correlations needed to update the calculation procedures for predicting changes in toughness of irradiated pressure vessels. Advanced microscopic techniques will be used to characterize relationships between fundamental properties and service-induced microstructures. The NRC will also participate in the International Group on Radiation Damage Mechanisms.
During FY 1995-1997, the NRCwill develop, maintain and upgrade computerized databases, calculational procedures, and standards for determining fluence spectra and assessing embrittlement of reactor pressure vessels and will determine the uncertainties with predictive methods and databases.
In FY 1996, the NRC will continue to participate in international cooperative projects on pressure vessel fracture. In FY 1995, analyses of large-scale experiments to validate pressure vessel fracture mechanics analysis methods as part of a continuing effort by the Fracture Analysis Group sponsored by the Comm.itte;e on the Safety of Nuclear Installations (CSNI) will be completed. In FY 1996, the NRC~will also participate in the Commission of European Communities (CEC) Network for Evaluating Steel Components program by performing and reporting pre-and post-test analyses of the large scale fracture experiment.
In FY 1996, the NRC will complete testing and data analysis to support an update of the American Society of Mechanical Engineers (ASME) Code Section XI fatigue crack growth rate curves and the Section III fatigue design curves for piping and pressure vessel steels.
The effects of operating temperature, loading history, and light-water reactor environment 56
REACTOR PROGRAM: Reactor Reculation will be addressed. In FY 1996, the NRC will provide to the Section III subcommittee, updates for crack growth rate curves, which, if accepted, would be incorporated in updates for fatigue design codes. In FY 1995, the NRC will study fatigue and crack growth for thermally aged cast stainless steels to quantify the degree and significance of reductions in fatigue life or increases in environmentally assisted crack growth rates. The data will be provided to the cognizant committee for the ASME Code Section III for consideration in the FY 1996 update of the fatigue life and Section XI crack growth rate curves.
The NRC will complete irradiation of austenitic stainless steels and other materials (Alloys 600,182) in the Halden reactor to provide test materials to assess the effect of composition on irradiation-assisted stress corrosion cracking (IASCC) susceptibility and radiation embrittlement in FY 1995. In FY 1995, the NRC will begin testing low and medium fluence irradiated materials for fracture toughness to develop fracture toughness correlations and determine effects of material composition and water chemistry on intergranular stress corrosion cracking susceptibility. Also in FY 1995, the NRC will begin testing high fluence materials, and will complete the test and analyses in FY 1997.
Steam generator tubes comprise more than fifty percent of the primary pressure boundary surface. Various forms of tube degradation have occurred since the inception of commercial operation of PWRs. In recent years, various forms of environmentally induced cracking have been most prominent. The NRC will conduct research to quantify the parameters responsible for this cracking and on methodologies for inspection and evaluating the i
continued integrity of degraded tubes. During FY 1996, advanced methods of inspection for degraded steam generator tubes will be validated and recommended for incorporation in the ASME Code Section V. In FY 1997, initial models will be developed for predicting crack initiation and growth, leak rate and burst pressure as a function of the operating environment.
In FY 1996, the NRC will recommend upgrading ASME Code and regulatory positions to reflect the results of the International Program for the Inspection of Steel Components (PISC III) and will pursue code adoption.
In FY 1996, the NRC will complete and publish a report on a risk-based inservice inspection pilot study of BWRs. Additionally, in FY 1996, the NRC will issue a report on risk-based inspection of LWR components to describe specific inservice inspection programs for various components in nuclear power plants.
During FY 1995-1996, the NRC will acquire and analyze aged cable and electrical equipment from shutdown plants as available. In situ aged degradation will be compared with prior accelerated aging results.
2 57
REACTOR PROGRAM: Reactor Regulation In FY 1995, the NRC will publish final technical reports of aging research completed on the following components and safety-related systems: heat e.tchangers, electrical connectors in Class 1E distribution system, low pressure /RHR emergency core cooling system, auxiliaiy feedwater system, turbine drives, and governors.
In FY 1996, NRC will propose amendments to 10 CFR 50.55a to: (1) eliminate the 10-year update requirement for licensee inservice inspection (ISI) and inservice testing (IST) programs; (2) establish baseline regulatory requirements for ISI and IST programs based, respectively, on specific edition / addenda of the ASME Boiler and Pressure Vessel Code (ASME BPV Code), and the ASME Operation and Maintenance Code (ASME OM Code);
(3) provide for voluntary implementation of subsequent edition / addenda of the ASME BPV and OM Codes that have been approved by the NRC, and for mandatory implementation of certain provisions of these subsequent edition / addenda that are supported by backfit considerations; (4) expand the scope of 50.55a to require ISI and IST of safety-related snubbers; and (5) based upon new industry input, remove the modification in 50.55a that applies to ASME BPV Code rules for IST of containment isolation valves.
i In FY 1996, a technical basis will be developed for understanding valve and motor-operator behavior under design basis conditions to support NRC regulatory needs for evaluating licensees implementation of Generic Letter 89-10, and prioritization of motor-operated valves (MOVs) based on risk. In FY 1996, the NRC will issue the results of tests performed on MOVs and will submit the results to ASME to consider as a basis for revising appropriate ASME Standards. Development of a technical basis to support NRC regulatory staff in evaluating licensee applications of the EPRI performance prediction method and other methods for demonstrating MOV operability will be completed in FY 1996 and a basis for determining motor-operator margins required to counter the detrimental effects of valve and motor-operator aging degradation will be completed in FY 1997.
During FY 1995-1997, the NRC will continue to address license renewal issues, both safety and environmental, as they may arise. During FY 1996-1997, the NRC will also initiate and conduct a rulemaking on Alternative Site Review.
58
REACTOR PROGRAM: Reactor Regulation Reactor Safety Assessment and Reerdation Development FY 1996 Estimate FY 1997 Estimate Change change from Planning from FY 1994 FY 1995 Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by Function ($K)
Salaries and Benefits 7.026 7,155 7,436 281 7.277
-159 Contract Support _
34,374 33,687 30,363
-3,324 30,174
-189 Travel 437 408 415 7
391
-24 Total 41,837 41,250 38,214
-3.036 37,842
-372 Full-Time Eaulvalent Employment 79 81 82 1
82 0
l This activity is conducted to (1) provide an in-depth examination and understanding of abnormal operating events and plant transients experienced by the nuclear industry; (2) understand the causes of human error during reactor operations and maintenance, including the effects of operator / control system interfaces on human performance; (3) understand ways to prevent and mitigate the consequences of severe core damage or core melt accidents; (4) improve the NRC's ability to evaluate the potential effects of earthquakes on reactor operations; (5) assess the adequacy of safety margins in the current analysis methods used to ensure reactors can continue to operate safely; and (6) manage the development of revised reactor-related regulations, policy statements, and regulatory guides that incorporate research results.
Understanding safety-significant abnormal operations and plant transients experienced by the nuclear industry is an important element in the Commission's continuing efforts to maintain an adequate margin of safety as more plants are brought on line and as operating plants continue to age. Analysis of these operating events requires information on the processes of heat transfer and fluid flow (the thermal-hydraulic response) of the reactor coolant system over the range of plant transients and accidents that could potentially occur.
These events include design-basis accidents (required to be analyzed in license applications),
non-design-basis events such as multiple-system or component failures, common mode failures, and operator errors that have been revealed through probabilistic risk assessments and operating experience.
59
REACTOR PROGRAM: Reactor Reculation Plant performance research is being conducted by the NRC to provide validated methods by which the staff can evaluate design-basis accidents, safety implications of actual events and hypothetical transient scenarios determined to be major contributors to risk as shown by probabilistic risk assessment studies and actual operating events. This work is focused on integrating experimental data and associated calculations into a firm technical basis to support regulatory actions such as modifications to plant technical specifications, reviews of accident management plans, or remedial actions responding to operating events. The principal products of this research are analytical tools (computer codes) used to understand and predict the plant response to deviations from normal operating conditions. De capability of the computer codes to predict plant response with an acceptable uncertainty is validated using (1) basic experiments to derive empirical formulas for determining coolant system behavior under postulated transients; (2) separate-effect experiments to evaluate the code predictions for a single, complex component; and (3) integral system experiments to evaluate the code predictions for a complete reactor system.
During FY 1996-1997, the NRC will continue archiving and retrieving experimental thermal hydraulic data from the established experimental data bank. The data bank contains test data from domestic and foreign thermal-hydraulic related experiments, and plant startup and operational transient data. The data bank is a central repository of qualified results in a standard format, and includes over 800 digital magnetic tapes that can be readily accessed by the staff to support specific licensing actions.
During FY 1996-1997, the NRC will continue to maintain and improve the TRAC-PWR and RELAP5 computer codes. RELAP5 is a light-water reactor transient analysis code used to support rulemaking and to evaluate generic safety issues, audit license submittals, and analyze unresolved safety issues. RELAPS is also a basic component of the Nuclear Plant i
Analyzer (NPA). The NPA is operational at NRC Headquarters to provide an in-house analysis capability to evaluate accident management strategies, advanced reactor design capabilities, and significant abnormal events in operating reactors. The NRC will continue to develop and maintain a representative set of plant input decks to support the use of the NPA. Other thermal hydraulic codes (TRAC-BWR, RAMONA-3B) will also be maintained
'to ensure these codes reflect the latest results of foreign and domestic safety experiments and recent operating events. The TRAC-PWR code is for PWR analyses, whereas TRAC-BWR and RAMONA-3B codes are for BWR analyses. RELAP5 can analyze either PWR or BWR plants. The TRAC, RELAP5, and RAMONA-3B codes will also be used to analyze new reactors of advanced design. That effort is discussed in the Standard Reactor Designs Cost Center.
The NRC will continue to contribute to the Code Applications and Maintenance Program, an international program among members of the international nuclear safety community s
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REACTOR PROGRAM: Reactor Regulation who use and support this code maintenance and updating activity. During FY 1996-1997, the NRC will perform analpes e experimental assessments to determine the scope and magnitude of potential safe;y awa that could arise as a result of operating events, staff reviews, or ACRS reviews. Recent examples of work in this area include studies of BWR stability under anticipated-transient-without-scram conditions, long-term cooling after a loss-of-coolant accident, and shutdown cooling after the loss of the residual heat removal system.
During FY 1996-1997, the NRC will continue to support thermal hydraulic test loops at Purdue University, University of Maryland, College Park, and Oregon State University.
Experience has shown that most safety-related events reported at nuclear facilities involve human performance. To reduce human errors and thereby reduce the risk to the public from the accidental release of radioactive material, the NRC needs to (1) understand the root causes of human error during reactor operations and maintenance;(2) develop methods to quantif" the effects of the design and qualification of instrumentation and control system displms on haman performance; (3) analyze the effectiveness of the interface between the nuclear power plant system and the human user in improving operator performance; and (4) integrate human and hardware reliability analysis data and methods into probabilistic risk assessments. The research results will be used to identify, systematically prioritize, and suggest solutions to human reliability issues in the maintenance and operation of nuclear facilities during normal, abnormal and emergency situations, j
In FY 1996, the NRC w,ll complete a study of the effect of staffing issues in the nuclear i
industry on safe startup and operation of nuclear power plants. During FY 1996-1997, the Office of Nuclear Regulatory Research (RES) will provide direct human factors support to the Office of Nuclear Reactor Regulation (NRR) and the Office for Analysis and Evaluatien of Operational Data (AEOD) in inspections of human error-related incidents to maintain the staff's awareness of current operational problems, provide insights to investigation i
methods, and improve the database.
The NRC will continue research to address the safety issues associated with the nuclear power industry's current and planned use of artificial intelligence and computers in reactor l
and safety system operation and control, and will, during FY 1996-1997, develop the technical bases for adopting appropriate licensing criteria for application of these new technologies. Also during FY 1996-1997, the NRC will continue participating in the Organization for Economic Cooperation and Development (OECD) Halden Reactor Project. The valuable technical information gained from this 10-year project will help establish guidelines and criteria for reviewing advanced human-system interfaces, computer-based operator support systems, integrated surveillance and control rooms, and the verification and validation of computer software. Reports will be issued summarizing 61
REACTOR PROGRAM: Reactor Regulation experience at the Halden Reactor Project that has accrued over the last several years on topics related to advanced instrumentation and control systems and their effects on operations. In FY 1995, the NRC will complete Revision 1 to NUREG-0700 " Guidelines for Control Room Design Reviews," and issue it for public comment. The revision will provide guidelines for the staff review of control rooms using digital instrumentation and control system technology. In addition, the NRC has asked the National Academe of Sciences to conduct a study on the regulation of digital instrumentation and control systems in nuclear power plant applications. The study is to begin in FY 1995 and be completed in FY 1996.
In FY 1996, to support reliability and risk assessments, the NRC will continue to develop and evaluate methods and criteria for acquiring probabilistic data on human and hardware failures and combinations thereof. The NRC will use information from programs such as the operator re-qualification examinations. During FY 1996-1997, the NRC will develop methods for assessing the effects of organizational factors on plant safety and for incorporating such impacts into probabilistic risk analyses (PRAs). The NRC will also develop and implement guidance for using PRA models and tools in event assessment and issue analysis.
in addition to routine operations, the NRC is also concerned about severe reactor accidents.
Severe accidents have the potential to adversely affect the public health and safety by accidentally releasing radioactive fission products to the environment. NRC efforts are directed toward reducing the risk of nuclear power plant accidents by requiring design and operating strategies to prevent or ameliorate the consequences of such accidents. The NRC accomplishes this by (1) improving our understanding of severe-accident phenomena; (2) identifying and evaluating methods tc prevent and/or mitigate the consequences of severe accidents;(3) developing method 3 and tools to analyze the frequencies, consequences, and risks associated with severe accidents; (4) ensuring the adequacy of safety margins in the current methods of evaluating containment integrity under severe accident conditions; and (5) determining whether severe accident research results warrant revisions to NRC regulations or policies. Results of these efforts will be applied in staff reevaluations of siting and emergency planning requirements and implementation of the individual elements of the Commission's severe accident, safety goals, and backfit policies.
To improve our understanding of severe accident phenomena, the NRC has completed
-direct containment heating (DCH) experiments on the simulated Zion-and Surry-type reactor configurations. The NRC will perform additional experimental work for Combustion Engineering-(CE-) type plants through FY 1996 to confirm the uncertainties, scaling laws, and other pertinent parameters of the DCH phenomenon and other severe accident phenomena affecting the loss of containment capabilities during severe accidents. During 62
4 REACTOR PROGRAM: Reactor Reculation FY 1996-1997, the NRC will continue to apply the severe accident scaling methodology (SASM) to any experimental or analytical program designed to assess DCH and, when practical, will apply SASM to other NRC-sponsored experiments. This work will ensure that the results of experiments can be confidently extrapolated to full-scale reactor conditions.
In FY 1995, the NRC will continue research to address the conditions under which hydrogen-air-steam mixtures at high temperatures, produced during severe accidents, could sustain low speed combustion. This research will address the applicability of existing models for hydrogen combustion during certain severe accidents. In FY 1996, the NRC will continue to participate in the bilateral agreement with Japan to perform high-temperature, j
high-speed hydrogen combustion experiments to complement the low-speed combustion experimental program. These experiments will yield data on the increased detonability of hydrogen mixtures at elevated temperatures that might exist during a severe accident and j
which might threaten containment integrity. These data are necessary to confirm the projections of containment loads and structural performance during severe accidents.
During FY 1996-1997, the NRC will continue to participate in the RASPLAV international safety research project under the auspices of OECD. In this facility, up to 200 kg of prototypic reactor core material can be melted and made to interact with a simulated reactor pressure vessellower head. Feasibility studies of cooling the reactor core materials from outside the lower head were performed earlier in an NRC-Russian Cooperative program. Based on this earlier work, new test apparatus will be constructed and testing carried out.
In FY 1996, the NRC will continue to participate in the experimental program carried out in the FARO facility in Italy. This facility is being used to perform large-scale tests to address the residual issues related to fuel coolant interactions, particularly ex-vessel fuel coolant interaction. In the FARO facility, prototypic material (corium, the term used for a molten mass of fuel from the core) is brought into contact with water in a vessel of representative size and strength. The NRC will obtain data on the rate of heat removal from the corium melt, the effectiveness of various quench mechanisms, the hydrogen generation rate, and the heat loading and temperatures of a simulated reactor pressure vessel. The morphology of the material remaining in the bottom of the test facility will be examined and used in validating the lower head analytical model.
In FY 1996, the NRC will use the VICTORIA fission product release and transport code and the MELCOR code to perform pre-and post-test analyses of the PHEBUS tests. The analyses will be part of the NRC in-kind assistance and services to PHEBUS under the international cooperative agreement between the NRC and the French Commissariat S l'8nergie Atomique.
The NRC will continue to provide technical assistance and 63 4
REACTOR PROGRAM: Reactor Reculation cooperation with the Commission at the European Communities fission product behavior program in the French PHEBUS test reactor. Such technical assistance includes providing online fission product measurement system, reviewing test plans and testing, and other assistance, as needed.
The NRC will complete an independent peer review of the VICTORIA code in FY 1996.
In addition to experimental work, the NRC is developing analytical codes capable of modeling the severe accident phenomena. Among these is the MELCOR code. During FY 1996-1997, the NRC will continue to contribute to the internationally supported MELCOR Cooperative Assessment Program initiated in FY 1993 to support MELCOR code validation and maintenance. The NRC will continue to compare codes with the existing database and assess progress in reducing uncertainties in our understanding of severe accident phenomena.
In FY 1995, the NRC will continue to identify new data needs and modeling initiatives required for assessing severe fuel damage in reactor accidents. In FY 1996, the NRC will assimilate results and insights from all the available major experimental programs (ACRR, TMI, LOFT, PBF, NRU, CORA, PHEBUS) to identify the need for additional testing in the severe fuel damage assessment program.
Furthermore, the Commission's Severe Accident Policy calls for the examination of individual plant susceptibilities to severe accidents, the identification and evaluation of potential improvements in containment performance, and the execution of a program of research to reduce the uncertainties in the analysis of severe accidents. The results of that research will be used to confirm that the margins of safety inherent in existing regulations are, and will continue to be, adequate to protect the public health and safety.
During FY 1996-1997, in support of increased agency use of risk analysis to prioritize and resolve safety issues, the NRC will continue developing methods and applying advanced human reliability analysis, aging models, and operational events data to probabilistic risk assessments (PRA). Also during FY 1996-1997, the NRC will continue to maintain, support, and upgrade (as necessary) the severe accident risk analysis computer models, such as, MACCS, SARA, EVNTRE, and IRRAS.
Risk analyses performed by staff and contractors in support of the assessment of safety issues will be reviewed. The NRC will continue to support the development of staff expertise in the application of PRA. Data from approximately three PR.As per year, submitted in the individual plant examination (IPE) process and other sources, will be loaded into the PC database (that supports SARA and IRRAS) for use in a variety of expected support activities.
64 i
l
REACTOR PROGRAM: Reactor Regulation In FY 1996, NRC structural reviewers will. be provided guidance on how to address corrosion effects on aging and reliability of steel containments and steel containment liners.
The NRC will prepare a report on damage mitigation and repair and will provide a reliability-based means to quantify current and future safety margins.
In cooperation with the-Agency for Natural Resources and Energy of the Ministry of International Trade and Industry (MITI) of Japan, the NRC wi:1 test a model of a steel BWR containment to determine how and when it will fail. The model was fabricated in FY 1994, will be shipped and instrumented in FY 1995, and will be tested to failure in FY 1996. Also in cooperation with the Agency for Natural Resources and Energy of the MITI of Japan, the NRC will test a model of a pre-stressed concrete PWR containment to determine when it will fail. The model was designed in Japan in FY 1994, will be -
constructed and instrumented in the United States during FY 1995-1996, and will be tested to failure in FY 1998.
In FY 1996, the NRC will continue to evaluate licensee recommendations for improving the evaluation of containment performance, submitted as part of the individual plant examination (fPE) program. In FY 1996, the NRC will continue the joint RES and contractor team reviews of the remaining internal event IPE submittals covering all units.
By the end of FY 1996, al: or most of the internal event IPE reviews, significant accident management research, and severe accident research will be completed. In FY 1996, the NRC will continue to analyze the information from the review of the IPE submittals, categorize insights, and provide the results in a concise report. IPEs will also be reviewed to resolve existing generic safety issues on a plant specific basis, and, as appropriate, new generic safety issues will be identified for resolution. During FY 1996-1997, the NRC will l
continue reviewing licensee external event evaluation (IPEEE) reports.
A number of efforts are improving the NRC's ability to evaluate the effects of potential earthquakes on nuclear power plant operations. The results of this program are integrated into efforts to develop a unified seismic hazard assessment method. During FY 1996-1997, the NRC wili determine magnitude, scaling and distance attenuation relationships using regression anaiyses and ground motion data sets from Eattern and Western U.S.
earthquakes. Thee analyses will yield more physically based estimates of site effects than l
previous studies, and will reduce uncertainties in the seismic hazard and ground motion estimates. This and some of the other programs in earth sciences will keep the staff informed of advanced knowledge and new field observations. The limited amount of l
recorded data inemases the importance that new insight and information from any significant earthquakc provides. Such information may prompt NRC to reevaluate earlier licensing decisions or corMrm assumptions made in earlier decisions.
l 65
)
I
REACTOR PROGRAM: Reactor Reculation Also during FY 1996-1997, the NRC will continue to develop a correlation between the seismic characteristics of near field geologic materials and the observed response, in order to investigate the influence of near surface geology on seismic site response. Results of this program will lead to an improved modeling of the wave scattering and propagation effects in the near surface material and will reduce uncertainties in the ground motion estimates at the site. These results will also be used in the unified seismic hazard assessment program, as applicable.
During FY 1996-1997, the NRC will determine where any large prehistoric earthquakes occurred along the Atlantic Seaboard. The NRC will use paleoseismic techniques similar to those used in the recent study determining the site-uniqueness of the 1886 Charleston earthquake. This will reduce the uncertainty in earthquake source zone identification and earthquake frequency predictions and strengthen our implementation of site licensing criteria and evaluation of seismic issues bearing on plant design.
During FY 1996-1997, the NRC will continue to support research activities of the U.S.
Geological Survey ar:d other organizations that address geological and seismological issues of regulatory significance, such as strong ground motion studies, fault segmentation studies and faulting, and paleoseismic studies in the New Madrid seistnic zone. The NRC will also continue to evaluate and analyze the data collected from the National Seismographic Network, a long-term project to continuously improve the understanding of physical processes associated with the seismic activities, transmission of seismic energy, and site responses. The new data will enable the staff to develop and validate more accurate models to predict the transmission of seismic energy. The new models will reduce the uncertainty of current ground motion modeling and also improve upon the NRC's implementation of site licensing criteria and evaluation of seismic issues bearing on plant design.
During FY 1996-1997, the NRC will continue to determine attenuation characteristics of ground motion through shallow soils over bedrock. The data from small-to-moderate earthquakes will be obtained from seismographs installed at various levels in boreholes at Anza, California. The better modeling of the local site amplification phenomenon will reduce major uncertainty in the soil structure interaction analysis currently carried out to estimate the structural and component responses.
In FY 1995, the NRC will complete a cooperative effort with Electric Power Research Institute (EPRI) and DOE to develop a unified seismic hazard assessment method to characterize seismic hazard east of the Rocky Mountains based on seismic hazard studies from EPRI and Lawrence Livermore National Laboratory (LLNL).
The results of this cooperative effort will be used to assess the seismic hazard of future nuclear power plant si:cs and to recalculate the probabilistic seismic hazard of all operating Eastern U.S. nuclear 66
REACTOR PROGRAM: Reactor Reculation power plant sites as bases for probabilistic siting criteria for future nuclear power plants.
The National Academy of Sciences will complete a review of the unified hazard assessment methodology by the end of FY 1996. A final report incorporating all comments will be completed in FY 1996. During FY 1995-1997 the NRC will recalculate the probabilistic seismic hazard at all Eastern U.S. nuclear power plant sites to develop technical bases for replacing the relative seismic hazard criteria with an absolute criterion in the seismic siting regulatory guide (draft Regulatory Guide DG-1015," Identification and Characterization of Seismic Sources, Deterministic Source Earthquakes, and Ground Motion").
During FY 1996-1997, the NRC will use data from the satellite-based Global Positioning System to remeasure the station positions of the Crustal Motion Network. This data will be analyzed to determine initial estimates of crustal motions in the Eastern and Central U.S.
Study of the crustal motions will lead to improved understanding of the physical processes associated with the seismic activity in the Eastern and Central U.S. where surface features or clearly identifiable seismic sources are absent. Such understanding of crustal motions could reduce the large uncertainty currently associated with the delineation of seismic sources in the Eastern and Central U.S.
During FY 1996-1997, the NRC will use data from NRC-and-industry sponsored tests on structures, piping systems, and components, and data obtained from actual earthquakes to revise NRC's damping recommendations. Specifically, the NRC has participated in activities of the American Society of Mechanical Engineers (ASME) to revise the pipe damping criteria in Appendix N of Section III of the Boiler and Pressure Vessel Code. The NRC is also reassessing the values of damping for major plant structures. Changes to some values appear to be appropriate.
In a joint venture with EPRI and the Taiwan Power Company, a cylindrical concrete model structure was built in a seismically active area near Hualien, Taiwan. The model and surrounding soil will be instrumented, and data recording and analysis will be conducted during FY 1995-1997.
During FY 1995-1996, the University of Texas at Austin will continue to perform tests to determine the behavior and strength of anchor bolts used in concrete for earthquake type loads. This work supports the implementation of NRC seismic program USI A-46," Seismic Qualification of Equipment in Operating Plants." In FY 1997, the NRC will consult with national standards committees for any necessary revisions.
In cooperation with the Ministry of International Trade and Industry (MITI) of Japan, the NRC will participate in a seismic test of a large scale model of a main steam and feedwater system to check calculational methods and validate seismic failure mode assumptions. The 67
4 REACTOR PROGRAM: Reactor Reculation test will be performed at Tadotsu Engineering Laboratory, the largest seismic shaking table facility in the world. During FY 1995-1996, the fabrication of the large scale model will be completed, the test on it will be conducted, and in FY 1996, the resultant test data will be evaluated. In FY 1995, the NRC will obtain test data from the tests already done in FY 1993 on computer systems and test data from tests to be done on shutdown cooling systems to validate the seismic fragility of these components and systems.
During FY 1996-1997, the NRC will continue to participate in an OECD program on International Standard Problem (ISP) on shear walls. In this program, results of two large-scale shear walls tests conducted in Japan will be used to verify analyses and modeling techniques used by participants. Beginning in FY 1996, this program will also be extended to include ISP on the soil-structure interaction analyses.
During FY 1996-1997, in a collaborative arrangement with MITI and the Nuclear Power Engineering Corporation (NUPEC), the NRC will participate in seismic tests of large-scale i
concrete and prestressed concrete containment structures to check calculational methods and performance of the containment and liner during shaking. The design, fabrication, and construction will take place during FY 1995-1996 with tests during FY 1996-1997.
J Once research projects are completed, the results are incorporated into the regulatory process as expeditiously as practicable. This involves (1) resolving generic safety issues related to reactor and plant system design and plant operations; (2) developing regulations, policy statements, and regulatory guides for nuclear power plant regulation; and (3) developing the technical basis for radiation protection standards to minimize the adverse consequences of exposure to ionizing radiation from licensed reactor activities. Changes to regulatory requirements, policy statements, and guidance for reactor facilities are closely coordinated with cther NRC offices, the nuclear industry, and the public.
Generic safety issues (GSIs) involve safety concerns that may affect the design, construction, or operation of all, several, or a class of reactors or facilities and may have potential for safety improvements and issuance of new or revised requirements or guidance. Resolutions of GSIs are transmitted to the industry through issuance of generic letters or rule changes.
Implementation procedures for resolving GSIs are occasionally developed in conjunction with such utility organizations as the Electric Power Research Institute.
The staff will report to the Commission annually on the resolution of GSIs. Each year all remaining GSIs, including new issues identified, will be prioritized. During FY 1996-1997, three generic safety issues are scheduled to be resolved.
68
REACTOR PROGRAM: Reactor Regulation i
Generic Safety Issues Scheduled for Resolution by Fiscal Year j
l Issue Fiscal Year Cumulative Priority 1995 1996 1997 TBD '
Total High 1
1 0
1 3
Medium 4
1 1
0 6
Nearly Resolved 3
0 0
2
._5 -
Total 8
2 1
3 14 Semiannually, the NRC will perform an integrated review of the priorities and schedules for i
l all reactor and reactor radiation protection and health effects rulemaking actions to ensure that the highest priority efforts are conducted. As final rules are completed, uninitiated rulemaking actions having the highest priority will be selected for rulemaking actions.
During FY 1995-1996, the NRC will conduct ten reactor-related rulemakings and issue proposed and/or final rules and the associated regulatory guides where appFeable for the following: (1) Table S-3 and Table S-4 in 10 CFR Part 51, Addition of Radon-222 and Technetium-99 Radiation Values;(2) Amend 19.32 and 2.111 to conform to Section 401 of 1
the Energy Reorganization Act; (3) Nuclear Power Reactor Physical Protection l
Requirements Update 10 CFR Part 73.55; (4) Safety Requirements for Reactor Coolant Pump Seals; (5) Procurement of Commercial Grade Items by Nuclear Power Plant Licensees,10 CFR Part 21; (6) Revise Regulations to Eliminate Unnecessary Reporting Requirements to Reduce Regulatory Burden,10 CFR Part 50, 55, 73; (7) Criteria for Extraordinary Nuclear Occurrence,10 CFR Part 50; (8) Revision of 10 CFR Parts 19 and 20, Clarifying Amendments; (9) Generic Decommissioning Rulemaking for Reactor Facilities Under a Possession Only License (POL),10 CFR Part 50; and (10) Frequency of Medical Examination for Use of Respiratory Protection Equipment,10 CFR Part 20-1703.
During 1996-1997, the NRC will continue to work on responding to two petitions for rule changes in emergency preparedness. These changes deal with the annual exercise frequency and licensee audits. Also during FY 1996-1997, the NRC will update the regulatory guides that address toxic chemicals and explosive mixtures. This work will include revisions to Regulatory Guides 1.78,1.95, and 1.91.
l l
l 69 i
REACTOR PROGRAM: Reactor Regulation During FY 1996-1997, the NRC will develop approximately five regulatory impact analyses (RIAs) each year in support of reactor-related rulemaking and other generic requirements as required by the backfit rule. In addition,it will continue to support the development of all NRC RIAs by preparing generic guidance, generic methodology, and generic cost estimates.
During FY 1996-1997, the NRC will continue to implement changes in existing reactor regulations and regulatory requirements that have a large economic impact but that can be eliminated or modified without significantly reducing safety. The changes will result in a revision of a regulation, a Standard Review Plan section, or a regulatory guide, and will allow licensees to redirect resources to more important safety issues.
During FY 1996-1997, the NRC will continue determining the biological effects of " hot particles" contamination of the skin and establishing performance criteria to control it. In addition, the NRC will review and evaluate reports on this subject by the National Council on Radiation Protection and Measurements (NCRP) and the International Council on Radiological Protection (ICRP) and recommend an appropriate course of action. The NRC will also develop and implement testing and accreditation criteria for extremity dosimetry, and will develop performance criteria, standards, and guidance on in vivo and in vitro bioassay assessment.
During FY 1996-1997, the NRC will continue assessing industry and DOE research and development on dose reduction at nuclear power plants focusing on high-dose worker groups. The primary activity will be the continued support for the Brookhaven National Laboratory ALARA Center. During FY 1996-1997, the NRC will develop recommendations on the needed changes to regulations and regulatory guidance on the effect of the reduced occupational worker dose limit recommended by ICRP and the NCRP.
During FY 1996-1997, the NRC will continue studies on placental transfer and other parameters affecting dose to embryo / fetus for selected radionuclides. The results of these studies will be used to improve calculation of embryo / fetus dose from maternal intake in order to implement exposure criteria for pregnant workers.
During FY 1996-1997, the NRC will continue to support the review and analysis of health effects information and provide research and operational support funds for the working groups of the ICRP, the NCRP, the Committee on Interagency Radiation Research and Policy Coordination (CIRRPC), and the National Academy of Sciences.
These organizations are developing and coordinating recommendations on a wide variety of subjects in radiation protection, including hot particles, potential exposure situations, 70
REACTOR PROGRAM: Reactor Regulation naturally occurring and accelerator-produced radioactive material, and dose-risk relationships, all of which are used by the NRC in rulemaking and guidance development.
During FY 1996-1997, the NRC will continue to provide annual statistical :,ummaries of worker radiation exposure data as part of the Radiation Exposure Information Reporting Systems, and will continue to process terraination reports and implement the new 10 CFR Part 20 reporting requirements. During FY 1995-1996, the NRC will work with the National Cancer Insutute and other organizations to develop and implement a national worker exposure database to support health effects studies. The NRC will also continue to monitor health effects research and operating experience and develop appropriate reactor-related regulations or regulatory guidance to address identified needs based on this information.
During FY 1995-1996, the NRC will issue addenda to NUREG-1307, " Nuclear Power Reactor Decommissioning Costs," as required by 10 CFR Part 50, to ensure licensees have the latest waste burial costs that are corrected for inflation. In FY 1995, the NRC will complete a reexamination of the original BWR and PWR technology, safety, and cost decommissioning reports, NUREG/CR-0672, " Technology, Safety, and Costs of Decommissioning a Reference Boiling Water Reactor Power Station,"
and NUREG/CR-0130, " Technology, Safety, and Costs of Decommissioning a Reference Pressurized Water Reactor Power Station." These reports will provide the basis for determining if reactor regulations associated with decommissioning financial assurance requirements need updating.
71
REACTOR PROGRAM: Reactor Reculation Independent Analysis of Operational Experience FY 1996 Estimate FY 1997 Estimate IFY1995 Change Change fr m Planning from FY 1994 Enacted Request FY 199s Estimate FY 1996 Enacted Budget Authority by Function ($K)
Salaries and Benefits 6,149 5,880 6,030 150 5,831
-199 Contract Support 7,582 7,939 7,689
-250 7,484
-205 Travel 309 221 227 6
221
-6 Total 14,040 14,040 13,946
-94 13,536
-410 full-Time Equivalent Employment 71 68 68 0
67
-1 The Office for Analysis and Evaluation of Operational Data (AEOD) identifies, evaluates, and responds to potentially significant events and safety concerns involving U.S. commercial nuclear power reactors, based on events reported to the NRC by its licensees. It also supports the agency's Committee to Review Generic Requirements (CRGR), whose efforts include review of generic reactor requirements and backfit considerations.
Diagnostic evaluations supplement the use of systematic assessments of licensee performance, performance i'idicators, and other data to evaluate specific utility programs and enable NRC senior management to make more informed assessments of overall nuclear power plant performance. Alternatively, a special evaluation may be conducted for this purpose when a licensee performs an independent diagnostic level self assessment. These assessments assist the NRC in taking appropriate regulatory actions. During FY 1996-1997, the NRC will conduct up to two diagnostic evaluations (des) or special evaluations (SEs) each year and will participate in a limited number of NRC special team inspections and special AEOD technical studies, when fewer than two des (or SEs) are conducted in a year. The NRC will also maintain Diagnostic Evaluation Program Management Directives, associated guidance, and DE rosters; incorporate the lessons learned from completed des; and document the status to close out generic staff actions established as a result of a l
Diagnostic Evaluation Team or Special Evaluation Team and assigned by the Executive i
Director for Operations (EDO).
l AEOD also oversees the agency's incident and accident investigation prograrns to ensure that significant and extraordinary safety-significant operational events involving nuclear 72
REACTOR PROGRAM: Reactor Reculatien power reactors licensed by the NRC are investigated in a systematic and technically sound manner and that information is obtained on the causes of the events, including those involving NRC activities, so that the NRC can take corrective actions that are timely and effective. For events that could be of major significance, an Accident Review Group or Incident Investigation Team is established that is independent of the region and the program office. For investigating less significant operational events, an Augmented Inspection Team is established under regional direction and complemented by headquarters personnel, as necessary. During FY 1996-1997, the NRC will support Incident Investigation Teams (IITs) as required; maintain the Incident Investigation Program Management Directives, associated manuals, and IIT rosters, and incorporate the lessons learned from completed IITs; and periodically train IIT roster members and leaders. The NRC will continue to independently j
review the adequacy of the resolution of staff actions assigned by the EDO for IITs and document the status of IIT-initiated staff actions until they are closed. The NRC will also implement and maintain the programmatic actions needed to activate and support an Accident Review Group reporting to the Commission to respond to an avent of extraordinary safety significance at a licensed reactor facility.
The NRC conducts incident response activities to ensure that it is prepared to carry out its role in a radiological emergency at NRC-licensed nuclear reactors, that licensee responses are consistent with their responsibilities, and that NRC responses are coordinated with other Federal response activities and State and local government activities. During FY 1996-1997, the NRC will (1) maintain, improve, and implement the NRC incident program in response i
to actual operational events within the industry; (2) operate the NRC Operations Center 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> a day with reactor systems engineers capable of receiving event reports and recognizing and communicating problems and emergencies to management; (3) coordinate efforts to improve the functionality of the Federal Radiological Emergency Response Plan, the Federal Response Plan, and agreements between the NRC and other State, Federal, and international organizations and countries on responses to nuclear events; (4) conduct a State Outreach Program to improve the States' understanding of how the NRC, as the Lead Federal Agency (LFA), will manage the Federal response to a severe accident at a nuclear facility; (5) maintain and improve the NRC Operations Center and regional functional procedures, response tools, and training; (6) evaluate and assess headquarters and regional incident response programs; (7) participate in the Continuity of Government Program; (8) participate in full-scale licensee and State emergency preparedness exercises with each region; and (9) provide the operational support and contract management necessary for agency response activities.
A standardized training program on the technical and organizational aspects of emergency response has been developed and continues to evolve. During FY 1996-1997, the NRC will continue to maintain and improve standard procedures and technical tools and train NRC 73
REACTOR PROGRAM: Reactor Reculation staff at headquarters and in the regions and staff from other Federal agencies that support the NRC during response activities. The NRC will also continue to maintain the facilities, resources, and communications equipment necessary to support the NRC's response needs; participate in full-scale licensee and State emergency preparedness exercises with each region; and coordinate the preparation and distribution of " International Nuclear Event Scale" reports. In addition, the NRC will exercise the primary responsibility for changes, interpretations, and development of immediate notification requirements.
The evaluation of operational experience is conducted to collect, analyze, and disseminate information about operational safety data associated with NRC commercial nuclear power reactor licensees. Operational experience from NRC licensees and foreign sources is reviewed to identify either plant-specific or generic safety issues resulting from significant events or situations that warrant detailed evaluation. These issues are further analyzed to assess the root causes of the identified deficiency and the adequacy of corrective actions implemented and planned and to identify those safety concerns that may warrant regulatory attention.
The NRC will continue to oversee power reactor operational experience and advise the program office or region when appropriate. During FY 1996-1997, the NRC will continue l
to review nuclear power reactor licensee event reports (LERs), extensive documentation of events, NRC inspection reports, U.S. industry reports, and foreign reactor reports. In t
addition, the NRC will continue to issue case studies, trend and pattern reports, engineering j
evaluations, and technical reviews. Results, findings, and recommendations for actions based on these studies will be widely disseminated to the nuclear industry and the public in i
a timely manner. The NRC will continue collecting, technically screening, and coding approximately 1,500 commercial power reactor event reports each year into databases for agency access, and will continue streamlining the current system for LER data processing.
During FY 1996-1997, the staff will develop an enhanced capability to code and retrieve human performance, common-cause failure, and precursor data. During this period, the i
staff will also revamp licensee event reporting through rulemaking to improve reporting of l
human performance, common-cause failure, safety-train availability, and precursor data.
While information about important events will continue to be required to be reported, l
changes to reporting requirements are intended to eliminate events of little significance.
The NRC will develop and implement the capability to analyze and evaluate equipment reliability. In addition, during this period, the staff will provide risk and reliability analyses of plant performance utilizing agency and industry databases. These analyses routinely use probabilistic risk assessment results and methods to characterize risks associated with selected equipment and human performance data.
l 74
REACTOR PROGRAM: Reactor Regulation During FY 1996-1997, the NRC will prepare trend information on systems and equipment performance, initiating event frequencies, and human performance to monitor risk implications of changes in industry performance. This includes assessing precursors to severe accident sequences. Periodically, the NRC will provide trend data associated with selected safety issues to identify changing safety trends and the effectiveness of regulatory initiatives. The NRC will also continue to feed back information to the international community through the Nuclear Energy Agency's Incident Reporting System, to the Congress by Abnormal Occurrence reporting, and to the NRC staff by special reports.
Peactor events that are considered to be significant from the standpoint of the public health 3
ano safety will be reported to the Commission with recommendations that they be considered as " abnormal occurrences." On a quarterly basis, abnormal occurrences will be reported to the Congress and the public.
The NRC will continue to coordinate safety analysis activities with other organizations, such as the Electric Power Research Institute, the Institute of Nuclear Power Operations, and owners groups and provide results to those organizations, as appropriate. Component failure data from the Nuclear Plant Reliability Data System, a database voluntarily supported by the U.S. nuclear power plant industry and maintained by the Institute of Nuclear Power Operations, will continue to be analyzed on a risk-significant basis to identify component attributes that may signify an unrecognized safety concern.
On the basis of the comprehensive and systematic review of all the reactor licensee event reports, significant operating events are identified and selected for further in-depth evaluation. The evaluation assesses the root causes of the identified deficiency, the safety significance and generic implications of the deficiency, and the adequacy of corrective actions. In-depth technical evaluations of selected components, systems, system interactions, and human performance will be performed on the basis of operating events.
Recommendations are made to prevent recurrence of those events that have the potential to progress to more safety-significant reactor transients.
The results, findings, and recommendations for actions based on these evaluations of operating experience are documented in technical study reports, which are widely disseminated to the nuclear industry and the public on a timely basis. The recommendations from these studies are formally tracked, and their status is periodically reported to the Com. mission.
The NRC will continue to emphasize investigating root causes, the contribution of human factors, and the determination of the risk significance of operational events. By emphasizing the underlying causes of significant opetating events and the practices that can prevent recurrence, the lessons of experience can be more effectively communicated to the nuclear 75
REACTOR PROGRAM: Reactor Reculation i
power plant industry to improve plant safety. Failure data for risk-significant components will be analyzed for evidence of safety-significant trends. Enhanced analysis methods will be applied to the data review process to improve the timeliness of feedback to the industry.
Quantification of the risk significance of events during power operation and reactor shutdown will be enhanced. The effectiveness of NRC and industry actions to resolve safety 4
concerns will be examined through the evaluation and trending of operational experience data. This will also help ensure that lessons learned from operating experience have not been lost with time. Accident sequence precursor analyses will be used when practicable.
As appropriate, actions will be initiated to resolve pertinent safety issues.
The NRC conducts activities aimed at developing and implementing a method ofidentifying, 4
as early as practicable, individual nuclear power plants, or groups of plants, whose performance may warrant special (either increased or decreased) regulatory attention.
Performance indicators are intended to provide ready information concerning trends in nuclear power plant performance and to assist NRC management in identifying poor and/or declining safety performance, as well as good and/or improving safety performance.
For the NRC's performance indicator program, the following indicators are used: automatic scrams while the reactor is critical, selected safety-system actuations, significant events, I
safety-system failures, plant forced-outage rates, equipment forced-outage rates per 1,000 critical hours, collective radiation exposure, and cause codes extracted from licensee event reports. Semiannual reports showing trends in performance and comparisons with appropriate industry averages for each licensed nuclear power plant and each individual indicator will be provided to NRC senior management during FY 1996-1997. These reports are disseminated to NRC management, the Commission, and licensees and are available to the public. The NRC will continue its review, evaluation, and refinement, as needed, to maintain the performance indicator program as a credible tool for assessing trends in plant performance.
Operational experience at all NRC-licensed activities is collected, screened, and analyzed.
Operational experience at foreign power reactors is screened and independently analyzed for safety significance and applicability to the U.S. nuclear program. The NRC will continue to provide information about foreign events to U.S. organizations and to report U.S.
1 experience to foreign organizations through the Nuclear Energy Agency and the International Atomic Energy Agency's incident reporting system and through bilateral agreements. Additionally, nuclear power plant events classified at the alert level or higher will be reported via the International Nuclear Event Scale (INES). The limited U.S.
participation in this information sharing system is anticipated to continue during FY 1996-1997. Attention will continue to be focused on the feedback of operating experience by the NRC, the industry, and each licensee so that the lessons of experience can 76
l REACTOR PROGRAM: Reactor Regulation 1
y be used to prevent serious nuclear incidents in the future. The NRC will continue to i
develop improved methods fm providing feedback on operating experience during FY 1996-1997 through such means as increased interaction with reactor owners groups, the l
highlighting of risk significance, workshops, and coordination with industry regarding feedback origirAl by the industry. The NRC will continue to use and upgrade operational j
and reliability data storage and retrieval systems.
Information primarily from two commercial power reactor reporting systems is used for the analysis of trends and patterns.
The first system is the Licensee Event Reporting System, which _is required by NRC regulation (10 CFR 50.73). Licensee event reports (LERs) are based on certain events of an established significance level at reactor sites. The data from these reports are coded and I
entered into data bases to capture the sequence of events, the failures that occurred, the causes of the events, and corrective actions to avoid similar events in the future. The NRC will continue streainlining the current system for processing LER data. In FY 1996, the j
NRC will continue to improve its capability to code and retrieve human-perfemance, j
common-cause, and precursor data. Licensee event reporting will be revised through i
rulemaking to focus on these areas and to eliminate events of little significance. The NRC j
will also continue to upgrade the automated data processing capabilities for storing and retrieving LERs and other operating experience information.
The second reporting system is the Nuclear Plant Reliability Data System (NPRDS), which i
captures events of lesser significance, specifically individual component failures that meet j
a safety-significance threshold. The staff is discussir.g with the Institute of Nuclear Power j
Operations and industry representatives the feasibility of implementing a complementary l
database, linked to the NPRDS, to support reliability and probabilistic safety analysis types 1
of activities. The NRC will continue to analyze both databees to detect trends in the safety i
performance of domestic plants and to identify specific issues and corrective actions to i
improve or maintain safe operations. With more than 100 reactor-years of operation added annually, these data bases will grow and continue to be the primary systems to reveal trends in equipment and personnel performance.
4 i
i During the past year, the NRC developed a reliability-and risk-based approach to analyzing j
these data. Insights from probabilistic risk assessment are used to identify components, j
. systems, accident initiators, and safety issues which can be analyzed to assess reliability risk trends.
Where available, actual operating experience is used to assess equipment performance. This work will be refined and fully implemented to maintain up-to-date safety data trends. The NRC is planning to combine the results of this activity with the Accident Sequence Precursor program to better identify risk-significant trends in the U.S. nuclear y
industry.
4 h
l 77 F
REACTOR PROGRAM: Reactor Regulation The Committee to Review Generic Require nents reviews generic requirements for power reactors and considers the feasibility of backfitting new requirements, as applicable. During FY 1996-1997, this committee will continue to provide agency-wide review and recommendations to the Executive Director for Operations regarding approval or 4
disapproval of proposed changes to generic requirements and staff positions applicable to power reactors with the objectives of reducing or eliminating any unnecessary burdens placed on licensees, reducing the exposure of workers to radiation in implementing some requirements, and conserving NRC resources while ensuring adequate protection for public health and safety and furthering the review of new, cost-effective requirements and positions.
Technical Trainine and Oualincation FY 1996 Estimate FY 1997 Estimate Change Change from Planning from FY 1994 FY 199s Enacted Enacted Request FY 199s Estimate FY 1996 Budget Authority by Function ($K)
Salaries and Benefits 2,201 2.190 2,244 54 2,20' i
Contract Supnort 4,540 4,728 4,573
-155 4, 5(,
-71 Travel 60 78 80 2
78
-2 Total 6.801 6,996 6,897
-99 6,781l
-116 Full-Time Equivalent Employment 25 25 25 0
25 0
This activity provides technical training for formal NRC staff qualification in support of the reactor program. The NRC will continue to maintain the Technical Training Center (TTC) facility and manage the technical training program for NRC staff. Curriculum areas in support of the reactor program will be maintained in reactor technology, probabilistic risk assessment, engineering support, radiation protection, security and safeguards, and regulatory skills. New courses will be developed and existing courses will be modified to meet new or changing needs identified by the NRC line organization. Training will also be provided to other Federal, State, and foreign regulatory counterpart employees on a space-available basis.
A spectrum of reactor technology training will be provided for the General Electric, West;nghouse, Combustion Engineering, and Babcock and Wilcox reactor designs to meet 78
i REACTOR PROGRAM: Reactor Regulation i
I the highest priority agency needs, including an integrated series of classroom and simulator i
courses for NRC staff. Specialized technical training will be provided to meet continuing and reactive training needs.
The reactor technology training curriculum will continue to include a spectrum of approximately 45 courses ranging in duration from 4 days to 3 weeks. Initial reactor technology training and refresher training will be provided each year to NRC inspectors, reactor operator license examiners, and other staff in formal qualification programs. In addition, a minimal amount of technical training will be provided to NRC technical managers. Training of headquarters and regional reactor inspectors, operator license examiners, and response staff on vendor-specific emergency operating procedures will j
continue during FY 1996-1997. Major curriculum adjustments to best satisfy the highest priority regional and program office training needs will continue during FY 1996-1997.
l The Technical Training Center (TFC) will continue to respond to reactive training needs I
in reactor technology as identified by agency management through forums such as the Training Advisory Group. During FY 1996-1997, the NRC will provide minimal technical training to support the NRC Technical Intern Program and other special programs. This training will be provided once annually in one reactor technology area. During this period, necessary technical training will be provided in specialized areas to supplement the initial l
training provided to inspectors of a particular category. This training provides selected inspectors with specific expertise in areas for which all inspectors do not require the expertise.
The NRC will develop and implement new and expanded technical training in areas identified by program offices and regions. This includes training to support the agencywide Probabilistic Risk Assessment (PRA) implementation plan and new training determined to be necessary by technical training needs surveys. In addition, reactor concepts training will be provided for employee orientation and news media seminars will be provided in support of the NRC public affairs function.
During FY 1996-1997, training materials for courses in reactor technology will be 1
maintained and improved and course examination question banks and new course modules will be developed to support operational feedback on the agency's current technicalissues.
The NRC will continue to maintain full-scope training simulators at the TTC to support NRC initial qualification and refresher programs. This incudes maintaining the operability, reliability, and performance of the simulator hardware and software and maintaining and updating the infrastructure for simulation equipment. Performance of NRC full-scope simulators, particularly in the thermal hydraulic, reactor core, and containment response areas, will continue to be updated as necessary to meet NRC reactor technology training 79 w
i REACTOR PROGRAM: Reactor Reculation l
needs. This will include replacing older simulation models to improve performance and make the models transportable to other simulation platforms.
The NRC will continue development of workstation-based simulation to show parameters, system responses, and scenarios not suitable for full-scope simulator demonstrations. This effort, which enhances NRC understanding of complex events, involves the use of advanced simulation codes and establishment of a simulation platform capable of providing high-fidelity simulation of multiple light-water reactor designs to meet NRC reactor technology training needs. During FY 1996-1997, the NRC will continue to develop TTC reactor I
technology instructors through completion and maintene.nce of formal qualification status in two reactor technology areas. This includes completion of initial qualification and maintenance of qualification through current knowledge of events, technical issues, and operational feedback.
l l
l Investications. Enforcement, and Leeal Advice FY 1996 Estimate FY 1997 Estimate Change Change FY 1994 FY 1995 fr m Planning from Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by function ($K)
Salaries and Benefits 5.390 5,306 5,437 131 5,315
-122 Contract tuoport 10 11 11 0
11 0
Travel 334 488 501 13 489
-12 Total 5,734 5,805 5.949 144 5,815
-134 l
l Full-Time Equivalent Employment 60 59 59 0
s9 0
The NRC Office of Investigations investigates allegations of wrongdoing by NRC reactor licensees; the NRC Office of Enforcement ensures compliance with regulations and license conditions, obtains prompt correction in areas of noncompliance, deters further noncompliance, and encourages reactor licensee to improve performance; and the NRC Office of the General Counsel provides legal assistance (including representation in all associated administrative and judicial proceedings and rulemaking activities) on all matters affecting NRC nactor licensees.
b
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l REACTOR PROGRAM: Reactor Reculation t
l All findings and conclusions that result from investigations are sent to the appropriate i
program office and the Office of Enforcement for review of the issues involved and a i
determination as to whether enforcement action is warranted. The Director, Office of Investigations, refers suspected or alleged criminal violations concerning NRC licensees and l
others within the NRC's regulatory jurisdiction to the U.S. Department of Justice.
The NRC will continue to investigate allegations of wrongdoing by NRC reactor licensees and others within its regulatoryjurisdiction. The current workload consists of approximately 130 active reactor cases. Approximately 170-190 reactor cases are expected to be opened each year during FY 1996-1997. The NRC will continue to refine, administer, and maintain quality control standards for investigations.
The staff will continue to apprise the Commission and appropriate agency offices of matters under investigation that may affect the public health and safety or other aspects of the agency's mission. The staff will maintain liaison with other agencies and organizations to ensure the timely exchange of information of mutual interest and refer matters judged to be criminal to the U.S. Department of l
l Justice.
The NRC will continue to implement an enforcement program with support from the regional offices. Activities include overseeing and evaluating regional enforcement actions; coordinating and developing regional enforcement actions and recommendations; evaluating potential enforcement cases; reviewing inspection and investigation reports and confirmatory action letters; initiating and processing notices of violations, civil monetary penalties, and l
various enforcement orders; reviewing draft regulations, inspection guidance, and other initiatives for their effect on the enforcement process and providing advice and guidance on related enforcement issues; providing assistance to the Office of Nuclear Reactor Regulation on orders modifying licenses; and assisting the Office of the General Counsel in the administrative hearing process, including presenting testimony.
The NRC expects to consider between 100 and 130 reactor enforcement actions each year during FY 1996-1997. As the number and types of enforcement actions taken in any period of time are a function of the number of licensees and the licensees' performance, it is difficult to predict future activity levels. However, previous enforcement activity has been as follows:
Reactor Enforcement Resulting Orders Fiscal Year Actions Considered Civil Penalties Issued 1992 129 45 0
1993 111 45 0
1994 129 42 6
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4 4
l REACTOR PROGRAM: Reactor Regulation 4
The Office of Enforcement will continue to develop and promulgate enforcement policy, i
including the maintenance of an enforcement manual. The basic manual was issued in May 1990 and updated in September 1994; additional sections and refinements based on i
experience will be promulgated in subsequent years. The staff will continue to review Commission directives for impact on the enforcement policy or program and make changes as necessary. The staff will complete its review of the enforcement program in FY 1995.
During FY 1996-1997, the NRC will implement the recommendations as appropriate.
During FY 1996-1997, the NRC will continue to monitor actions filed with the U.S.
{
Department of Labor (DOL) under Section 211 of the Energy Reorganization Act, i
coordinate with DOI, and develop enforcement actions where there are properly supported findings of discrimination. During this period, the staff will also maintain data generated j
in the enforcement process to monitor the enforcement program and to evaluate reactor j
licensees to identify weak performers who require greater NRC oversight.
i The Office of the General Counsel (OGC) will continue to provide legal assistance to the NRC staff with respect to the staff review related to licensing, construction, operation, enforcement and decommissioning of nuclear facilities, as well as promulgation and amendment of NRC regulations and guides pertinent to the aforementioned matters. The OGC will represent the NRC staff in adjudications arising from proposed licensing and enforcement actions; represent the Commission in lawsuits arising from adjudicatory and rulemaking decisions relating to reactors; and provide legal analyses of regulations, statutes, and cases relevant to NRC activities.
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REACTOR PROGRAM: Reactor Reculation Independent Review FY 1996 Estimate FY 1997 Estimate Change Change from Planning from FY 1994 FY 1995 Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by Function ($K)
Salaries and Benefits 4,290 3,884 3,984 100 3,811
-173 j
Contract Support 843 536 519
-17 504
-15 Travel 287 291 299 8
291
-8 Total 5,420 4.711 4,802 91 4,606
-196 1
Full-Time Equivalent Employment 46 4?
42 0
41
-1 The Atomic Safety and Licensing Board Panel (ASLBP) is a statutory office of the NRC and comprises administrativejudges who, sitting alone and in three-member boards, conduct adjudicatory hearings pursuant to a number of statutes including the Administrative Procedure Act; the Atomic Energy Act of 1954, as amended; the National Environmental Policy Act of 1969, as amended; and the Program Fraud Civil Remedies Act.
l The boards hear and decide requests to grant, suspend, revoke, or amend licenses to construct and operate nuclear power plants and preside over rulemaking hearings. Hearings address issues involving health, safety, the environment, enforcement, civil penalties, anti-trust, and emergency planning. Single administrative judges are authorized to decide cases i
as directed by the Commission.
Current subject matters include operating license amendments and enforcement cases.
2 During FY 1996-1997, the ASLBP will preside over rulemaking hearings and conduct adjudicatory hearings usually at or near the site where the dispute arose. Issues to be addressed will include whether to grant, suspend, revoke, or amend licenses to construct and operate nuclear power plants as well as the conduct of other licensed activities. The Panel will maintain and train a legal and technical staff adequate to ensure the continuing
)
availability of due process in antitrust, enforcement, licensing, decommissioning, and other disputes requiring independent resolution. The Panel will provide advice on adjudicatory matters, other proceedings, and on other regulatory and administrative matters as requested; and will review and make suggestions for amending regulations to expedite the hearing 83 l
REACTOR PROGRAM: Reactor Regulation process and to make it more understandable and easier to use, consistent with the recommendations of the Administrative Conference of the United States.
The Advisory Committee on Reactor Safeguards (ACRS) has statutory responsibilities as described in the Atomic Energy Act of 1954, as amended. The ACRS independently reviews the licensing and operation of production and utilization facilities and related safety issues and advises the Commission accordingly. The ACRS relies on highly qualified members, specialized consultants, and a cadre of technical and administrative support personnel.
During FY 1996-1997, the ACRS will review technical issues associated with early site permit application and proposed revisions to siting requirements related to the decoupling of siting from design and the use of the improved source term.
The ACRS will review issues associated with replacement of analog instrumentation and control (I&C) systems with digital I&C systems in operating piants, and with the use of J
digital systems for control and safety functions, including identification of failure modes, software qualification and hardware environmental qualification. In addition, the ACRS will consider the results of the National Academy of Sciences study on the use of digital systems in nuclear power plants.
The ACRS will also review and advise on identification, prioritization, and resolution of generic safety issues.
In addition, it will review fire protection issues related to operating plants, the need to revise Appendix R to 10 CFR Part 50, and matters related to the development of performance-based regulations. The ACRS will review selected technical training programs at the NRC Technical Training Center in areas such as digital I&C and probabilistic risk assessment.
The ACRS will consider selected elements of the reactor safety research program, and programs and regulatory guidance associated with the implementation of the Commission's Severe Accident Policy and the submittal of individual plant examinations and individual plant examinations of external events. The ACRS will also consider the implementation of the Commission's Safety Goals Policy, and matters related to the use of the probabilistic risk analysis in the regulatory decision-making process. The ACRS will also continue to monitor the NRC programs of thermal hydraulic code development, use, and maintenance. The AC RS will review issues related to the use of high burnup fuelin current and future nuclear power plants.
Th: ACRS will review the causes, consequences, and inservice inspection changes related to corrosion on containment, and the degraded piping systems and components caused by erosion and corrosion. The Committee will also eamine the regulatory treatment of crack 84
REACTOR PROGRAM: Reactor Reculation penetration in reactor vessel heads, steam generator tubes, reactor vessel internals, and primary system components.
The ACRS will revit/v issues pertaining to the revision and implementation of the Pressurized Thermal Shock (PTS) Rule. The ACRS will also monitor the work associated with motor-operated-vaive reliability.
The ACRS will also review and comment or specific regulatory issues referred to it by the Commission. In addition, the ACRS on its own initiative will review and advise on specific generic matters and nuclear facility safety-related items.
The ACRS will review programs to develop and implement risk-based technical specifications, issues associated with the development and implementation of performance indicators and the accident sequence precursor program, and evaluations of reactor operational experience and implementation of the lessons learned. The Committee will review selected reports of Augmented Inspection Teams and Incident Investigation Teams related to significant operating events and will review activities of the NRC regional offices related to the safe operation of licensed nuclear power plants. As appropriate, the ACRS will review plant restarts.
The ACRS will review decommissioning issues and decommissioning plans. The Committee will review matters related to the implementation of the maintenance rule. It will also review revised reactor pressure vessel integrity requirements based on an updated materials database and on lessons learned from the review of the Yankee Rowe reactor pressure vessel embrittlement issues.
The ACRS will also review security and protection requirements associated with the insider threat and onsite dry cask storage at production or utilization facilities.
85 l
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REACTOR PROGRAM: Reactor Regulation General Suroort FY 1996 Estimate FY 1997 Estimate Change Charge from Planning from FY 1994 FY 1995 l Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by Function ($K)
Salaries and Benefits 13,598 13,311 13,493 182 12,767
-726 Contract Support 671 1,172 1,256 84 1,187
-69 Travel 1,561 1,424 922
-502 898
-24 Total 15,830 15,907 15,671
-236 14,852
-819 Full-Time Equivalent Employment 170 167 164
-3 158
-6 This activity encompasses efforts to supervise and coordinate the policy development and operational activities of the Reactor Regulation Cost Center.
It also includes all information technology-related efforts for the Offices of Nuclear Reactor Regulation and Nuclear Regulatory Research in support of power reactor regulation.
86 I
REACTOR PROGRAM Standard Reactor Designs Cost Center FY 1996 Estimate FY 1997 Estimate nv IFY1995 Change Change frra Planning from FY 1994 Enacted Request FY 1995 Estimate FY 1996 Ena.c ted Budget Authority by Function ($K)
Salaries and Benefits 16,692 15,115 14,923
-192 12,553
-2,370 ptract Support 25,230 22,344 19,607
-2,737 18,531
-1,076 p el 392 393 403 10 392
-11 Total 42,314 37,852 34,933
-2,919 31,476
-3,457 Budget Authority by Activity ($K's Standard Reactor Design Certi fication 19,093 17,772 15,757
-2,015 13,194
-2,563 Standard Reactor Safety Assessment 20,102 17,059 16.074
-985 15,249
-825 Legal Advice 263 260 267 7
260
-7 Independent Review 1,096 962 987 25 968
-19 General Support 1,760 1,799 1,848 49 1,805
-43 Total 42,314 37,852 34,933
-2,919 31,476
-3,457 Full-Time Equivalent Employment by Activity Standard Reactor Design Certification 131 126 120
-6 97
-23 Standard Reactor Safety Assessment 34 24 23
-1 22
-1 Legal Advice 3
3 3
0 3
0 Independent Review 11 10 10 0
10 0
General Support 13 13 13 0
13 0
Total 192 176 169
-7 145
-24 I
This cost center supports future licensing activities associated with standard reactor designs, ensures that certified standard reactor designs, when properly sited and constructed, will adequately protect the public health and safety and the environment; and ensures that the combination ofindustry and NRC research provides the technical bases for timely and sound i
rulemaking and regulatory decisions to support NRC design certification activities. NRC's standard reactor design efforts include technical reviews conducted as part of the 87
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REACTOR PROGRAM: Standard Reactor Desiens i
t programmatic activities of the Offices of Nuclear Reactor Regulation and Nuclear Regulatory Research, independent reviews by the Advisory Committee on Reactor Safeguards, and legal advice and adjudicatory activities by the Office of General Counsel and the Atomic Safety and Licensing Board Panel, respectively.
i i
This cost center includes five major activities: standard reactor design certification; standard j
reactor safety assessment; legal advice; independent review; and general support.
Standard Reactor Desien Certification j
The standardization of nuclear power plant designs can increase the safety, reliability, and i
availability of nuclear power plants. Standardization will allow for a more thorough j
j understanding of the designs by the NRC and a more efficient review process. Therefore, 1
the Commission has strongly endorsed regulatory actions that will encourage industry to pursue standardization. The NRC will continue to review evolutionary and advanced reactor 3
designs, to resolve safety issues (including generic safety issues identified on currently operating reactors), and to develop and implement applicable rules, policies and guidance for the certification of standard designs.
The NRC completed its reviews in support of the final design approvals (FDAs) for two evolutionary light-water reactor designs - the General Electric (GE) Advanced Boiling-Water Reactor (ABWR) and the ASEA Brown Boveri/ Combustion Engineering (ABB/CE)
CESSAR System 80+ - and issued final design approval for these two designs in July 1994.
The NRC will participate in the rulemaking hearings required for design certifications and expects to issue design certifications for both evolutionary designs in FY 1996.
Through FY 1997, the NRC will continue its review of two applications for midsize reactor designs that use passive safety features and systems. These reviews involve a number of first-c.f-a-kind technical issues that are unique to the design of passive plants. A detailed technical review is under way for the Westinghouse advanced passive pressurized-water reactor design (AP600). The NRC expects to complete its review of the AP600 and issue final design approval (FDA) by FY 1997. Rulemaking hearings aseciated with design certification will follow issuance of the FDA. The NRC will also continue its review of the second passive design - the GE Simplified Boiling-Water Reactor (SBWR). At the present time, GE is proposing to refocus its SBWR design review on resolving testing related issues.
This may extend the NRC review effort beyond FY 1997.
Through FY 1997, the NRC will pursue efforts associated with several non-light-water reactor designs. The technical staff has completed its acceptance review of the Canadian 88
REACTOR PROGRAM: Standard Reactor Desiens Deuterium Uranium reactor design 3 (CANDU 3) application submitted bi the Atomic Energy of Canada, Limited (AECL) and, in FY 1996, will begin the formal techrical review leading to design certification. The NRC will also continue to keep abreast af activities relating to the future development of the Modular High-Temperature Gas-ccohd Reactor (MHTGR).
Timely improvements in regulation are important for implementing the NRC policies related to future licensing. NRC's standard review plan (SRP), originally written to assist the staff in performing safety reviews of applications for construction permits or operating licenses, has undergone substantial revision during the past few years. In FY 1995, the NRC plans to issue, for comment, the draft SRP that has been updated to reflect current reguir.ory requirements, licensing guidance, and national codes and standards, and that has been expanded to include the licensing of future reactors that reference certified standard designs. During FY 1996-1997, the NRC will continue to update the SRP to incorporate information from next-generation reactor reviews.
Through FY 1997, the NRC will continue to develop policy and guidance for reliability assurance programs for next-generation reactors. The policy will consider reliability goals for systems and equipment, including passive components, design measures, and testing and monitoring requirements. In addition, the NRC will work with the industry to develop and publish guidance for vendors and utilities.
As an imegral part of the licensing effort for future reactors, the NRC will continue to develop a new construction inspection program for the new generation of reactors curreatly seeking design certification.
Standard Reactor Safety Assessment This activity includes (1) research to develop independent assessment methods, analytical models, and verified data needed to support design certification safety reviews and related rulemakings for advanced reactors, and (2) efforts to establish regulations and regulatory guidance for the combined license process described in 10 CFR Part 52.
The NRC will identify concerns of potential safety significance for selected safety systems, review the applicant's experimental and analytical programs, and develop independent information for making timely regulatory judgments. Working closely with the applicant, the NRC will provide feedback regarding the development and execution of the applicant's programs and will avoid unwarranted duplication of safety research efforts. At the same time, the vendor-generated analytical and experimental information will be independently 89
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REACTOR PROGRAM: Standard Reacter Desienf verified as necessary, especially in areas in whic.N the applicant would be the sole source of-information.
During FY 1996-1997, RES will continue to assist NRR in the review of the AP600 and
- SBWR designs to identify and resolve key safety issues.. Analyses and experiments will be performed to characterize ' safety system response to transients and postulated accidents.
' Vendors' test programs for the AP600 and SBWR will be reviewed to determine whether identified safety concerns. can be satisfactorily resolved through these programs. The-Westinghouse-sponsored AP600 test program and the General Electric SBWR test program will be followed'as testing proceeds. These efforts will.be completed in time to support-design certification.under 10 CFR Part 52. Confirmatory work in this area will continue during FY 1996-1997 to complete validation of analytical techniques used in the certification review.
]
Independent confirmatory testing will be performed for both the AP600 and SBWR designs.
During FY 1995-1996, the NRC will use the ROSA-V test facility to confirm the thermal hydraulic behavior of the AP600 design under credible transients and accidents.. A reduced.
pressure, reduced-height facility, designed in accordance with generalized scaling laws, will be constructed in mid FY 1995 for the SBWR at Purdue University. Initial test results from ROSA-V became available in late FY 1994. Those from the small SBWR loop are expected to become available by late FY 1995 in time to support design certification.
In the area of severe accident analysis, during FY 1996-1997, the NRC will assimilate results and insights from LWR severe accident research to assess the behavior of the AP600 and the SBWR plants under accident conditions. In particular, the NRC will. assess the applicability of the accident phenomena modeled in existing. severe accident codes to these new designs (viz., passive, gravity-driven safety systems). Modifications will be made as i
needed. Research information needed to support design certification, in accordance with established schedules, will be provided during FY 1995-1996. Limited confirmatory research will' continue in this aret in FY 1997 if required.
The results of research in the standard reactor safety assessment activity will be.used to -
I assess the adequacy of new advanced reactor design concepts and investigate the margins of safety in structural, electrical, and mechanical componcnts which are needed to support design certification and licensing decisions. New design concepts and engineering issues that will be evaluated include passive safety system performance; structural integrity of modular-construction; the use of advanced instrumentation and control systems (I&C) including their :
qualification in seismic, accident, and ' electromagnetic / radio frequency environments; containment ' structural ~ performance urder postulated severe accident - conditions; 90 I
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_ REACTOR PROGRAM: Standard Reactor Desiens acceptance criteria for new valve designs or improved requirements for ' existing valve designs; and acceptance of design codes and standards.
In FY 1995, the NRC will formulate qualification methods for advanced I&C systems considering both environmental and seismic qualification, and in FY 1996, will develop associated regulatory guides. In FY 1996, the NRC will develop the bases to establish staffing levels for advanced control rooms.
In FY 1996, the NRC will continue to develop technical bases for staff acceptance of design specifications for proposed motor-operated depressurization valves, check valves, and solenoid-operated valves. The NRC will also establish improved standards for postulating pipe ruptures and seismic design of piping. Rather than merely using stress and fatigue, the NRC will integrate actual failure mechanisms such as water hammer, corrosion, and erosion l
in the standard.
1 i
l During FY 1995-1996, the NRC will continue to assess the need for risk analyses for the AP600 and SBWR systems and to extend these risk analyses wherever indicated to
{
containment performance and failure consequences. The NRC will perform such analyses, as appropriate, to complete work on a schedule consistent with design certification schedules.
During FY 1995-1997, RES will continue to support NRR's preparation for the design certification application for CANDU 3 by maintaining technical progress on key issues and l
computer code development and benchmarking. RES will also develop program plans for work needed to support the actual design certification application. RES will support NRR, l
as requested, on PRA-related issues identified in the CANDU 3 design certification process.
Active, independent research to support issuance of the safety evaluation report on the preapplication reviews for MHTGR and PRISM reactors has been essentially completed.
RES will continue to monitor applicant research programs as long as they are being funded in order to keep technically abreast of ongoing applicant research results.
During FY 1996, after issuance of Final Safety Evaluation Reports for the General Electric Advanced Boiling Water Reactor and the Combustion Engineering System 80+, and after revising Part 100 (discussed below), the NRC will evaluate the need for final revisions to l
10 CFR Part 50," Acceptability of Plant Performance for Severe Accidents," and associated l
regulatory guides implementing revised source term and criteria for engineered safety system l
performance. This effort is Phase 2 of the effort to decouple reactor siting from design.
Phase 1 (which will be completed in FY 1995) revises the site criteria in Part 100 and places the current Part 100 dose criteria in an interim revision of Part 50. During FY 1996-1997, 91
e REACTOR PROGRAM: Standard Reactor Deslens the NRC will continue to update regulations to reflect the results of new LWR source term research, as necessary.
During FY 1996-1997, the NRC will continue to work with national standards-setting organizations to ensure that the existing engineering and material standards are applicable for the advanced reactor designs. New standards will be developed if needed.
Leeal Advice The Office of the General Counsel (OGC) will address legal questions related to design certification and will represent the staff in any related administrative proceedings or judicial challenges.
Independent Review During FY 1996-1997, the Atomic Safety and Licensing Board Panel (ASLBP) will continue to provide advice on adjudicatory and dispute resolution matters related to new standard reactor designs and will preside over standard reactor design hearings.
The Advisory Committee on Reactor Safeguards (ACRS) will review technical and policy issues related to the licensing of evolutionary and passive standard plant designs. This activity includes issues identified by the NRC staff and issues identified independently by the ACRS. The ACRS will review issues associated with design certification rulemaking for the ABWR and CESSAR System 80+ designs, the design certification of the AP600, initiatives to establish design standards for passive designs (eg., SBWR, AP600), and test programs to support certification of the AP600 and SBWR designs. The ACRS will also review policy and implementation issues associated with the use of design acceptance criteria; inspections, tests, analyses, and acceptance criteria for new standard plant designs; regulatory guides needed to implement 10 CFR Part 52 regulations; severe accident rulemaking for standard plant designs; analyses and methodology used to support licensing positions for standard plant design applications (e.g., thermal-hydraulic code analyses);
proposed resolution of safety-related issues for passive reactor designs and security; and protection requirements against sabotage for future plant designs.
l 92 E
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REACTOR PROGRAM: Standard Reactor Desiens General Suovort This activity encompasses efforts to supervise and coordinate the policy development and -
operational activities of the Standard Reactor Designs Cost Center. -It also includes information technology efforts of NRR to develop the prototype for.the Construction Inspection' Program database management system that will enable the NRC to. ensure adequate coverage of construction activities for both evolutionary and passive reactor designs.
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REACTOR PROGRAM Tost and Research Reactors Cost Center FY 1996 Estimate FY 1997 Estimate IFY1995 change Change rrom Planning from FY 1994 Enacted Request FY 190s Estimate FY 1996 Enacted Budget Authority by Function ($K)
Salaries and Benefits 1,145 1,223 1,261 38 1,236
-25 Contract Support 735 693 713 20 694
-19 Travel 89 102 104 2
102
-2 Total 1,969 2,018 2,078 60 2,032
-46 Full-Time Equivalent Employment 14 15 15 0
15 0
The Test and Research Reactors Cost Center is conducted to ensure the safe operation of test and research reactors not used to generate power on a commercial basis and referred to as nonpower reactors. These smaller reactors are designed and used for research and testing in areas such as physics, chemistry, biology, medicine, and materials sciences; and for training of individuals for nuclear-related careers in the power industry, national defense, research, and education. NRC's Office of Nuclear Reactor Regulation conducts all agency activities associated with the licensing, inspection, oversight, and decommissioning of these reactors, and with the examination and requalification of nonpower reactor operators.
i The NRC reviews new and renewal license applications and license amendments for i
nonpower reactors to evaluate the safety, environmental, and safeguards aspects of their operation. From past experience, the NRC expects to receive as many as 2 applications for license renewal and approximately 30 other license amendments each year. The NRC also conducts inspections at approximately 40 nonpower reactors each year to ensure their safe operation.
In addition to licensing and inspecting the nonpower facilities, the NRC must also hcense i
all personnel authorized to operate the nonpower reactors. The NRC administers initial examinations for new reactor operators and either inspects licensee requalification programs j
or' conducts individual requalification examinations "for cause" to ensure that the approximately 300 nonpower reactor operators are qualified to perform their duties.
94
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REACTOR PROGRAM: Test and Research Reactors Through FY 1997, the NRC will continue to implement its regulation (10 CFR 50.64) requiring domestic nonpower reactors to convert from highly enriched uranium to low-enriched uranium. Of the remaining 13 reactors affected, it is expected that approximately 8 will convert over the next 3 to 5 years.
95
r NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM j
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NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM (Dollar amounts in tables represent thousands of dollars ($K). In text, whole dollar amounts are used. Staff numbers represent full-time equivalents (FTEs).)
Total FY 1996 Estimate
$90,850,000 FY 1996 Estimate FY 1997 Estimate IEnacted Change Change from Planning from FY 1995 FY 1994 Request FY 1995 Estimate FY 1996 Enacted Budget Authority by Function ($K)
Salaries and Benefits 48,819 48,857 50,126 1,269 49,003
-1,123 Contract Support 36,882 36,497 37,953 1,456 37,579
-374 Travel 2,925 2,798 2,771
-27 2,700
-71 Total 88,626 88,152 90,850 2,698 89,282
-1,568 Budget D.thority by Cost Center ($K)
Fuel Facilities 13,235 11,748 11,506
-242 11,674 168 Materials Users 26,424 27,551 28,372 821 27,545
-827 Low-Level Vaste and Occomi ssioni ng 19,986 19.527 21,535 2,008 20,678
-857 Other Nuclear Materials and Waste
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Activities 6.981 7,326 7,437 til 7,385
-52 High-level Vaste 22,000 22,000 22,000 0
22,000 1
Total 88,626 88,152 90.850 2,698 89,282
-1, g Full-Time Equivalent Employment by Cost Center fuel Facilities 108 109 106
-3 105
-1 Materials Users 24!
238 241 3
236
-5 Low-level Waste and Oecommissioning 109 116 115
-1 116 1
Other Nuclear Materials and Waste Activities 68 69 68
-1 69 1
High-level Waste 70 59 60 1
60 0
Total 596 591 590
-1 586
-4 98
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Changes in Budget Authority ($K)
FY 1997 Change from FY 1996 Change from FY 1995 FY 1996 Cost Center Current Program Services Requirements Total Total Fuel Facilities 346
-588
-242 168 Materials Users 836
-15 821
-827 i
Low-level Waste and l
Decommissioning 615 1.393 2.008
-857 Other Nuclear Materials and Vaste Activities 191
-80 111
-52 High-level Waste 523
-523 0
0 Total 2.511 187 2.698
-1,568 EXPIANATION OF RESOURCE CHANGES FOR CURRENT SERVICES The changes for current services reflect (1) increases in personnel compensation of 2.0 percent general raise plus 1.21 percent locality raise expected in calendar year (CY) 1995, 2.4 percent expected in CY 1996, within-grade increases, aad several minor adjustments, such as the varying number of pay days, the increased number of staff in the Federal Employees Retirement System, and the increased cost of benefits; and (2) increases for contract support and travel for inflation estimated at 3.0 percent in FY 1996.
l EXPLANATION OF RESOURCE CHANGES FOR PROGRAM REOUIREMENTS Fuel Facilities The resource decrease in FY 1996 is due primarily to the completion of the licensing review and hearings for the Louisiana Energy Services' Claiborne Enrichment Center and the completion of the first annual certification for the United States Enrichment Corporation's two gaseous diffusion enrichment facilities.
99
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Materials Users The resource decrease in FY 1996 is due to the completion of the National Academy of Sciences' study of the medical use regulatory program and the completion of the analysis for streamlining the materials licensing and inspection work process. This decrease has been partially offset by an increase in prelicensing activities and the initial review of an application to license a privately owned independent spent fuel storage installation, and to upgrade non-medical licensing guides.
Low-Level Waste and Decommissioning The resource increase in FY 1996 is to conduct radiological assessments of formerly licensed i
sites to determine whether these sites are adequately decontaminated; to continue the review of license files terminated before 1965; to conduct confirmatory radiological surveys required to remediate or decommission reactors, fuel and materials facilities, and contaminated sites listed in the Site Decommissioning Management Plan (SDMP); and to prepare environmental impact statements for selected uranium recovery, fuel facility and materials facility, and contaminated sites. This increase has been partially offset by (1) decreases caused by changing the focus of performance assessment activities from the development of capabilities to the maintenance of performance assessment at a level that enables the NRC to respond to the submittal of a Low-Level Waste facility application from a ron-Agreement State and (2) a decrease in the review of reclamation plans for uranium re;overy Title I and Title II sites.
Other Nuclear Materials and Waste Activities The resources for this cost center remain essentially level.
High-Level Waste The resources decrease in FY 1996 to reflect time-phased program resource requirements.
100 l
l
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM DESCRIPTION OF PROGRAM The nuclear materials and nuclear waste program encompasses all NRC public health and safety,. safeguards, research activities, operational data analysis, technical training, adjudicatory reviews, investigations, enforcement, and independent safety and legal advice related to the licensing, inspection, and environmental reviews for fuel cycle facilities; the transportation of nuclear materials; the safe interim storage of spent fuel; nuclear materials users; the safe management and disposal of low level and high-level radioactive wastes; and uranium recovery and related remedial actions. This program also includes safeguards reviews for all licensing activities involving the export of special nuclear material, the integrated agency effort to oversee decontamination and decommissioning of facilities and sites associated,vith NRC-licensed activities, and the use of the Licensing Support System
-(LSS) for the submittal and management of documents in the high-level waste repository licensing proceeding.
This program comprises five cost centers: Fuel Facilities; Materials Users; Low-Level Waste and Decommissioning; Other Nuclear Materials and Waste Activities; and Iligh-Lesel Waste.
The funds and staff for each of the five cost centers are described on pages 102 through 137.
The contract support funds are allocated for work done by Department of Energy (DOE) contractors and commercial contractors for the NRC. The material that follows describes these cost centers and addresses the reasons why the resources are needed.
101
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Fuel Facilities Cost Center FY 1996 Estimate FY 1997 Estimate Change
. Change fran Planning from t
FY 1994 FY 1995 f
Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by Function ($K)
Salaries and Benefits 8.835 8,850 8,866 16 8.614
-252 Contract Support 3,904 2,420 2,127
-293 2,561 434 Travel 496 478 513 35 499
-14 Total 13.235 11,748 11,506
-242 11,674 168 Budget Authority by Activity ($K)
Fuel Fabricators Oversight and Inspections 8,462 7,558 7,650 92 7,980 330 Uranium Enrichment Oversight and Inspections 3.115 2,749 2,344
-405 2.211
-133 General Support 1,658 1,441 1.512 71 1,483
-29 Total 13,235 11,748 11,506
-242 11,674 168 Full-Time Equivalent Employment by Activity Fuel Fabricators Oversight and Inspections 68 68 68 0
68 0
Uranium Enrichment Oversight and Inspections 21 24 21
-3 20
-1 General Support 19 17 17 0
17 0
Total 108 109 106
-3 105
-1 This cost center ensures that licensees adequately protect the public health and safety, common defense and security, worker safety, and the environment when radioactive material is handled and used for the nuclear fuel cycle after milling. Efforts in this cost center comprise NRC licensing, inspection, and regulatory oversight and development for the conversion of uranium ore concentrates (yellowcake) into uranium hexafluoride before enrichment, enrichment, the development and fabrication of reactor fuel, and the safe storage of fresh reactor fuel at reactor sites until the reactor core is initially loaded with fuel. Within the framework of this cost center, the NRC staff performs regulatory oversight of the United States Enrichment Corporation's (USEC's) operation of the two gaseous 1
102
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Fuel Fncilities diffusion enrichment plants (Paducah and Portsmouth), and USEC's security program to protect classified matter at these plants.
This cost center comprises three major activities: fuel fabricators oversight and inspections; uranium enrichment oversight and inspections; and general support.
Fuel Fabricators Oversieht and Inspections This activity comprises NRC licensing, inspection, and regulatory oversight of the fuel cycle after milling; it requires detailed health, safety, safeguards, and environmental reviews and inspections of licensee procedures and facilities to ensure safe operations.
The NRC will complete the review and evaluation of approximately 80 license applications (new, amendment, and renewal) for nuclear fuel cycle facilities during FY 19961997. The NRC will also complete approximately 35 evaluations of new and amended safeguards plans for these facilities. Routinely scheduled health, safety, and safeguards inspections of approximately 25 fuel cycle facilities or sites will be conducted during FY 1996-1997 to provide reasonable assurance that unsafe conditions, involving unnecessary and harmful radiation exposure to employees or the public, do not develop and that radioactive materials are properly controlled to prevent a nuclear criticality accident. The NRC directs its safeguards inspections by ensuring that licensees comply with NRC requirements pertaining to, for example, protected area access control; detection, annunciation, and communications systems; barriers; material control and accounting systems; process monitoring systems; contingency plans for responding to threatening situations; and trained armed response personnel.
During FY 1996-1997, the NRC will continue to upgrade the fuel cycle facility program with a major revision of 10 CFR Parts 40 and 70 and supporting regulatory guidance. It will also refine the impection procedures for evaluating nuclear criticality and chemical safety and continue a training program for staff and licensees to strengthen the program. The final Part 70 rule together with the Standard Review Plan and the Standard Format and Content Guide will be published in FY 1996. Revision of 10 CFR Part 40, similar to Part 70, and the associated regulatory guides will be initiated in FY 1997.
103
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Fuel Facilities Uranium Enrichment Oversicht and Insnections This activity comprises the certification and regulatory oversight of the two United States Enrichment Corporation (USEC) facilities, and the licensing and inspection activities for the construction and operation of the Louisiana Energy Services (LES) centrifuge uranium enrichment facility, and includes the administration of a classified enrichment technology security program to provide guidance on and ensure proper protection of classified material.
In FY 1995, USEC will submit the initial application for a certificate of compliance with the new NRC standards that were promulgated in September 1994. In FY 1996, the NRC will complete the first certification review for the plants and will issue the first annual report to Congress on whether these plants are operating in compliance with NRC's standards.
During FY 1996-1997, the NRC will ensure that USEC operation of the gaseous diffusion enrichment plants provides adequate protection of the public health and safety and the common defense and security. NRC resident inspectors will continually inspect these two plants and will focus on operational safety, followup of events, quality management and staff performance.
During FY 1996-1997, the NRC will review and issue license amendments and conduct inspections during the construction of the LES centrifuge enrichment facility to ensure that the plant is constructed in accordance with NRC requirements. The NRC will also provide security policy and classification guidance support for the protection of national security information and restricted data for licensing, certifying, or regulating uranium enrichment facilities such as LES and USEC.
General Support This activity comprises NRC supervision and coordination of policy direction efforts and operational activities of the Fuel Facilities Cost Center.
104 l
1
I NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Materials Users Cost Center FY 1996 Estim te FY 1997 Estimate IFY1995 Change Change fr m Planning from FY 1994 Enacted Request FY 1995 Estimate FY 1996 Enacted Budget Authority by Function ($K)
Salaries and Benefits 19,384 19,092 19,948 855 19,181
-767 Contract Support 5,807 7,264 7,334 70 7,308
-26 Travel 1,233 1,195 1,090
-105 1,056
-34 Total 26,424 27,551 28,372 821 27.545
-827 Budget Authority by Activity ($K)
Transportation and Spent Fuel Storage Licensing and Inspection 3,629 3,944 4,417 473 4,325
-92 Licensing and Inspecting Nuclear Materials Users 14.020 14.090 13,856
-234 13,256
-600 Nuclear Materials Research and Regulation Development 5,065 5.809 6,051 242 6.073 22 General Support 3,710 3,708 4,048 340 3.891
-157 Total 26,424 27,551 28,372 821 27,545
-827 Full-Time Equivalent Employment by Activity Transportation and Spent Fuel Storage Licensing and Inspection 29 31 33 2
33 0
Licensing and Inspecting Nuclear Materials Users 148 142 141
-1 137
-4 Nuclear Materials Research and Regulation Development 21 22 23 1
23 0
Ger.eral Support 43 43 44 1
43
-1 Total 241 238 241 3
236
-5 This cost center ensures that licensees adequately protect the public health and safety, worker safety, and the environment when radioactive material is transported and used in various situations under normal operations and abnormal events Efforts in this cost center comprise NRC licensing, inspection, and regulatory oversight and development for the transportation of radioactive materials in packages that produce a high degree of safety and the use of radioactive material, 105
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Materials Users This cost center comprises four major activities: transportation and spent fuel storage licensing and inspection; licensing and inspecting nuclear materials users; nuclear materials research and regulation development; and general support.
Transponation and Svent Fuel Storace Licensine and Insvection This activity comprises NRC certification of transport container package designs; licensing, inspection, and regulatory oversight of the interim storage of spent fuel outside reactor sites; and the safe interim storage of spent fuel. This activity ensures that licensees transport nuclear materials in packages that will provide a high degree of safety, and that licensees provide safe interim storage of spent reactor fuel. The NRC transportation activities are closely coordinated with those of the Department of Transportation, and as appropriate, with DOE and the Federal Emergency Management Agency (FEMA). The spent fuel storage activities require detailed health, safety, and environmental reviews and inspections of licensee procedures and facilities to ensure safe operations.
The NRC will complete the review of approximately 85 container design applications (new, amendment, and renewal) each year during FY 1996-1997. These applications are submitted by commercial vendors for transport oflarge quantities of radioactive material. In addition, each year during FY 1996-1997, the NRC will inspect approximately 10 implementations of quality assurance programs by users, suppliers, and fabricators of NRC-certified transport packages and will inspect some dry storage and materials vendors.
c The NRC will complete the review of approximately 15 transpat safeguards plans for shipmenu of special nuclear material each year during FY 1996-1997. The MRC will also survey routes proposed for shipments of nuclear material and relay to the Department of Transportation notifications received from licensees and carriers of planned import, export, or domestic shipment., of nuclear material.
The DOE system for inventory and forecast of spent fuel and high-level radioactive waste generation will be monitored closely to enable timely and adequate waste msnagement and eMy warning of capacity problems. The NRC will continue to maintain awureness of any x
poted 3 delays in the DOE waste disposal program. During FY 1996-1997, the NRC will d
inspect spent-fuel storage facilities and onsite inspections of concrete vaults and casks at reactors. The NRC will also review 10 applications for new licenses, topical reports, and license amendments for site-specitic interim storage of spent fuel at reactors.
t
'100 b
s
i 1
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Materials Users i
During FY 1995-1996, the NRC will conduct prelicensing activities with industry in preparation for receipt of an application for a privately owned independent spent-fuel storage installation. The NRC willinitiate review of the application during FY 1996-1997, Licensine nn_ d Inspectine Nuclear Materials Users
}
This activity comprises NRC licensing and inspection of approximately 7000 medical, academic, industrial, and commercial users of nuclear and other radioactive material. These uses include medical diagnosis and therapy, medical and biological research, academic training and research, industrial gauging and nondestructive testing, production of radiopharmaceuticals, and fabrication of such commercial products as smoke detectors and other sealed sources and devices. Detailed health and safety reviews and inspections of licensee procedures and facilities provide reasonable assurance of safe operations and the development of safe products.
The NRC will complete the review of applications for new licenses, license smendments, license renewals, and sealed source and device designs for the use of radioactive material in FY 1996 for approximately 4500 applications, which will decline to approximately 4100 during FY 1997. The NRC will also conduct preapproval tests of new sealed sources and i
devices and technologies and test any products in which generic problems may occur.
j During FY 1996-1997, the NRC will update and implement the medical management plan
)
to provide programmatic improvements in the medical area for licensing, inspection guidance, and rulemaking, and conduct other analyses and evaluations as needed.
The NRC will also prepare a major modification to the format of 10 CFR Part 35 and associated licensing and inspection guidance (including Regulatory Guide 10.8) to more easily accommodate changes in current technology and patterns of medical use. This revision of j
10 CFR Part 35 will include evaluating the nud to revise the existing training and experience criteria and the preceptor process. is iY 1996, the National Academy of Sciences (NAS) will complete its independent indepin review of regulatory rules, policies, practices, and procedures to assess whether NRC's current framework for medical use of byproduct material is appropriate to fulfill statutory responsibilities to protect the public health and safety. During FY 1996-1997, the NRC will review NAS recommendations and take appropriate action.
The NRC will conduct approximately 2300 routine health and safety inspections and closcout inspections of materials licensees during FY 1996 and approximately 2200 during FY 1997. These inspections are designed to ensure that licensees are conducting operations in a safe manner and in accordance with procedures and regulations. If conditions are 107
i NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Materials Users -
l noted that could cause unnecessary exposures or releases, prompt and appropriate enforcement actions are taken.
l
. During FY 1995, the NRC will continue to irnplement and assess the pilot program of the Integrated Materials Performance Evaluation Program that will guide a new common process to assess the performance of NRC's regional materials program and that of the 3
29 Agreement States, and make appropriate recommendations. During FY 1996-1997, j.
implementation will follow in the remaining Agreement State reviews after the NRC evaluates the initial regional and Agreement State reviews and makes any necessary changes -
3 to the process.
l During FY 1996, the NRC will complete the analysis for streamlining the materials licensing i
and inspection ~ work process. The objective of this analysis is to use work process j
{
engineering to establish more efficient and potentially automated processing of material license and amendment requests and use similar methods to improve on the materials inspection process. During FY 1997, the NRC will initiate implementation of the results of -
the streamlining analysis, i
During FY 1996-1997, the NRC will upgrade the non-medical licensing guides. The guides
^
will be upgraded so licensees can use them to prepare applications and to keep their program current.
During FY 1996-1997, the NRC will complete the review and evaluation of international i
safeguards and physical security aspects of approximately 110-125 license applications each year for the export of nuclear material from the United States and 50 Executive Branch consultation cases.
Nuclear Materials Research and Rendation Development This activity comprises NRC efforts associated with developing human performance criteria; developing regulations, policy statements, and regulatory guides needed for the safeguarding of facilities and special nuclear materials, for the transportation of radioactive materials, and for the medical, academic, and industrial use of radioactive materials; and developing the technical basis for radiation protection standards for minimizing the adverse consequences of exposure to ionizing radiation from licensed nuclear materials activities. ' Safeguards regulatory products ensure the physical security and accountability of strategic special nuclear material and the physical protection of licensed facilities. Medical, academic, and industrial regulatory products help to ensure the public safety in the use of radioisotopes in medical diagnosis'and the therapy, medical and biological research, academic training and 1
108
)
4 NUCLEAR MATERIALS AND NUCLEAR WASTP, PROGRAM: Materials Users i
i research, industrial gauging and nondestructive testing, radiopharmaceutical production, and fabrication of such consumer products as smoke detectors.
1 During 1996-1997, the NRC will continue to refine research needs based on the completion of research projects addressing human performance deficiencies in teletherapy and remote afterloading brachytherapy devices. The NRC will also continue research projects as needed
)
}
to develop a technical basis for regulatory guidance in areas that have been shown' to
[
contribute to human error among materials licensees.
l The development of materials rules and regulatory guidance is managed centrally in the Office of Nuclear Regulatory Research to ensure: (1) rules are developed in a timely i
4 manner, (2) regulatory impact analyses are developed in support of materials-related rulemaking and other generic requirements, and (3) the results of NRC and other research 3
]
are incorporated in materials regulations, policy statements, and guides for use in the licensing process. Semiannually, the NRC will perform an integrated review of the priorities 3
j and schedules for all rulemaking actions, which include those related to material licensees and radiation protection and health effects, to ensure that the highest priority rulemaking l
efforts are conducted. As final rules are completed, uninitiated rulemaking actions having j
the highest priority will be selected for rulemaking actions. In addition, the NRC will i
continue involvement of Agreement States in the development of rulemakings and other regulatory efforts that affect facilities licensed under 10 CFR Parts 30,40,61, and 70 or their State equivalents by obtaining Agreement State input on rulemaking issues involving compatibility as soon as is practically achievable and throughout the process.
s During FY 1995-1996, the NRC will conduct ten rulemaking actions applicable to materials licensees and issue proposed and/or final rules and the associated regulatory guides where e
applicable for the following: (1) emergency planning for independent spent fuel storage facilities and monitored retrievable storage facilities,10 CFR Part 72; (2) use of
.l radiopharmaceuticals for medical research, use of biologics containing byproduct materials, and compounding radiopharmaceuticals,10 CFR Parts 30, 32, 35; (3) exemption and continued regulatory authority in Agreement States and in offshore waters under 274, 10 CFR Part 150; (4) clarification of reporting of defects and noncompliance for materials i
facilities,10 CFR Part 21; (5) pregnancy / breast-feeding status of patients,10 CFR Part 35; (6) notification of incidents,10 CFR Part 72; (7) physical protection of spent fuel storage at sites other than power reactors,10 CFR Part 73; (8) safety regulations for fuel cycle
{
facilities,10 CFR Part 70; (9) list of approved spent fuel storage casks: addition of L
NUHOMS cask,10 CFR Part 72; and (10) list of approved spent fuel storage casks:
revision of VSC-24 storage cask,10 CFR Part 72.
4 s
1 4
109 j
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Materials Users During FY 1996-1997, the NRC will develop approximately nine regulatory impact analyses (RIAs) each year in support of materials-related rulemaking and other generic requirements.
This activity also includes research on materials radiation protection and health effects that is being conducted to ensure that workers and the general public are adequately protected from the adverse consequences of exposure to ionizing radiation from licensed materials activities. Effor', include developing nuclear materials radiation protection standards and guidelines fo,' ;mplementing the standards in the licensing process.
During F'i 1995-1996, the NRC will conduct five materials radiation protection and health effects rulemaking actions and issue proposed rad /or final rules and the associated regulatory guides where applicable for the following: (1) termination or transfer of licensed activities, recordkeeping requirements,10 CFR Parts 20, 30,-40, 61, 70, 72; (2) restrict accessible air gap between the radioactive source and the detector for generally licensed devices, 10 CFR Parts 31, 32; (3) radiography and radiation safety requirements for radiography operations,10 CFR Part 34; (4) dose limits for patients and members of the public,10 CFR Parts 20,35; and (5) administration of radiopharmaceuticals to the wrong patient, 10 CFR Part 35.
During FY 1995-1996, the NRC will develop and implement testing and accreditation criteria for extremity dosimetry and develop performance criteria, standards, and guidance on in vivo and in vuro bioassay assessment. The NRC will also monitor ongoing health effects research and operating experience and develop appropriate materials-related regulations or regulatory guidance to address needs identified on the basis of this information. Also, NRC radiation protection and health effects research described in the reactor program (such as reduction in occupational worker dose limits) will be equally applicable to nuclear materials licensees.
Genem! Suonon This activity comprises NRC supervision and coordination of policy direction efforts, and operational activities of the Materials Users Cost Center.
110
A N'UCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM i
Low-Level Waste and Decommissioning Cost Center 1
FY 1996 Estimate FY 1997 Estimate i
Change Change from Planning from FY 1994 FY 1995 Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by Function ($K) l j
Salaries and Benefits 9,074 9,609 9,805 196 9,694
-111 Contract Support 10,255 9,387 11,170 1.783 10,437
-733 Travel 657 531 560 29 547
-13 Total 19,986 19,527 21,535 2,008 20,678
-857 j
Budget Authority by Activity ($K) j Low-Level Waste Oversight and Inspections 6,653 5,953 5,674
-279 5,184
-490 Decomissioning 9,558 9,414 11,857 2,443 11,833
-24 Uranium Recovery 1,738 2,331 2,102
-229 1,796
-306 General Support 2,037 1,829 1,902 73 1.865
-37 I
Total 19,986 19,527 21,535 2,008 20,678
-857 Full-Time Equivalent Employment by Activity Low-Level Waste Oversight and Inspections 21 17 18 1
16
-2 Decomissioning 48 56 56 0
62 6
]
Uranium Recovery 16 21 19
-2 16
-3 l
General Support 24 22 22 0
22 0
Total 109 116 115
-1 116 1
4 1
This cost center ensures the effective and efficient discharge of NRC responsibilities to regulate low-level waste (LLW) in order to adequately protect the public health and safety and ensures an integrated agency pngram to oversee decontamination and decommissioning 4
of facilities and sites associated wit i NRC licensed activities, Functions in this cost center t
{
are mandated by the Low-level Radioactive Waste Policy Act (LLRWPA) of 1980, the Low-Level Radioactive Waste Policy Amendments Act (LLRWPAA) of 1985, the Uranium Mill Tailings Radiation Control Act (UMTRCA) of 1978, and portions of the West Valley Demonstration Project Act of 1980, 111
l t
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Low-Level Waste and Decommissioninu The LLRWPA makes each State responsible for providing for the disposal of LLW j
generated within its borders. This is expected to result in approximately 12 new LLW disposal facilities as States develop facilities and form compacts to dispose of waste. The 4
LLRWPAA gives the NRC responsibility for defining LLW, licensing the Federal disposal of commercial LLW that is greater than Class C (Class C waste is defined in 10 CFR
)
Part 61), granting individual generators of waste emergency access to non-Federal disposal facilities, providing repdatory guidance on alternatives to conventional shallow land burial, j
and ensuring that its reviews of LLW disposal facility applications are completed to the extent practicable within 15 months after formal receipt, excluding the hearing process.
j The UMTRCA directs the NRC to develop regulations and to license the disposal of mill tailings from licensed uranium mills. Congress also directed the NRC to amend its regulations to conform to the Environmental Protection Agency (EPA) standards for these j
wastes. The UMTRCA directs the NRC to approve licensee plans for disposing of mill tailings, to review and concur in the site-by-site implementation of the Department of
~
Energy (DOE) program for remedial actions concerning mill tailings, and to license DOE possession and long-term care of these sites.
i This cost center comprises four major activities: low-level waste oversight and inspections; i
decommissioning; uranium recovery; and general support.
l 1
Low-Level Waste Oversight and Insnections This activity comprises NRC licensing, inspection, and regulatory development efforts for those facilities under its jurisdiction that are engaged in near-surface land disposal.
Regulatory responsibilities are implemented through detailed health, safety, and environmental reviews and inspections of licensee procedures and facilities to ensure safe operations. Resolution of low-level waste (LLW) disposal issues on waste form stability, waste package integrity, radionuclide tensport through the disposal facility environment, and long-term doses resulting from radionuclide releases beyond the disposal facility environment are needed to ensure the long-term protection of the public health and safety and the environment.
In addition, this activity includes LLW disposal research to (1) support the development of regulatory criteria for use in the licensing process, (2) provide the technical base for review of license applications for LLW disposal facilities, (3) provide the technical base for review of topical reports on waste form stability, and (4) assess licensee compliance with regulatory requirements, particularly those on radiation dose limits.
112
~
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Low-Level Waste and Decommissionine During FY 1996-1997, the NRC will maintain the existing LLW performance assessment modeling capability for timely completion of reviews as mandated by the LLRWPAA by developing, conducting, and evaluating performance assessments in order to prepare to
]
respond to the submittal of a LLW facility application from a non-Agreement State.
i During FY 1996-1997, the NRC will conduct and improve the inspection program at waste generator facilities and at operating and developing LLW disposal facilities. This program will address construction and operation of disposal facilities and radiation protection and environmental surveillance. Under this program, inspection procedures applied in assessing l
generator compliance with 10 CFR Part 61 waste form requirements will be updated.
i j
During FY 1996-1997, the NRC will conduct research studies on the radionuclide retardation capabilities of concrete and backfill materials. The NRC will also continue to confirm the technical bases on LLW form characteristics (includig chemical and j
radiological composition of waste streams) and stability.
During FY 1996-1997, the NRC will conduct research to identify and quantify the long-lived i
and hard-to-measure radionuclides found in LLW, to characterize activated metals, and to
)
assess the chemical content of LLW, and will factor the results into performance assessment models. During FY 1996-1997, the NRC will research the behavior and composition of radionuclides and chelating agents in nuclear power plant decontamination concentrates and the role played by chelating agents to enhance mobility of radionuclides released from such waste. In FY 1997, the work will be complete and the final report will be issued.
During FY 1996-1997, the NRC will conduct field lysimeter studies to evaluate radionuclide
]
releases from solidified LLW buried in soils at two sites in the Eastern United States. The i
NRC will conduct field lysimeter studies on Class A waste, ion-exchange resins, i
decontamination LLW, and activated metals, with emphasis on unsolidified LLW forms.
t f
During FY 1996-1997, the NRC will investigate carbon 14 transfer and uptake coefficients j
in plants for the soil-to-root and air-to-leaves pathways for evaluating radionuclide exposures at LLW disposal sites. This is needed to revise the carbon-14 transfer coefficients in i
Regulatory Guide 1.109," Calculation of Annual Doses to Man from Routine Releases of Reactor Effluents for the Purpose of Evaluating Compliance with 10 CFR Part 50, j
Appendix I," which are conservative estimates. In FY 1996, tl'c NRC will verify this information at actual LLW sites and will factor the results into performance assessment models on population doses.
4
~
113 i
J
NUCLEAR MATiCRIALS AND NUCLEAR WASTE PROGRAM Iow-Level Waste and Decommissionine During FY 1996-1997, the NRC will conduct studies involving activated metals and waste streams to include leaching of radionuclides, determining scaling factors for hard-to-measure radmnuclides, addressing long lived radionuclides, and assessing measurement capabilities to determine radionuclides. During FY 1996-1997, the NRC will conduct a mechanistic assessment of soil geochemistry in controlling radionuclide transport. Particular attention will be given to surface effects on silicate minerals. To complement the work on soil geochemistry, during FY 1996-1997, the NRC will continue and complete an assessment of the role played by organic complexants and microparticulates in enhancing radionuclide movement. The results of this research will permit more realistic performance assessments of LLW disposal.
g In FY 1995-1997 the NRC will conduct large-scale field experiments to assess flow and transport in heterogeneous media on a scale relevant to LLW and decommissioning sites.
This builds on earlier work at Las Cruces, New Mexico, to assess the present capability of modeling groundwater flow and radionuclide transport in the unsaturated zone at LLW disposal sites. This work will be used to evaluate monitoring strategies, methods, and instrumentation.
In FY 1995, the NRC will modify the Breach, Leach, and Transport model for generating inventory-based LLW source terms to (1) complete degradation models of alternate waste forms such as high-integrity containers and high-density polyethylene containers, with emphasis on the release of radionuclides from partially failed containers, and (2) incorporate a coupled hydrochemical transport model. During FY 1996-1997, the NRC will factor the results into performance assessment methodology.
In FY 1996, the NRC will complete the testing of a radionuclide retardation / transport model against experimental laboratory, lysimeter, and field data. The results will be factored into performance assessment models of radionuclide transport.
During FY 1996-1997, the NRC will assess and test the next generation of groundwater models for LLW disposal sites and decommissioned facilities. Emphasis will be given to unsaturated zone flow and transport models. Testing will be performed at an appropriate field site and particular attention will be given to processes and conditions indicative of LLW sites and decommissioned facilities.
In FY 1995-1997, the NRC will emphasize the development and documentation of perfennance assessment methods. This will serve as a vehicle for integrating research on hydrology, waste form and waste package behavior, engineered facility performance, source term quantification, and radionuclide transport, as well as provide staff capability to conduct performance assessments.
114 I
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Low Level Wnste and Decommissionine During FY 1995-1996, the NRC will conduct proposed and/or final rulemakings on LLW shipment manifest information and reporting,10 CFR Parts 20,61, and on requirements for government land ownership,10 CFR Part 61.
The Advisory Committee on Nuclear Waste (ACNW) provides the Commission with independent technical review of and advice on the disposal of low-level nuclear waste and related matters. To perform objective reviews and provide advice, the ACNW relies on highly qualified members and specialized consultants. It is responsible for reviewing and providing advice on nuclear waste disposal facilities within the purview of NRC responsibilities, as directed by the Commission.
The work of the ACNW discussed in this program pertains only to low-level nuclear waste disposal facilities. Work in the area of high-level nuclear waste is discussed separately in the High-Level Waste Cost Center.
The ACNW activities in the area of low-level nuclear waste primarily focus on disposal facility issues associated with the Nuclear Waste Policy Act, the Low-Level Radioactive Waste Policy Act, and the Uranium Mill Tailings Radiation Control Act.
During FY 1996-1997, the ACNW will review the Office of Nuclear Regulatory Research programs supporting the Office of Nuclear Material Safety and Safeguards Waste Management Division, technical issees associated with the environmental transport of radioactive materials and the enviram aental monitoring oflow-level radioactive waste disposal facilities, international programs and strategies for lessons applicable to domestic LLW disposal, proposed guidance with respect to engineered alternatives to shallow-land burial of LLW (e.g., above-ground vaults), progress in the development of NRC's LLW performance assessment capabilities and attendant guidance to assist licensees and Agreement States, and other studies and activities as directed by the Commission.
Decommissionine This activity comprises NRC's integrated requirements for the decontamination and decommissioning of facilities and sites associated with NRC-licensed activities.
Decommissioning involves safely removing a facility from service and reducing residual radioactivity to a level that permits the property to be released for unrestricted use. This action is to be taken by a licensee before termination of the license. This activity also includes decommissioning and environmental protection research being conducted to develop and coordinate radiation protection standards and guidelines for the decommissioning of facilities and sites associated with NRC-licensed activities. The research 115
i i
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Low-Level Waste and Decommissior' i
findings will be used to establish criteria for releasing areas containing radioactive material and to evaluate potential pathways and doses and risks from public exposure to radioactive material.
During FY 1996-1997, the NRC will continue to manage a program for materials facility j.
decommissioning to review submittals resulting from the Decommissioning Rule. It will also review approximately 50 financial assurance certifications and funding plans each year as a part of new, amendment, and renewal license requests.
~
In FY 1996, the NRC will complete the review of a reactor decommissioning plan for Big Rock Point. In addition, during FY 1996-1997, the NRC will initiate the review of one reactor decommissioning plan each year.
I The NRC will conduct licensing reviews and inspections for shutdown power reactors having i
a license to possess nuclear material. During FY 1996-1997, the NRC will inspect eight i
i reactor sites that have spent fuel in the reactor spent-fuel pool and are being i
decommissioned and dismantled or put into a safe storage (SAFSTOR) condition and will review emergency plan modifications and changes to the technical specifications to reflect i
the decommissioning mode for all power reactors that have approved decommissioning plans and possession-only licenses. The NRC will also conduct routine inspections at four power j
reactors in SAFSTOR that do not have spent fuel onsite.
During FY 1996-1997, the NRC will conduct actions necessary to compel timely cleanup of approximately 50 known materials and fuel facility sites listed in the site decommissioning j
management program (SDMP). This program includes: (1) review of site characterization plans; (2) review and approval of the decontamination and decommissioning plans; (3) technical assistance and review of the licensees' performance of decommissioning activities; (4) conduct of confirmatory surveys and termination of licenses; (5) review of earlier burials of radioactive material under 10 CFR 20.302 and 20.304; (6) development of i
policy and regulations to ensure efficient and consistent licensing actions to minimize future contaminated sites problems; and (7) implementation of an action plan to encourage and j
enforce timely cleanup of sites listed in the SDMP. In FY 1997, the NRC will complete a review of licenses terminated prior to 1965 to determine if further remediation is required to protect the public health and the environment. During FY 1996-1997, the NPsC will also j
conduct performance assessments at two selected SDMP sites.
j During FY 1996-1997, the NRC will continue to interact with the Environmental Protection Agency (EPA) to resolve issues of mutual concern that relate to the regulation of radionuclides to avoid unnecessary duplication of regulatory requirements, such as j
116 4
4 4
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Low-Level Waste and Decommissionine harmonization of risk goals, standards for disposal of LLW, reschsion of Subpart I, and standards for recycling.
During FY 1995-1996, the NRC is planning to conduct four rulemaking actions applicable to decommissioning and environmental protection, and issue proposed and/or final rules and the associated regulatory guides where applicable for the following: (1) sewer disposal, 10 CFR Part 20; (2) distribution of source and byproduct materiallicensing and reporting requirements (Phase I),10 CFR Part 40; (3) requirements for decommissioning cost estimate updates,10 CFR Part 50; and (4) clarification of decommissioning funding requirements,10 CFR Parts 30,40,50,70,72.
Semiannually, the NRC will perform an integrated review of the priorities and schedules for all rulemaking actions, which include those related to decommissioning and environmental protection to ensure that the highest priority rulemaking efforts are conducted. As final rules are completed, unintitiated rulemaking actions having the highest priority will be selected for rulemaking actions.
During FY 1995-1996, the NRC will conduct: (1) a systematic assessment of the existing exemptions allowing release of radioactive material from regulatory control, (2) research on potential doses from the recycling or reuse of contaminated materials and equipment, and (3) investigations on the appropriateness of criteria for releasing areas containing buried radioactive materials (regulatory guidance will be developed as necessary). The NRC will also publish three proposed and/or final regulatory guides for: (1) decommissioning recordkeeping for power reactor licensees, (2) standard format and content for submittal of reactor decommissioning plans, and (3) decommissioning recordkeeping for materials licensees.
During FY 1995-1996, the NRC will continue implementation efforts directed at j
decommissioning activities. During FY 1995-1997, the NRC will issue guidance that will define the doses that would result from surface and volumetric levels of radioactive contamination should facilities and lands be released for unrestricted public use.
Calculational models to be incorporated into the dose modeling strategy will encompass a
)
range of site and source inventory complexities for groundwater flow and transport, and air deposition and resuspension processes (including coupling and appropriate calculational codes for dose assessment). The NRC will also enhance and test the calculational models against specific site conditions and residual contamination inventories on a wriety of site and inventory data sets through the facility scale, and assess associated uncertainties.
During FY 1995-1996, the NRC will reexamine the validity of the criteria and certification amounts based on actual decommissioning costs for nonpower reactor facilities.
117
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Low-Level Waste and Decommissionine During FY 1995-1996, the NRC will closely coordinate regulatory research with other Federal organizations. For example, the NRC will participate in EPA's interagency task -
group to prepare Federal guidance on exposure of the public to radiation. One action assigned to this task group is the development of Federal guidance on radiological criteria for decommissioning.
Uranium Recovery This activity comprises NRC licensing and inspection of uranium mills, heap-leaching facilities, ore-buying stations, commercial solution mining, uranium extraction research and development projects, and commercial disposal of radioactive tailings or waste as defined in Section 11e(2) of the Atomic Energy Act of 1954, as amended. This activity requires detailed health, safety, and environmental reviews and inspections of licensee procedures and facilities to provide reasonable assurance of safe operations; the development of NRC regulatory guidance to implement the EPA standards for regulating mill tailings; and the site-by-site approval of licensee plans for disposing of mill tailings and other radioactive material.
l During FY 1996-1997, the NRC will develop regulatory guidance to implement: (1) the Energy Policy Act of 1992, Title X payments and license termination procedures, and (2) the requirements of Section 274C(4) of the Atomic Energy Act, as amended, to review Agreement State license activities to ensure that all applicable standards and requirements have been met before license termination.
The NRC will complete the review of five licensee reclamation plans in FY 1996 and two in FY 1997, including preparation of environmentalimpact statements for selected uranium recovery sites.
The NRC will complete the review of approximately 60 new, amendment, and renewal license applications for uranium recovery facilities each year during FY 1996-1997. The NRC will review approximately 70 licensee monitoring reports to assess licensee performance. The NRC will also conduct approximately 35 radiological safety inspections and inspections of uranium reclamation activities during FY 1996-1997. During these inspections, the NRC will thoroughly review each licensee's program and implementation of licensee conditions to protect the public health and safety and the environment.
This activity also includes NRC's efforts related to the evaluation of the remedial actions to be taken by DOE at 24 mill tailings piles at 22 sites, as well as at several thousand 118
_ = _
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Low-Level Waste and Decommissionine contaminated properties located near the sites. The NRC reviews and concurs in remedial action plans and proposed designs for the site and properties in the vicinity of the site and concurs in DOE's plans for long-term control of radiation or radioactive and nonradioactive j
releases from the site and for the protection and cleanup of groundwater. Once the remedial action has been completed, the NRC is responsible for licensing DOE for i
long-term care and site maintenance.
4 The NRC has already concurred in remedial action plans for 15 of the 22 sites. During FY 1996-1997, the NRC will continue to review and concur in DOE's proposed remedial action plans and related documents. The NRC will also continue to concur in completed i
remedial actions and long-term surveillance plans for all the sites.
During FY 1996-1997, the NRC will implement a program for dam sdety for all NRC licensees and coordinate activities with the Federal Emergency Managemont Agency. This program was developed to improve the effectiveness of NRC's implementation of the Federal Guidelines on Dam Safety.
I j
T Genem! Support This activity comprises NRC supervision and coordination of policy direction efforts, and operational activities of the Low-Level Waste and Decommissioning Cost Center.
1 1
i i
V i
119
)
NUCLEAR MATERIALS AND NUCI EAR WASTE PROGRAM 1
Other Nuclear Materials and Waste Activities Cost Center FY 1996 Estimate FY 1997 Estimate i
Change Change from Planning from TY 1994 FY 1995 Liected Enacted Request FY 1995 Estimate FY 1996 l
Budget Authority by Function ($K)
Salaries and Benefits 5 858 5,932 5,998 66 5,961
-37 j
Contract Support 860 1,049 1,095 46 1,082
-13 Travel 263 345 344
-1 342
-2 Total 6,981 7,326 7,437 111 7,385
-52 Budget Authority by Activity ($K)
Independent Analysis of Operational Experience 1,336 1.142 1,171 29 1,148
-23 Technical Training and Qualification 532 867 908 41 901
-7 i
Adjudicatory Reviews 97 101 103 2
102
-l i
Investigations, Enforcement, and Legal Advice 3,611 3,720 3,721 1
3.637
-84 i
Event Evaluation 1,405 1,496 1,534 38 1,597 63 Total 6,981 7,326 7,437 111 7,385
-52 4
i Full-Time Equivalent Employment by Activity independent Analysis of
]
Operational Experience 9
9 9
0 9
0 I
Technical Training and i
Qualifications 2
2 2
0 2
0 Adjudicatory Reviews 1
1 1
0 1
0 i
e investigations Enforcement and f
Legal Advice 39 39 38
-1 38 0
t Event Evaluation 17 18 18 0
19 1
i Total 68 69 68
-1 69 1
i l
This cost center ensures identification, evaluation and response to potentially significant events and safety concerns, technical training, independent adjudicatory reviews, 120 3
4
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Other Nuclear Materials and Waste Activities investigations of wrongdoing by licensees, enforcement policy, and resolution of legal issues associated with nuclear materials licensees.
This cost center comprises five major activities:
independent analysis of operational experience; technical training and qualification; adjudicatory reviews; investigations, enforcement, and legal advice; and event evaluation.
Independent Analysis of Operational Ernerience This activity is conducted by the Office for Analysis and Evaluation of Operational Data (AEOD) to identify, evaluate, and respond to potentially significant events and safety concerns involving nonreactor facilities, based on events reported to the NRC by its licensees and the Agreement States.
AEOD oversees the agency's incident and accident investigation programs to ensure that significant and extraordinary safety-significant operational events involving nuclear materials and fuel facilities licensed by the NRC are investigated in a systematic and technically sound manner and that information is obtained on the causes of the events, including those involving NRC activities, so that the NRC can take corrective actions that are timely and effective. For events that could be of major significance, an accident review group (ARG) or incident investigation team (IIT) is established that is independent of the region and the program office.
For investigating less significant operational events, an Augmented Inspection Team is established, under regional direction complemented by headquarters personnel, as necessary. During FY 1996-1997, the NRC will support IITs as required; maintain the Incident Investigation Program Management Directive, associated manual, and IIT rosters, and incorporate the lessons learned from completed IITs; and conduct periodic training of IIT roster members and leaders. The NRC will also independently review the adequacy of the resolution of staff actions assigned by the Executive Director for Operations (EDO) for IITs and document the status until closecut ofIIT-initiated staff actions. During FY 1996-1997, the NRC will implement and maintain the programmatic actions needed to ensure the capability to activate and support an ARG reporting to the Commission in response to an event of extraordinary safety significance at a licensed nuclear materials facility.
Incident response activities are conducted to ensure that the NRC is prepared to carry out its role in a radiological emergency at NPC-licensed nonreactor facilities, that licensee responses are consistent with their responsibilities, and that NRC responses are coordinated with other Federal response activities and State and local government activities. The NRC's 121
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Other Nuclear Materials and Waste Activities responsibilities in this area are to (1) manage the NRC Operations Center; (2) ensure the NRC response program is in consonance with the overall Federal response system; (3) develop, maintain, and integrate agencywide response plans and procedures; (4) train agency personnel and organizations in the conduct of their incident response responsibilities; (5) conduct exercises to achieve and test readiness objectives; (6) provide operational support and contract management for agency response activities; (7) evaluate and assess headquarters and regional response capabilities; and (8) operate the NRC Operations Center 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> a day with qualified systems engineers capable of recognizing and communicating problems and emergencies to management.
During FY 1996-1997, the NRC will continue to (1) maintain, improve, and implement the NRC incident response program in response to actual operational events within the industry especially as they relate to gaseous diffusion plants; (2) operate the NRC Operations Center 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> a day with nuclear engineers capable of receiving event reports and recognizing and communicating problems and emergencies to management; (3) coordinate State and Federal response efforts to develop and improve the Federal Radiological Emergency Response Plan and the Federal Response Plan; and (4) maintain and improve the NRC Operations Center and regional functional procedures, response tools, and training. During FY 1996-1997, the NRC will assess regional incident response programs and emergency preparedness exercises with each region.
A standardized training program on the technical and organizational aspects of emergency response has been developed and continues to evolve. During FY 1996-1997, this training will continue to be conducted for headquarters and regional response personnel. Training will also be offered periodically to Federal agencies that support the NRC, as well as State agencies that the NRC supports during an accident. At least one exercise will be conducted annually to confirm and maintain the capabilities of NRC response personnel to meet the unique needs associated with materials licensees and fuel cycle facilities. More efficient notification and information exchange methods will continue to be developed among the Federal response agencies involved in this area.
This activity also includes the review and evaluation of operational experience from NRC licensees and Agreement States to identify generic issues resulting from significant events or situations that warrant detailed evaluation. These issues are further analyzed to assess the root causes of the identified deficiency and the adequacy of corrective actions implemented and planned, and to identify those safety concerns that may warrant regulatory attention. Operational events, such as overexposure to radioactive materials and medical misadministrations of nuclear material, are included in this review.
122
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Other Nuclear Materials and Waste Activities During FY 1996-1997, the NRC will continue to issue case studies, trends and patterns reports, engineering evaluations, and nuclear materials technical reviews. Results, findings, and recommendations for actions based on these studies will be widely disseminaicd to the i
nuclear industry and the public in a timely manner. During FY 1996-1997, the NRC will continue the review of operational events such as overexposure to radioactive materiais add medical misadministrations of nuclear materials, and will complete the revision of abno: mal j
occurrence (AO) criteria reporting requirements for medical misadministrations and revise AO criteria for overexposure events to make the dose criteria consistent witii the new 10 CFR Part 20. The NRC will continue the collection, technical screening, and coding of approximately 2000 nuclear materials event and inspection reports in'.o databases for annual l
l agency access and will continue implementation of a database for nuclear materials events, including medical misadministrations and fuel cycle events. The NRC will also develop a client / server application to provide the capability for the database to be accessed throughout the NRC. As a result of the long-term follow-up specified by the GE Wilmington Incident Investigation Team Report, the NRC will continue to evaluate operating cxpc.9nce from fuel cycle licensees.
Technical Tminine and Oualification This activity provides technical training for NRC staff and Agreement State inspectors in support of the nuclear materials and nuclear waste program. Curriculum areas in support of the nuclear materials and nuclear waste program will be maintained in probabilistic risk assessment, radiation protection, fuel cycle technology, security and safeguards, and regulatory skills. New courses will be developed and existing courses will be modified to meet new or changing needs. Training is also provided to other Federal, State, and foreign regulatory counterpart employees on a space-available basis.
The technical training curriculum will continue to be provided to ensure appropriate coverage in specialized areas. In FY 1996-1997, the technical training curriculum supporting the nuclear materials and nuclear waste program will continue to include approximatelv 60 courses ranging in duration from 1 day to 5 weeks. Emphasis will continue to be placcd on nuclear materials safety and fuel cycle program development and training.
Adindicatory Reviews The Atomic Safety and Licensing Board Panel is the statutory office of the NRC and consists of administrative judges who, sitting alone and in three-member boards, conduct 123
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Other Nuclear Materials and Waste Activities adjudicatory hearings pursuant to the following statutes: the Administrative Procedure Act; the Atomic Energy Act of 1954, as amended; the National Environmental Policy Act of 1969, as amended; the Nuclear Waste Policy Act of 1982, as amended; and the Program Fraud Civil Remedies Act.
The boards hear and decide issues granting, suspending, revoking, or amending licenses to conduct licensed activities. Hearings address issues involving health, safety, anti-trust, and the environment, as well as enforcement and civil penalties. Individual administrative judges and administrative law judges are authorized to decide cases involving the licensing of
{'
nuclear materials and other cases, as directed by the Commission. During FY 1996-1997, the Atomic Safety and Licensing Board Panel will conduct adjudicatory hearings usually near where the dispute arose, pursuant to the pertinent acts to include issues of granting, suspending, revoking or amending licenses. The Panel also will maintain and train a legal and technical staff adequate to ensure the continuing availability of due process in antitrust, enforcement, licensing, decommissioning, and other disputes requiring independent resolution and will continue to provide advice on adjudicatory and dispute resolution matters related to low-level waste, decommissioning, and other proceedings and on other regulatory and administrative matters as required.
Investigations. Enforcement, and Leeal Advice The NRC Office of Investigations investigates allegations of wrongdoir.g by NRC materials licensees; the Office of Enforcement ensures compliance with regulations and license conditions, obtains prompt correction in areas of noncompliance, deters further noncompliance, and encourages improvement of materials licensee performance; and the Office of General Counsel addresses legal questions associated with the regulation of spent-fuel storage, low-level waste management, transportation of nuclear materials, and certification of the United States Enrichment Corporation's (USEC's) gaseous diffusion facilities.
All findings and conclusions that result from investigations are sent to the appropriate program office and the Office of Enforcement for review of the issues involved and a determination as to whether enforcement action is warranted. The Director, Office of Investigations, refers suspected or alleged criminal violations concerning NRC licensees and others within NRC's regulatoryjurisdiction to the Department of Justice. The NRC will continue to investigate allegations of wrongdoing by NRC materials licensees and others within its regulatory jurisdiction. The current workload consists of approximately 60 active materials cases. Approximately 70-90 materials cases are expected to be opened each year during FY 1996-1997. The NRC will refine, administer, and maintain quality control standards pertaining to the conduct of investigations. During FY 1996-1997, the staff will 124
i l
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM i
Other Nuclear Materials and Waste Activities apprise the Commission and appropriate agency offices of matters under investigation that may affect the public health and safety or other aspects of the agency's mission. The staff will maintain liaison with other agencies and organizations to ensure the timely exchange j
ofinformation of mutualinterest and refer matters judged to be criminal to the Department of Justice.
4 A
j The NRC will continue to implement an enforcement program with support from the regional offices. Activities include overseeing and evaluating regional enforcement efforts; coordinating and developing regional enforcement actions and recommendations; evaluating 3
potential enforcement cases; reviewing inspection and investigation reports and confirmatory i
j action letters; initiating and processing notices of violations, civil monetary penalties, and various enforcement orders; reviewing draft regulations, inspection guidance, and other
{
initiatives for their effect on the enforcement process and providing advice and guidance on i
related enforcement issues; assisting the Office of Nuclear Material Safety and Safeguards i
on orders modifying licenses, including cleanup orders; and assisting the Office of the i
General Counselin the administrative hearing process, including presenting testimony. As the number and types of enforcement actions taken in any period are a function of the j
number of licensees and the licensees' performance, it is difficult to predict future activity levels; however, previous enforcement activity has been as follows:
i j
Materials Enforcement Resulting Orders Fiscal Year Actions Considered Civil Penalties Issued i
1992 122 57 17 1993 205 74 10 1994 151 51 30 On the basis of this previous enforcement activity, the NRC expects to consider between 130 I
and 170 materials enforcement actions each year during FY 1996-1997.
1 i
The Office of Enforcement will continue to develop and promulgate enforcement policy, j
i including the maintenance of an enforcement manual. The basic manual was issued in j
May 1990 and was updated in September 1994. Additional sections and refinements based j
on experience will be issued in subsequent years. The staff will continue to review l
Commission directives for impact on the enforcement policy or program and make changes as necessary. The staff will complete its review of the enforcement program in FY 1995.
During FY 1996-1997, the NRC will implement the recommendations as appropriate.
During FY 1996-1997, the NRC will continue to monitor actions filed with the Department l
of Labor (DOL) under Section 211 of the Energy Reorganization Act, coordinate with DOL, a
125 J
4 1
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM Other Nuclear Materials and Waste Activities and develop enforcement actions where there are properly supported findings of discrimination.
Also during this period, the staff will maintain data generated in the enforcement process to monitor the enforcement program and to evaluate materials licensees in order to identify weak performers who require greater NRC oversight.
The Office of the General Counsel will addren legal questions related to the regulation of spent-fuel storage, low-level waste management, transportation of nuclear rnaterials, and will provide legal assistance to the staff as the staffissues procedures and develops a regulatory framework governing NRC replation and certification of the United States Enrichment Corporation gaseous diffusion enrichment facilities.
The Office of the General Counsel will provide legal assistance to the NRC staff with respect to the review related to licensing, operation, enforcement and decommissioning of materials licensees and facilities; the promulgation and amendment of NRC regulations and guides pertinent to the aforementioned matters; representing the NRC staff in adjudications arising from proposed licensing and enforcement actions; representing the Commission in lawsuits arising from adjudicatory and rulemaking decisions related to materials licensees; and providing legal analyses of regulations, statutes, and cases relevant to NRC activities.
Event Evaluation The Office of Nuclear Material Safety and Safeguards (NMSS) responds to incidents and events in' the materials and transportation programs. During FY 1996-1997, NMSS will maintain the capability for incident response and safety-based reactive inspections pertaining to materials and transportation. NMSS will also provide the capability for allegations, investigations, enforcement actions, and operational data analysis.
l i
126 m
. m m -. ---
i I
r NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM High Level Waste Cost Center m
FY 1996 Estimate FY 1997 Estimate J
lFY1995 Change Change from Planning fran FY 1994 Enacted Request FY 1995 Estimate FY 1996 Enacted 4
Budget Authority by Function ($K)
Salaries and Benefits 5,668 5,374 5,509 135 5,553 44 Contract Support 16,056 16,377 16,227
-150 16,191
-36 Travel 276 249 264 15 256
-8 i
Total 22,000 22,000 22,00G 0
22,000 0
j Budget Authority by Activity ($K)
High-level Waste Licensing 14,515 14,204 14,044
-160 14,222 178 4
i High-Level Vaste Research and Regulation Development 6,917 7.166 7,328 162 7,146
-182 Other High-level Vaste Activities 568 630 628
-2 632 4
Total 22,000 22,000 22,000 0
22,000 0
j 1
a Full-T se Equivalent Employment by Activity High-L m l Waste Licensing 58 48 48 0
48 0
i High-Level Vaste Research and Regulation tevelopment 6
6 6_
0 6
0 i
Other 'ilgh-i.evel Vaste Activities 6
5 6
1 6
0 i
Total 70 59 60 1
60 0
i The regulatory activities in this cost center are mandated by the Nuclear Waste Policy Act (NWPA) of 1982, the Nuclear Waste Policy Amendments Act (NWPAA) of 1987, and the National Energy Policy Act of 1992. The NWPA specifies a detailed approach for the long-range undertaking of high-level waste (HLW) disposal, with DOE having operational responsibility and the NRC having regulatory responsibility. This undertaking involves a complex, integrated system of waste handling, transportatien, interim and retrievable storage, and ultimate deep geologic disposal of HLW, requiring the protection of the public health and safety and the environment over thousands of years. The NWPAA directs DOE to characterize only one candidate site, the Yucca Mountain site in the State of Nevada, and to terminate site-specific activities at all other candidate sites. The National Energy Policy 127
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Hich-Level Waste Act directs the NRC to revise its regulations (10 CFR Part 60) within one year after the Environmental Protection Agency (EPA) issues new standards.
NRC's HLW repository program is proceeding according to the process established by the NWPA, as amended, and supports the current DOE schedule, which is reflected in DOE's
" Project Decision Schedule," Revision 1,- dated June 1991 as modified to reflect tunnel boring of the Exploratory Studies Facility (ESF) which commenced in September 1994.
NRC staffis reviewing DOE's activities as it implements its New Program Approach which focuses on site suitability evaluations performed in a stepwise manner leading to a technical site suitability determination in 1998. The NRC is developi g guidance and license review-n criteria according to DOE's program priorities to ensure that ali required licensing support and guidance documents are available when needed and completed before DOE applies for a license in 2001.
The Center for Nuclear Waste Regulatory Analyses (CNWRA), a federally funded research and development center (FFRDC) under contract to the NRC, has been established to provide technical assistance and conduct research for NRC's HLW program. The CNWRA provides support, under NRC direction, for NRC activities related to the geologic repository
. and monitored retrievable storage facility, transportation, environment, and other activities associated with the storage and disposal of nuclear waste under the NWPA and NWPAA.
The NRC will continue to sponsor the CNWRA during.the planning period.
This sponsorship willinclude providing for the administrative, management, and quality assurance procedures and practices necessary to operate the CNWRA.
The contract support funds are allocated for work done for the NRC by the CNWRA and some commercial contractors and universities.
This cost center comprises three major activities: high-level waste licensing, high-level waste research and regulation development, and other high-level waste activities. Together, these activities are designed to ensure that high-level nuclear waste is managed and disposed of safely.
l High-Level Waste Licensing This activity is conducted to ensure the effective, efficient, and timely discharge of NRC's licensing responsibilities under the NWPA and NWPAA.
128
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: High Level Waste The high-level waste (HLW) licensing activity consists of work required to implement NRC's responsibility to license and inspect the national HLW repository.
To fulfill this responsibility without causing undue delay or unnecessary rework in the DOE program, the NRC and DOE will continue to interact and conduct prelicensing consultation. This includes consultation on DOE's New Program Approach on a regular basis. To provide for an effective and efficient licensing process, the NRC will develop methods to permit the 4
independent determination of the acceptability of DOE licensing information. The NRC provides guidance to help ensure that the DOE program develops essential and acceptable data, provides onsite overview of DOE activities, identifies and resolves issu :s, and reviews a
evaluates DOE submittals.
During FY 1996-1997, the NRC will develop the rulemaking on elimination of inconsistencies between NRC regulations and EPA HLW standards. In FY 1996, the NRC will complete the final rule on dose criteria for design basis events. A rulemaking on implementation of the EPA HLW standards will be initiated in FY 1997. During this period, the NRC will continue to review and comment N any amendments to DOE's Mission Plan, revisions to its Project Decision Schedule, or other program planning documentation to help ensure that NWPA and NWPAA statutory actions are completed and the schedules are met. In addition, as required under the NWPAA, the NRC will provide limited support to the Nuclear Waste Technical Review Boan' During FY 1996-1997, with support from the CNWRA, the staff will continue to develop the i
license application review plan (LARP) for a geologic repository using the systematic regulatory analysis (SRA) process.
During FY 1995-1997, between 8-14 compliance determination methods (CDMs)(review methods and acceptance criteria) will be completed each year.
~
During FY 1996-1997, the NRC will continue to develop and revise repository subsystem models such as: (1) models for thermohydraulics, radiolysis, and galvanic corrosion within the engineered banier system;(2) r odeling of fault displacement, volcanism, and seismic hazards; (3) thermalfthermal-mechanical modeling; and (4) modeling of other topics as needed for developing CDMs. The staff will use these models and cod.:s to evaluate ongoing DOE site characterization activities, to develop the repository License Application Review Plan and support rulemakings, to provide for assumptions made in the development and application of the repository total system model, and proudc irformation for design reviews and subsystem performance reviews.
During FY 1996-1997, the staff will continue to conduct performance assessments of the repository system on an iterative basis, incorporating improved mechanistic models and system code methodology, as appropriate. The process uses predictive models and codes 129
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: High-Ixvel Waste to obtain quantitative estimates of performance based on emerging data and increased understanding of the phenomena on which the models are based. This process will continue until DOE submits a license application containing an assessment of repository system performance.
During FY 1996-1997, the staff will continue to sponsor and oversee the management of the CNWRA, including management support and planning, expertise development and maintenance, and internal goality assurance. Also during FY 1996-1997, the staff and the CNWRA will continue to develop, operate, and maintain the Repository Program Database (RPD), and the staff will provide data entry senices for the Technical Reference Document Database System at the CNWRA.
Each year during FY 1996-1997, with CNWRA support, the NRC will observe eight DOE quality assurance (OA) audits of DOE's HLW repository program. Also during this period, the staff will observe DOE suneillances, as needed, to evaluate in detail the implementation of DOE's program in specific technical areas. During FY 1996-1997, with CNWRA support, the staff will continue to review DOE's repository Site Characterization Plan semiannual progress reports, study plans, technical reports, design reports, topical reports, license application annotated outlines, and total system performance assessments. The NRC will review two DOE site suitability evaluation reports each year, the focus of DOE's New Program Approach, during FY 1996-1997. Approximately 20 study plans are expected in FY 1996 and 10 in FY 1997. Approximately 10 percent of the study plans, those which concern key technical uncertainties or issues, will receive a detailed technical review.
Approximately 3 techaical reports will be reviewed in detail each year during FY 1996-1997.
During FY 1996-1997, the NRC will continue onsite liaison at Yucca Mountain to facilitate direct excharge of repository-related information with DOE and the State of Nevada, and to provide goality assurance and technical oversight of data, documents, and activities related to site characterization.
During FY 1o96-1997, the NRC will operate and enhance the Advanced Computer System (ACS). Tae ACS is a computer network consisting of approximately five client / servers, 20 Unix workstations,30 personal computers, and associated peripheral equipment. This system will assist the NRC staff in the review of an applicant's site characterization acuvities and engineered facilities for a decision on a license application. The NRC will continue to procure and install proprietary software for the ACS, such as advanced scientific visualization software, complex natural system modeling programs, and sophisticated engineering design calculations.
The NRC will continue to provide technical guidance to DOE during the design, engineering, certification, and fabrication of a prototypical family of road and rail transport 130
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: High-Level Waste container designs. During FY 1996-1997, the NRC expects to receive one application each year for certification of a new transportation package design from DOE for shipping HLW, as required by the Nuclear Waste Policy Act. Each review will require approximately two years to complete.
The NRC will continue to emphasize the importance of compatibility among storage, transportation, and disposal designs to minimize handling of spent fuel and HLW. During FY 1996-1997, the NRC will continue to consult with DOE on spent fuci storage to meet DOE's goal of making multi-purpose canisters (MPCs) and overpacks for storage and transportation available for deployment at reactor sites beginning in FY 1998. DOE will submit an application for certification of an MPC design for storage and transportation in FY 1996. NRC's review will continue for approximately two years through FY 1997.
Hich-Level IVaste Research and Reerdation Develonment NRC's HLW research is conducted to: (1) develop the licensing tools and technical basis necessary to judge the adequacy of DOE's license application, (2) ensure sufficient independent understanding of the basic physical processes taking place at the geologic repository, and (3) maintain an independent but limited confirmatory research capability under NRC auspices. This research combines theoretical study with laboratory and field experiments and focuses on those technical issues that have the greatest uncertainty and importance to waste isolation. The technical issues of concern include the interaction of the waste form and container with the environment at the disposal site, the effects of geologic processes on long-term performance of the repository, the movement of radioactive material from the disposal facility to the accessible environment, and the long-term geologic stability of the Yucca Mountain site. Technical issues are identified on the basis of the results of independent judgment that is based on staff expertise regarding technical and regulatory needs, ongoing research, work with DOE and others, systematic regulatory analysis (SRA),
and iterative performance assessment (IPA).
Engineered systems research responds to technical issues in the areas of controlled release; waste package; and repository design, construction, and operation. The NRC research will provide the support needed to address technical uncenainties identified through SRA and IPA and will provide information to models and ccdes used for assessing the performance of the engineered barrier system. This research veill also address whether the short-term, small-scale tests and experiments on waste packages and other engineered components of the repository system that are performed by DOE in support of its license application are appropriate and sufficient to assess performance of engineered barrier systems within acceptable limits.
Additionally, this research will address the effects of the coupled 131
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Hich Level Waste interactions between' the repository system components (including the host rock and groundwater) in the zone affected by waste heat, and the effects on the long-term stability of the engineered facility (including shaft and borehole seals) in consideration of possible seismic effects.
During FY 1996-1997, the NRC will continue a 5-year program to evaluate coupled thermal / mechanical / hydrologic effects.
During FY 1996-1997, the NRC will continue a program to assess interactions between waste forms, waste packages, engineered components, and the repository environment in an attempt to evaluate the effect of these complex interactions on engineered system performance. In FY 1996, the program will be expanded to evaluate the effects of thermal loads on fractured tuff.
During FY 1996-1997, the NRC will continue experiments and modeling of long-term degradation mechanisms on DOE-selected waste package materials and designs.
In FY 1995, the NRC will complete a research program on the dynamics of volcanic eruptions and magmatic intrusions in the vicinity of the Yucca Mountain site and use the results to initiate work on modeling of volcanic systems. In FY 1996, the NRC will continue a program to apply models of mantle dynamics to the regional database of past and existing studies on the Basin and Range Province. In FY 1997, the NRC will issue reports on:
(1) models of volcanic processes based on geologic processes in the mantle and (2) application of the models to possible igneous events in the vicinity of Yucca Mountain.
Also in FY 1996, the NRC will continue research on seismic hazards for use in performance assessment and the evaluation of engineered systems design.
In FY 1996, the NRC will continue research on the tectonics of the Yucca Mountain region to ensure the capability to review DOE's understanding of the relationships between the long-term movements of fault-bounded blocks in the region and earthquakes, volcanism, and magmatism. In FY 1996, the NRC will issue a final report on mathematical models of tectonic processes.
In FY 1996, the NRC will issue a topical report that will evaluate: (1) the applicability of natural hydrochemical tracers to groundwater travel time determinations, and (2) the calibration of hydrologic parameters for flow and transport processes occurring over long periods. Also in FY 1996, the NRC will continue research on and issue a final report on hydrogeochemical modeling of near-field conditions.
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NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Hinh-Level Waste During FY 1995, the NRC will continue theoretical and modeling studies of partially saturated to saturated, fractured rock to assist in the evaluation of groundwater flow and transport models for the Yucca Mountain site.
During FY 1995, the NRC will continue research on the contaminant transport of uranium in geologic systems that are similar to Yucca Mountain with respect to geochemical processes. This research will test DOE models of radionuclide transport and chemical interactions.
In FY 1995, the NRC will continue work on sorption processes by assessing various approaches to modeling ion exchange and adsorption reactions, which could perform as an effective barrier to the transport of actinide elements to the accessible environment in actual site performance and should be reflected in DOE's long-term performance assessment calculations. In FY 1996, the NRC will issue a final report on the state of the sorption database and models for use in auxiliary analyses of radionuclide transport.
In FY l's95, the NRC will continue research to improve the understanding of coupled regional nydrologic and geological conditions and processes in an arid mountain system like Yucca Mountain. In FY 1996, issue a report on the mechanisms and conditions that create variations in groundwater recharge and perched water systems based on this research.
In FY 1995-1997, the NRC will assess methods of dating geologic events with emphasis on methods for dating volcanic eruptions and prehistoric earthquakes and faulting to provide a technical base for reviewing DOE's assessment of geologic events at the Yucca Mountain site.
In FY 1996, the NRC will conduct research and issue technical reports on the results of large-scale field tests in fractured tuff similar to Yucca Mountain tuff that will provide the NRC staff with the technical basis to review DOE site characterization methods. These technical reports will assess the uncertainties in measuring, interpolating, and extrapolating values of hydrologic parameters.
In 1996, building on the results of thermohydrology research done so far, the NRC will complete and issue the results of experiments on coupled thermal, hydrological, and chemical interactions near emplaced HLW to provide a technical base for reviewing DOE's assessment of the impact of waste heat on repository performance.
During FY 1995-1996, the NRC will reinitiate (after EPA issues a revised standard on HLW) and issue a proposed and a final rulemaking on Elimination of Inconsistencies between NRC regulations and EPA HLW standards,10 CFR Part 60.
133
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: High-Level Waste During FY 1995-1996, the NRC will consider the need to initiate and develop proposed Part 60 rulemakings for the following: (1) Implementation of the EPA HLW standards, (2) Pre-waste emplacement groundwater travel time / disturbed zone, and (3) emergency planning criteria for the HLW repository.
In FY 1996-1997, the NRC will continue to research subregional groundwater flow and transport processes and conditions relevant to the Yucca Mountain site utilizing the Apache Leap Tuff site studies and the CNWRA-developed modeling methodology and codes for partially saturated flow and transport in fractured, heterogeneous rock.
During FY 1996-1997, the NRC will continue field studies on testing flow and transport models and concepts related to DOE's site characterization and performance assessment models of the Yucca Mountain site.
In FY 1995, the NRC will issue a final report prepared by the University of Arizona on its field validation studies in support of the INTRAVAL international project for studying validation of geosphere transport models, INTRAVAL In FY 1996, the NRC will issue reports and make presentations on the findings of the INTRAVAL project.
t During FY 1996-1997, the NRC will continue research of regional hydrologic processes in the Death Valley Basin related to DOE's site characterization and performance assessment of the Yucca Mountain Site with emphasis on identifying and evaluating alternative conceptual models for flow paths and discharge to the accessible environment.
In FY 1996, the NRC will issue topical reports on: (1) conceptual and mathematical models of matrix-fracture interactions in unsaturated welded tuff, and (2) the applicability and utility of massively parallel and heterogeneous computing methods in HLW performance.
In FY 1996, the NRC will initiate an experimental program to determine the effects of the interaction between thermally concentrated groundwaters, backfill minerals, and the waste package, and the consequences of these interactions for uncertainties in the prediction of engineered system performance. This project will continue in FY 1997 and will consider wet / dry cycling and partial wetting.
In FY 1996, the NRC will initiate a program of research on the metallurgical and electrochemical issues controlling uncertainties in engineered barrier performance. This program will continue in FY 1997 and will include the use of natural analogues.
In FY 1997, the NRC will complete an analysis of the consequences of microbiological action on tuff, including tuff contaminated with diesel fuel or other mining waste mining.
134
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Hinh Level Waste During FY 1996-1997, the NRC will continue research assessing the long-term durability of seals for boreholes and shafts in highly welded tuff. Also during FY 1996-1997, the NRC will continue research on laboratory testing and analysis of coupled thermal hydrologic-mechanical-chemical (THMC) interactions in fractured tuff in a stepped fashion, starting with one way coupling and progressing to two, three and four way coupling for near field repository performance assessments.
Other Hich-Level Waste Activities This activity provides the Commission with independent technical review of and advice on the management and disposal of HLW and legal advice and assistance on high-level waste management issues.
The Advisory Committee on Nuclear Waste (ACNW) acts as a focused center of expertise for independent technical review of and advice on HLW regulatory activities. To perform objective reviews and provide advice on the issues, the ACNW relies on highly qualified members and consulting specialists. The ACNW is responsible for reviewing and providing advice on all aspects of nuclear waste disposal facilities within the purview of NRC responsibilities, as directed by the Commission.
The efforts of the ACNW discussed in this activity pertain only to high-level nuclear waste disposal facilities and primarily focus on the proposed disposal facility. The ACNW efforts in the area of low-level waste (LLW) are discussed separately in the Low-Level Waste and Decommissioning Cost Center.
During FY 1996-1997, the ACNW will review DOE's site characterization progress reports mandated by statute, which update site characterization study plans and results of associated investigations, and revisions being proposed to the EPA HLW standards as directed by the Commission. This may include changes to the HLW standards that apply to the proposed Yucca Mountain repository as a result of the Energy Policy Act of 1992.
The ACNW will also review technical positions developed to clarify the intent of 10 CFR Part 60; results of the NRC staff's review of the DOE Office of Civilian Radioactive Waste Management's quality assurance program for the Yucca Mountain site characterization effort; NRC staff activities associated with the iterative performance assessment program for the proposed HLW repository, including issues associated with validation of predictive models of component behavior, development of associated guidance, and integration of findings into other technical efforts; development, testing and performance predictions of the waste package and engineered barrier systems; international 135
NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: High-Level Waste programs and strategies for lessons applicable to domestic HLW disposal; proposals for a multi-purpose canister system to store, ship, and dispose of spent fuel; and development and implementation of technical assistance support at the CNWRA including results from the systematic regulatory analysis (SRA), e.g., license application review plan, and the SRA process itself. The Committee will visit the CNWRA.
The ACNW will (1) review NRC and DOE activities associated with the evaluation of the HLW management and disposal program from an overall systems perspective and (2) the Office of Nuclear Regulatory Research (RES) programs supporting the Office of Nuclear Material Safety and Safeguards (NMSS) Waste Management Division. During the planning period, the ACNW will visit the proposed Yucca Mountain HLW repository site in Nevada during development of the Exploratory Studies Facility to observe excavation procedures being used and the site characterization studies that are in progress. The ACNW will also undertake other studies and activities as directed by the Commission such as the potential impact of the DOE's recently revised and accelerated program approach at the Yucca Mountain site.
The Office of the General Counsel provides legal advice and assistance relating to storage, transportation, and disposal of HLW. This includes providing legal advice and assistance relating to the development and review of NRC regulations and guides pertinent to licensing a HLW geological repository and a monitored retrievable storage (MRS) or other interim storage facility. It also includes representing the NRC in all areas that may affect the evidentiary hearings on the HLW repository license application, through the review of material generated by the NRC and by contacts with persons and entities outside the MC.
During FY 1996-1997, the Office of the General Counsel will:
Provide legal support for the development and review of NRC regulations and guides pertinent to licensing and construction of the HLW repository and a MRS or other interim storage facility; represent the NRC staff in public rulemaking activities; analyze and interpret regulations, statutes, and cases relevant to NRC activities; and provide legal advice and assistance to RES and NMSS.
Provide legal services to assist in the development of policy in conjunction with the licensing of the HLW repository and an MRS facility or of the interim Federal storage facility and provide advice and consultation to the staff on legal and policy aspects of health, safety, environmental, and safeguards issues arising from the licensing process.
Provide legal services to the Licensing Support System (LSS) Administrator.
136 i
i NUCLEAR MATERIALS AND NUCLEAR WASTE PROGRAM: Hieh-Ixvel Waste The LSS rule (10 CFR Part 2, Subpart J) assigns DOE the responsibility for designing and developing the LSS, and assigns NRC the responsibility of operating and maintaining it.
The LSS is an electronic information management system that will contain the relevant licensing documents of DOE, the NRC, and other parties to the Commission's HLW repository licensing proceeding. The NRC will pursue a revised approach to the LSS program, which is consistent with program and budget responsibility options outlined in SECY 93-107.md approved by the Commission on June 4,1993.
The Licensing Support System Administrator will:
During FY 1995-1997, provide staff support to the LSS Advisory Review Panel and implement the consensus advice of the Panel.
In FY 1996-1997, continue to implement the revised approach to the LSS program.
Continuing implementation activities by the Office of Information Resources Management (IRM), OGC, and SECY will involve: (1) proposed and final rulemaking for appropriate changes to the LSS rule (10 CFR Part 2, Subpart J),
(2) revisions to LSS Administrator's Compliance Assessment Program (CAP), and (3) negotiation of a memorandum of understanding with DOE.
In FY 1996-1997, refine the LSS Administrator's CAP in coordination with the LSS Advisory Review Panel. This program will include establishing standards for submitting LSS material and developing a format and content guide for LSS participants' compliance program plans.
Provide support to the independent LSS Administrator and as a party / contributor to the LSS.
The schedule for staff support activities related to the further development of LSS specifications will be determined upon completion of DOE's ongoing requirements review and implementation planning.
Activities requiring response to DOE work will cover such areas as setting standards / specifications for header indexing, submitting documents and loading schedules, and reviewing design specifications for LSS capture and search system components.
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MANAGEMENT AND SUPPORT PROGRAM
MANAGEMENT AND SUPPORT PROGRAM (Dollar amounts in tables represent thousands of dollars ($K). In text, whole dollar amounts are used. Staff numbers represent full-time equivalents (FTEs).)
Total FY 1996 Estimate....
$166,778.000 FY 1996 Estimate FY 1997 Estimate IFY1995 Change Change fr m Planning from FY 1994 Enacted Request FY 1995 Estimate FY 1996 Enacted Budget Authority by function ($K)
Salaries and Benefits 58,676 57,919 60,014 2,095 58,567
-1.447 Contract Support 100,696 103,839 104,970 1,131 100,577
-4,393 Travel 1,964 1,799 1,794
-5 1.744
-50 Total 161,336 163,557 166,778 3,221 160,888
-5,890 Budget Authority by Cost Center ($K)
Policy and Direction 18,688 17,862 18.323 461 17,954
-369 Resource and Administration 129,689 131.224 132.137 913 127.792
-4,345 Special Technical Programs 12,959 14,471 16,318 1,847 15.142
-1,176 Total 161.336 163,557 166,778 3.221 160,888
-5,890 Full-Time Equivalent Employment by Cost Center Policy and Direction 187 178 178 0
178 0
Resource and Administration 519 510 508
-2 502
-6 Special Technical Programs 91 96 100 4
100 0
Total 797 784 786 2
780
-6 Changes in Budget Authority ($K)
FY 1996 Change from FY 1995 FY 1997 Change from FY 1996 Current Program Cost Center Services Requirements Total Total Policy and Direction 541
-80 461
-369 Resource and Administration 4,268
-3,355 913
-4.345 Special Technical Programs 444 1,403 1,847
-1.176 Total 5,253
-2,032 3.221
-5.890 140
MANAGEMENT AND SUPPORT PROGRAM EXPLANATION OF RESOURCE CHANGES FOR CURRENT SERVICES The change for current services reflects (1) increases in personnel compensation of 2.0 percent general raise plus 1.21 percent locality raise expected in calendar year (CY) 1995, 2.4 percent expected in CY 1996 within-grade increases, and several minor adjustments, such as the varying number of paydays, the increased number of staff in the Federal Employees Retirement System, and the increased cost of benefits; and (2) increases for contract support and travel for inflation estimated at 3 0 percent in FY 1996.
EXPLANATION OF RESOURCE CHANGES FOR PROGRAM REOUIREMENTS Resource and Administration Resource decreases in FY 1996 are due to completion of start-up costs for high performance computing, planned reductions in the microcomputer replacement program, and reductions in computer hardware maintenance costs and systems development efforts. Resources also decrease for supervisory management development courses reflecting the agency's commitment to reducing the supervisor to employee ratio by one-half in response to the September 11, 1993, Presidential memorandum, " Streamlining the Bureaucracy." The resource decrease in FY 1996 also reflects completion of refurbishment for One White Flint North and decreased costs for capital equipment as leased equipment is purchased. These savings are partially offset by increased costs for Region II's planned relocation to the New Atlanta Federal Center in early CY 1997.
Special Technical Programs The resource increase in FY 1996 is primarily for activities to strengthen the Agreement State Program, including developing additional training courses and workshops to provide Agreement State personnel with information on developing several new initiatives. The resources will also assist with the development and implementation of the Integrated Materials Performance Evaluation Program and assist applicant states, including Pennsylvania, Ohio, Massachusetts and Oklahoma, to become Agreement States.
141
MANAGEMENT AND SUPPORT PROGRAM DESCRIPTION OF PROGRAM The Management and Support Program encompasses NRC central policy direction, legal advice for the Commission, analysis of long-term policy issues, administrative proceeding review and advice, liaison with outside constituents and other government agencies, financial management, all administrative and logistical support, information resources management, executive management services for the Commission, personnel and training, and matters involving small and disadvantaged businesses and civil rights. This program comprises the following three cost centers: Policy and Direction, Resource and Administration, and Special Technical Programs.
The funds and staff for each of the three cost centers are discussed on pages 143 through 164. The contract support funds are allocated for services and products obtained from commercial contractors and other Federal agencies such as the General Services Administration and the Office of Personnel Management. The narative that follows describes these cost centers and addresses the reasons why the resources are needed.
142
MANAGEMENT AND SUPPORT PROGRAM Policy and Direction Cost Center FY 1996 Estimate FY 1997 Estimate IFY1995 Change Change I"
- ""'"9 FY 1994 Enacted Request FY 1995 Estimate FY 1996 Enacted Budget Authority by Function ($K)
Salaries and Benefits 16,918 16,045 16,541 496 16.222
-319 Contract Supnnet 1,076 1,295 1,248
-47 1,215
-33 p
Tra,el 694 522 534 12 517
-17 Total 18,688 17,862 18,323 461 17,954
-369 Budget Authority by Activity ($K)
Comission 4,280 3,776 3,899 123 3,831
-68 Comission Appellate Adjudication 660 575 593 18 583
-10 Congressional Affairs 951 360 887 27 873
-14 General Counsel 5,543 4,424 5.575 141 5,435
-140 Public Affairs 1,547 1, G0 1,497
-33 1,467
-30 Secretariat 2,908 2,879 2,973 94 2.919
-54 Executive Director for Operations 2,799 2,800 2,899 91 2,846
-53 17,862 h 18,323 Total 18,688 461 17,954
-369 Full-Time Equivalent Employment by Activity Comi ssion 41 37 37 0
37 0
Comission Appellate Adjudication 7
6 6
0 6
O_
Congressional Affairs 10 9
9 0
9 0
General Counsel 59 58 58 0
58 0
Public Affairs 16 15 15 0
15 0
3 'g ariat 28 27 27 0
27 0
p rative Director for Operations 26 26 26' O
26 0
Total 117 178 178 0
178 0
tum u r a This cost center covers NRC central policy direction, legal advice for the Commission, analysis of long-term policy issues, administrative proceeding review and advice, liaison with 143
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MANAGEMENT AND SUPPORT PitOGRAM: Policy and Direction 4
outside constituents and other government agencies, and executive management services for the Commission.
This cost center comprises the following seven activiths:
Commission, Commission Appellate Adjudication, Congressional Affairs,GeneralCounsel, Pub'ic Affairs, Secretariat, and Executive Director for Operations.
/
Commission The Commission is the governing body of the Nuclear Regulatory Commission. Itis responsible for determining the fundamental policy and for guiding staff offices to ensure that the civilian use of nuclear energy is regulated in a manner cmtsistent with the public health and safety, environmental quality, national security, art antitrust laws.
Commission Anpellate Adirulication The Office of Commission Appellate Adjudication assists the Commission in its disposition of appeals of licensing board decisions and other adjudicatory matters coming before the Commission. The office reviews administrative proceedings and keeps the Commission advised of decisions that must be made. It consults directly with the Commission, advising it in formulating opinions and on the discretionary exercise ofits supervisory authority over agency adjudication. The office monitors cases pending before licensing boards and associated matters, provides analyses and options to the Commission, and drafts adjudicatory decisions and orders, as necessary.
Congressional Affairs The Office of Congressional Affairs assists the Chairman, the Commisdoners, and senior NRC staff with congressional matters; coordinates relations between the agency and Congress; and serves as liaison between the Commission and congressional commi1 tees, congressional subcommittees, and individual members of Congress.
The primary objective of this activity is to ensure that Congress is kept fully and currently informed about agency activities and that congressional requests and inquiries are responded to in a timely manner. The Office of Congressional Affairs provides the Chairman, the Commissioners, and senior NRC staff with relevant and current information pertaining to major legislative activities likely to affect the agency. Additionally, the Office seeks to 144 l
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MANAGEMENT AND SUPPORT PROGRAM: Policy and Direction ensure that individual members of Congress are kept currently informed about significant NRC activities that might affect their respective States and districts.
Geneml Counsel The General Counsel is the Commission's chief legal advisor. The Office of the General Counsel (OGC) advises the Commission and the Office of Commission Appellate Adjudication on adjudicatory matters requiring the Commission's decision; represents the Commission in courts of appeal proceedings to review Commission orders and rules; and, in cooperation with the Department of Justice, represents the Commission in court proceedings affecting NRC's programs in the Federal district courts and the Supreme Court.
The OGC provides legal advice to the Commission on the implementation of employee conduct regulations, external investigations and internal audits, and on the application of Federal openness laws to Commission functions and on rulemaking activities;. drafts proposed legislation for Commission consideration and advises the Commission on the legal and policy implications of legislation, proposed by others, that is referred to the Commission for comment by OMB or Congress; provides legal services to NRC offices to assist them in accomplishing their mission; and represents the NRC staff in public rulemaking hearings.
The OGC also provides advice and assistance to NRC offices involved in interagency and international agreements, procurement, intellectual property, budget, security, and administrative functions, and represents the NRC in administrative hearings involving procurement, personnel, personnel security, labor relations, and equal employment opportunity matters.
Public Affairs The Office of Public Affairs assists the Chairman, the Commissioners, and senior NRC staff by managing and directing the NRC's public affairs program. This includes developing and administering agency policies and procedures for informing the public and the news media of NRC policies, programs, and activities; informing NRC management of media coverage of activities of interest to the agency: working with civic groups and administering a cooperative program with public schools; advising management on conducting public meetings; and providing information on NRC activities to the news media and general public.
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NIANAGEMENT AND SUPPORT PROGRAM: Policy and Direction l
l Secretariat I
l The Office of the Secretary of the Commission provides executive management services to l
support the Commission and to implement Commission decisions; advises and assists the l
Commission and staff on planning, scheduling, and conducting Commission business, including preparation of internal procedures; and prepares the Commission's meeting agenda. The office codifies Commission decisions in memoranda d!recting staff action, monitors staff compliance of pending actions, and tracks commitments through the automated Commission tracking system; manages the staff paper and COMSECY systems; processes and controls Commission correspondence; maintains the Commission's official.
records and acts as Freedom of Information coordinator for Commission records; maintains l
the official adjudicatory dockets of the Commission; processes and controls motions, pleadings, and appeals filed with the Commission and individual licensing boards; and issues I
and serves adjudicatory decisions and orders on behalf of the Commission and individual licensing boards.
The office receives and distributes comments from the public in rulemaking proceedings and maintains the official rulemaking docket; issues proposed and final rules on behalf of the Commission; directs and administers the NRC historical program; operates and manages the NRC Public Document Room and its Bibliographic Retrieval System for providing access to members of the public, including representatives of foreign countries, to NRC's publicly available documents; and functions as the NRC Federal Advisory Committee Management Officer. The Office of the Secretary will also l
continue to expand and integrate office automation initiatives into the Commission's I
administrative systenis to improve efficiency in the Commission's decision making process, the management of work products, and responsiveness to the public.
Erecutive Director for Operations The Office of the Executive Director for Operations (EDO) manages the agency's strategic planning process, examines policy issues, supervises and coordinates operational activities of program and EDO staff offices, and implements the Commission's policy directives pertaining to these offices. The EDO is the Chief Financial Officer of the Commission and the chief operations and administrative officer. The EDO is authorized and directed to discharge such licensing, regulatory, and administrative functions of the NRC and to take actions that are necessary for day-to-day operation of the agency.
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i i
146 l
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MANAGEMENT AND SUPPORT PROGRAM i
i Resource and Administration Cost Center FY 1996 Estinste FY 1997 Estimate 1
Change Change i
fr m Planning from I
FV 1994 FY 1995 l
Enacted Enacted Request FY 1995 Estimate FY 1996 Budget Authority by Function ($K)
Salaries and Benefits 34,194 33,929 34,967 1,038 34,010
-957 Contract Support 95,091 96,844 96,705
-139 93,329
-3,376 Travel 404 451 465 14 453
-12 Total 129,689 131,224 132,137 913 127,792
-4,345 I
Budget Authority by Activity ($K)
Controller 11,726 12,217 12,581 364 12,137
-444 Administration 54,866 50,718 51,993 1,275 49,942
-2,051 l
Information Resources Management 44,673 48,150 48,254 104 46,876
-1,378 Personnel 6,053 6,101 6.220 119 6,088
-132 i
Training 4.211 4,152 3,732
-420 3,637
-95
)
Small Business and Civil Rights 1,000 1,034 1,063 29 1,039
-24 i
Permanent Change of Station 7.160 8,852 8.294
-558 8,073
-221 Total 129,689 131,224 132,137 913 127,792
-4,345 Full-Time Equivalent Employnent by Activity Controller 107 107 107 0
104
-3 Administration 191 182 180
-2 177
-3 Information Resources Management 141 141 141 0
141 0
Personnel 64 64 64 0
64 0
Training 9
9 9
0 9
0 Small Business and Civil Rights 7
7 7
0 7
0 Total 519 510 508
-2 502
-6 This cost center covers financial management, administrative and logistical support, information resources management, personnel, and training, 147
MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration This cost center comprises the following seven activities:
Controller, Administration, Information Resources Management, Personnel, Training, Small Business and Civil Rights, l
and Permanent Change of Station.
Controller l
The Office of the Controller provides the overall financial management of the agency. This activity includes exercising budget and accounting responsibilities, providing agency senior management with analyses of policy, program, and resource issues; and ensuring adherence l
to applicable legislation, Office of Management and Budget (OMB) circulars and bulletins, and other Governmentwide financial management directives, including the Chief Financial Officers (CFOs) Act of 1990, the Omnibus Budget Reconciliation Act of 1990, the Federal Employees Pay Comparability Act of 1990, the Federal Managers' Financial Integrity Act -
of 1982, the Prompt Payment Act and amendments, and OMB Circulars A-123," Internal Control Systems", A-127, " Financial Management Systems," and A-134, " Financial Accounting Principles and Standards."
Compliance with the CFOs Act includes developing procedures and activities in concert with the Inspector General to produce a financial statement that is consistent with OMB Circular A-134 and audited; assisting offices as required in reviewing and revising NRC management directives and procedures for conformance to OMB circulars and with the requirements of the Act; developing and using performance measures to assess program and financial performance; preparing periodic reports and analyses on financial management, including an annual audited financial statement to the Chairman and the Director of OMB and periodic reports to the Commission on budget execution; and conducting periodic reviews of agency financial management activities and providing training to allottee financial managers in all aspects of compliance with the CFOs Act.
The second legislative requirement, the Omnibus Budget Reconciliation Act of 1990, requires the NRC to recover 100 percent of the agency's budget authority through license and annual fees. Activities to meet this requirement include developing and issuing rules that reflect recovery of 100 percent of the budget authority each year; providing policy, processing applications, and analyzing fee-related data for approximately 3,000 reactor and fuel cycle license amendments and issuing the resultant 1,300 bills; analyzing data and processing approximately 2,000 bills for reactor and fuel cycle inspections; processing more than 5,000 incoming applications subject to flat fees; issuing approximately 8,000 annual fee bills per year; and responding to Congressional constituent and licensee correspondence regarding fee billings.
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MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration i
To fully comply with the requirements of the Federal Employees Pay Comparability Act of 1990, the NRC is changing to a new payroll / personnel system, which will be fully implemented in FY 1997. The current payroll system will be unable to meet future operational requirements.
l Implementation of the requirements of the Federal Managers' Financial Integrity Act of 1982 and OMB Circulars A-123 and A-127, includes enhancing the NRC management control program, improving financial systems, providing training, and preparing all required reports to the President and Congress.
Compliance with the Prompt Payment Act includes processing more than 40,000 commercial I
vouchers for payment in a timely manner and accounting for and reconciling these payments.
Financial planning, a key part of this activity, includes coordinating the NRC strategic planning process, including developing instructions and procedures and modifying goals and l
objectives; providing guidance and resolving Commission questions; modifying guidance to j
implement Commission decisions; developing and issuing the agency's Five-Year Plan, which i
supports the agency's budget requests; and developing for this budget request to OMB a discussion of the status and plans for financial management throughout the agency to l
include a vision statemt.nt, a discussion of goals and strategies for implementing financial l
management improvements, a discussion of the current financial systems structure, and plans for moving to the targeted systems structure.
l The Controller also manages the NRC internal budget development process by preparing guidance and instructions, reviewing and modifying budget structure, performing analyses l
for the CFO's use in decisionmaking, and maintaining detailed records and analyses to support the budget. Interaction with the Commission to resolve questions and implement Commission decisions is required. The Controller also develops the NRC budget request for OMB and Congress and manages the overall budget justification process.
The Office of the Controller oversees agency budget execution by preparing quarterly base tables for Congress; developing monthly performance reports on budget execution for the l
Executive Director for Operations (EDO) and quarterly reports for the Commission; performing midyear reviews and other periodic budget execution reviews; managing the allotment and financial plan for Commission and EDO offices, including certification of the availability of funds; managing the agency's salaries and benefits allocation and estimating the agency's salaries and benefits requirements; ensuring administrative control of funds by maintaining expertise and interpreting appropriation law and policies; obtaining apportionments and reapportionments from OMB; managing the NRC allotment and 149
MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration financial plan process; and maintaining agency policy standards and procedures applicable to the administrative control of funds.
Other financial management functions and responsibilities in this cost center include performing required debt-collection activity; maintaining travel services while processing over 20,000 travel authorizations and travel vouchers per year; managing the agency relocation services program; managing the NRC imprest fund; maintaining accounting policies; providing accounting training; developing and maintaining financial systems; providing financial and accounting data and reports to agency management and other Federal agencies; maintaining appropriate master records for financial management; maintaining the NRC general ledger, including reconciling billings, collections, travel, and NRC accounts with Department of Treasury accounts; and developing and issuing the agency's Information Digest.
Administmtion This activity provides for centralized administrative and logistical support services for the agency, specifically in the areas of procurement, duplicating, facilities and property management, transportation, security, printing, publications services, mail and distribution services, Freedom of Information Act requests, privacy protection, rulemaking support, and local public document rooms (LPDRs), as well as certain support services for the regional offices.
This activity includes contract support funds for rent payments to the General Services Administration and real property operations costs totaling $22.5 million in FY 1995 and
$24.3 million in FY 1996. These mandatory payments represent more than 55 percent of the total contract support costs for this activity.
Facilities and property management are major portions of this activity. Key activities include managing the GSA building delegation program, space acquisition and utilization, space renovations, building management, supply and warehouse operations, and office and equipment moves. This activity also includes the development and administration of programs for motor vehicle operations, transportation services, conservation, and recycling.
Other requirements for contract support funds include transportation of persons and things, including the rental or lease of motor vehicles from commercial vendors and government motor pools; funding for subsidies for public transit and for freight and express services; duplicating and contract printing; photography services; security services, including costs for guard services, personnel security investigations, and the NRC drug testing program to 150
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protect NRC personnel, property, and information; supplies, materials, postage, and i
equipment, which include consumable supplies and office furniture, filing equipment, office machines, general equipment, draperies, and carpeting, and other operational costs, which l
cover alterations and supplementary heating, ventilation, and air conditioning; parking; automotive maintenance; fuel and tires; maintenance of office machines and security equipment; duplicating, typesetting, and photography equipment; audiovisual services; assistance to LPDRs; translations; contract typing; mail and messenger services; and document distribution services.
This activity is conducted to develop and implement agencywide contracting policies and l
procedures; direct and coordinate contracting activities; negotiate, award, administer, and l
close out contracts, task orders, purchase orders, grants, cooperative agreements, and l
interagency agreements; provide advice and assistance to offices on procurement regulations i
and requirements and methods of meeting program objectives consistent with such l
requirements; settle claims and terminations; perform other normal duties of a contracting I
office as specified in the Federal Acquisition Regulation and the Federal Information Resources Management Regulation; provide oversight for regional procurement activities to ensure small purchase actions are awarded in accordance with procurement regulations j
and agency policy; manage the Department of Energy (DOE) laboratory project, including l
providing oversight to ensure that sound contracting principles are applied to DOE laboratory agreements; assist program offices in cost negotiation and administration of laboratory agreements; develop agency policy for placement and monitoring of DOE l
laboratory agreements; conduct training for agency staff in contract management; and develop and implement screening criteria to determine if an organizational conflict of interest exists in placing work with DOE; implement the Procurement Reinvention Laboratory to substantially reduce the lead time and staff resources necessary to conduct NRC procurements, maximize both technical and cost competition, and increase the award of contracts to small businesses; and issue requests for quotations, review vendor price proposals, and award small purchase actions using electronic commerce technology.
This activity is also conducted to develop policies, procedures, and rules for implementing i
the Freedom of Information Act, Privacy Act, Federal Register Act, and Regulatory Flexibility Act; develop and review amendments to agency regulations and petitions for rulemaking; provide advice and assistance to offices and the public on filing petitions for rulemaking; administer the agency's management directives system; provide a centralized system for announcirig public meetings of the staff; and direct and coordinate local public document room activities near all reactor sites and near certain other fuel cycle and waste sites throughout the United States. This activity also provides centralized agencywide publication control and processing, word processing and scanning services, technical writing and editing services, mail and distribution services, and translation services; publishes l
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MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration regulatory and technical reports; provides direction and coordination of agencywide document composition, duplicating, and contract printing through Government Printing Office printing contractors; copy management, photography, and audiovisual and related services; and automated reports processing and proofreading services agencywide, including electronic communication with the regional offices and contractors.
The agency's overall security program is designed to protect NRC personnel, property, and information. This includes the safeguarding of restricted data and national security information documents or material at all NRC offices and at contractor, licensee, certificate holder and other facilities containing such documents or material; the safeguarding of sensitive intelligence information and providing intelligence support services to the Commission and senior management; the operation of NRC secure communications systems which process more than 23,000 multipage messages and 3,500 secure facsimiles; the NRC drug testing program, which requires approximately 900 random drug tests annually of employees and approximately 50 tests of applicants; the physical protection of personnel and property at headquarters and other agency locations; the NRC criminal history check program, under which approximately 60,000 fingerprint cards are processed each year; implementing the National Industrial Security Program and new national security-related Executive Orders' requirements; and the yearly processing and maintenance of the 900 initial and 1,000 continuing security clearances and/or special nuclear material access authorizations for agency employees, consultants, contractors, licensees, and others, as well as security approval for access to Unclassified Safeguards Information, unescorted access to NRC facilities and to nuclear power plants, and access to NRC sensitive automated information systems and data by NRC contractors.
Under the facilities security program, security personnel conduct facility / organization security surveys of headquarters, regional office, licensee, certificate holder, and contractor interests to ensure protection of classified information and sensitive, unclassified information and NRC personnel and property; provide security support to the Commission, Atomic Safety and Licensing Board Panel, Advisory Committee on Reactor Safeguards, and other NRC offices during public meetings nationwide; assist regional office staffs, as requested, with the installation of security systems, such as key card reader access control systems compatible with the system used at headquarters; manage and administer contract security force activities for contract compliance and cost efficiencies; manage and administer the physical security program for all headquarters buildings, including visitor control (50,000 visitors annually), the operation of a comprehensive access control and alarm system, the issuance of NRC photo identification badges, and the deployment of protective personnel.
Security personnel also manage a security awareness program to ensure employees are aware of their responsibilities with respect to the protection of NRC assets, including classified and sensitive unclassified information.
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Infonnation Resources Manacement This activity provides for centralized information resources management in the areas of computer, telecommunications, and information support services, including planning and program management, nationwide telecommunications equipment and services, systems development, data administration, office automation, microcomputers, records management and services, library services, document control and management, computer operations, i
l computer security, user support services, and graphics. It provides for the essential services i
and technical means used by the agency staff to receive, store, retrieve, manipulate, process, and transmit information in support of the agency's health and safety mission. The activity is managed by the Office of Information Resources Management (IRM) and in the regions i
as appropriate.
IRM provides for strategic planning for information technology for the agency. Key elements in the strategy are: 1) the maintenance of a robust and technologically current office automation and telecommunications infrastructure,2) implementation of a new text and image management system for agencywide use, and 3) improvement in the information technology (IT) area by modifying the IT planning and budgeting process and working with an IT Council.
IRM reviews information management activities, programs, and systems to determine if they are meeting NRC's requirements in an efficient and cost-effective manner. It identifies any l
potential areas in which technology or centralization can be used to improve efficiency and l
effectiveness for cost avoidance. This includes participation in an IRM review program to l
measure the effectiveness and efficiency of the agency's IRM program and compliance with the Paperwork Reduction Act of 1980 and the FederalInformation Resources Management Regulation, Subpart 201-221, which require the NRC to conduct periodic reviews of l
information resources management activities. IRM will also continue to acquire, evaluate, demonstrate, develop, and begin the implementation of new initiatives and pilot projects in such areas as computer-aided design and modeling, electronic data interchange, full text and image technologies, and other technologies that have the potential for improving the performance of NRC's mission.
Activities related to computer and telecommunications services include the evaluation, support, maintenance, and purchase of telecommunications equipment and services and the development of the architecture for the agency's telecommunications network. Additional activities include maintenance, support, and improvements of existing NRC automated systems; development of shared data bases and new systems; and office automation planning and the purchase of microcomputer hardware and software and local area networls.
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MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration IRM provides maintenance and support for emergency and routine telecommunications services for the agency.
Specifically, this includes telecommunications for the NRC Operations Center and maintenance of the Emergency Telecommunications System, as well as routine local and long-distance service.
IRM maintains and enhances current computer applications to support staff demands for information on nuclear facilities and safety issues. Applications include computer systems such as the Safety Issues Management System, Master Inspection Planning System, and Licensing Management System. This includes continuing to develop systems to meet new office requirements and replacing older systems in need of redevelopment. In particular, IRM will continue efforts for the replacement of the aging personnel and payroll systems, implement applications needed in support of the high-level waste program, and implement applications to support efforts to more effectively manage agency contracts.
IRM also provides office automation capabilities to NRC headquarters staff.
Microcomputer-based local area networks deployed throughout the agency provide enhanced intra-agency communication; improve the capability to electronically create, modify, transfer, and share documents and data; improve personal productivity; and streamline administrative functions. These networks will be evaluated beginning in FY 1995. In FY 1994,IRM began a microcomputer replacement program that will maintain a technologically current inventory of microcomputers capable of running the applications needed. This will help ensure that by FY 1996, NRC's inventory of microcomputers will be maintained, on the average, within one generation of the latest technology.
In regard to information support services, IRM provides for the management of the flow of information related to the agency's regulatory, research, inspection, legal, management, and external relations programs, and provides technical support for the staff in the use of information technology, including computer services, library and records management services, document and drawing management, graphics services, scientific code dissemination, commercial data base services, and user training and assistance. Additionally, IRM ensures agency compliance with statutory requirements under the Paperwork Reduction Act of 1980, the Federal Records Act, the Federal Information Resources Management Regulation, and the Computer Security Act of 1987.
IRM also provides agencywide records management and library services. This includes:
Ensuring that all record collections have National Archives and Records Administration or GSA-approved disposition authorities; maintaining the file center, the agency's archival facility, and the automated accountability system of agency records; coordinating the agency's vital records program; providing continued support 154
MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration to preserve the agency's official records in a secure, environmentally _ controlled facility; and providing pickup and delivery services between the contractor site and all NRC buildings, the Federal Records Center, and the recycling center. During
.i FY 1994, large quantities of documents were retired from central files.
Managing the agency's Information Collection Budget to ensure compliance with the requirements of the Paperwork Reduction Act; continuing to work with other NRC offices to reduce the burden imposed primarily on NRC licensees; establishing procedures as required by OMB Circular 89-18, " Fiscal Year 1990 Information.
Collection Budget," in order to minimize the effort required of NRC licensees while ensuring that legislative requirements are met; and continuing the routine review of l
all agency proposed and final rules, policy statements, and regulatory guides to ensure that all information collection requirements are consistent with OMB's requirements.
Enhancing the agency's records management program with special emphasis on decommissioning records in response to a General Accounting Office report entitled "NRC's Decommissioning Procedures Need To Be Strengthened"(May 1989).
Providing libra:y services, including the acquisition and maintenance of scientific and l
technical books, journals, reports, standards, codes, and microforms to support the agency.
1 Providing access to off-site commercial data bases, both bibliographic and source (actual data), and providing services to cataloging and interlibrary loan.
Exploring the feasibility of electronic communications among NRC licensees and the public and continuing to explore the compact disc / read-only memory application for more efficient and effective dissemination, storage, and retrieval of information.
IRM currently maintains the Nuclear Documents Management System / Repository l
(NUDOCS), the centralized search ' and retrieval system for licensing, enforcement, j
technical, and adjudicatory documentation. The information available through NUDOCS l_
consists of on-line bibliographic data and off-line microfiche for all captured documents as well as the full text of certain categories of documents. NUDOCS information products are critical to the functioning of the agency's headquarters and local public document rooms, and have become integrated into the way the NRC conducts its business. IRM is also 1
examining more efficient and cost-effective ways of document processing and dissemination, including the exchange of electronic documentation, both internal and external to the NRC.
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t MANAGEMENT AND SUPPORT PROGRAM: ' Resource and Administ' ration IRM, with input from other NRC offices, is currently working to identify agencywide requirements for a new document system.
Information technology services include training; microcomputer user support; installation, a
maintenance, and assistance for computer systems; graphics design; and consultation se.rvices. IRM provides access to timesharing facilities, such as the Federal Computer Center at the National Institutes of Health. (NIH), the Idaho National Engineering Laboratory (INEL), and the Oak Ridge National Laboratory (ORNL).
t IRM also implements and makes available scientific codes so-that they may be tested or '
used in the regulatory or: safety research programs, continues to meet NRC staff j
requirements for scientific code support, and assists NRC staff and contractors in preparing -
l all necessary materials to submit a scientific computer code package to Federal software centers; responds to walk-in and telephone requests for codes with information on~ their availability; continues to install codes as required by the NRC technical programs on INEL, NIH, or NRC computers for use in regulatory and research programs; annually updates the inventory of documented NRC scientific software; continues-to provide suppart for microcomputer-based tools, such as those used to establish the reliability of reactor systems and to analyze the risk of reactor accidents; and completes the training programs for agency use of computer codes.
IRM is also responsible for meeting the requirements of the Computer Security Act of 1987 (Public Law 100-235); specifically, to identify any computer system containing sensitive information; establish a plan for the security and privacy of each system identified; conduct a security awareness and good practices training program for all employees involved with the management, use, or operation of any computer system.in the ' agency; and ensure compliance with OMB Circular A-130, " Management of Federal Information Resources,"
and draft NRC Directive 12.5, "NRC Automated Information Systems Security Program."
Personnel The Office of Personnel (OP) provides effective recruitment, organization, utilization, and development of the agency's human resources through an integrated career management system; plans and implements NRC personnel policies, programs, and services; administers agencywide recruitment, staffing, compensation, and position management; provides for training, awards and benefits administration, employee health assistance, and counseling services; provides labor relations policy guidance and negotiates the collective bargaining agreement; collects, analyzes, and provides data on NRC's work force and supports 156
MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration agencywide equal employment opportunity and affirmative action programs and activities; and provides administration and guidance for the human resources strategic planning effort.
Personnel management and organizational activities include recruitment, staffing, and placement; compensation; position management; administration of employee and executive awards; personnel policy and program development; performance management; Federal labor relations and employee relations services; organization and management analyses; support to the Executive Resources Board and its subgroups, including the Performance Review Board and Recertification Performance Review Board; the occupational health and safety program; the wellness / fitness program; and the child development center. Personnel management activities also include equal employment opportunity programs, which encompass minority career development; handicapped employee and upward mobility programs; and special recruitment and other specialized activities, such as the differing professional opinion process.
OP also provides secretarial and clerical support to meet the short-term needs of headquarters offices through the assignment of Central Support Unit staff or acquisition of temporary services from the private sector. OP manages this function in response to agency requirements.
Tminine Training and development activities by the Office of Personnel (OP) provide all education and training (other than reactor technology and associated technical training under the l
purview of the Technical Training Center) for agency headquarters and regional staff. This includes graduate fellowships; scholastic support of cooperative education program students; retraining of NRC employees; support for the Technical Training Center qualifications training; individual employee, supervisory, management, and executive development training; equal employment opportunity and affirmative action; career development counseling; risk analysis; regulatory process; and other internal and external training and development activities to improve employee performance.
OP also provides for organizational development, including management succession activities, team building, and rotational assignments, and for agencywide support for improving training delivery through the development and application of improved or alternative methods and increased employee training opportunities utilizing the Professional Development Center.
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MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration Small Business and Civil Richts The Office of Small Business and Civil Rights (SBCR) identifies small and minority bi'3 messes-and those run by persons that are capable of meeting NRC contractual requirements and provides assistance to them on how to do business with the agency. The -
activity ah o includes the functions and duties related to equal employment opportunity and civil right.c matters within the NRC to increase the employment of minorities and women.
in the a,ency and ensure a climate for improved employee morale by promoting and maintaining counseling activities and supporting advisory committees made up of special emphasis groups. The activity comprises three major programs: _ (1) the Small and -
Disadvantaged Business Utilization Program, (2) the Civil Rights Program, and (3) the Federal Women's Program.
Activities under the Small and Disadvantaged Business Utilization Program are authorized.
by Sections 8 and 15 of the Small Business Investment Act of 1958, as amended.
Responsibilities include locating and referring small and disadvantaged businesses for procurement ewards, negotiating a monetary goals program with the Small Business Administration for awarding NRC contracts to small and disadvantaged businesses and monitoring the results on a quarterly basis, monitoring NRC's procurement list to ensure equitable participation of small and disadvantaged businesses, offering advice and consultation to NRC offices on capabilities of small and disadvantaged business firms, disseminating information to such firms interested in NRC contracting procedures, and assisting historically black colleges and universities to secure grants and contracts from the NRC.
The civil rights activities are responsive to the Civil Rights Act of 1964, as amended, and are implemented by 29 CFR Part 1614 of the Equal Employment Opportunity Commission (EEOC) regulations. The activities include developing, monitoring, and evaluating NRC's Affirmative Action Program; advising and assisting the Office of Personnel on the recruitment of minorities and women and EEO training for managers anti employees; providing advice to senior management on civil rights and EEO matters; and developing and administering EEO counseling activities and the EEO complaints process. Activities also include supporting special emphasis and employee advisory groups; annually setting goals for the hiring and advancement of minorities and women; tracking agency performance on all affirmative action and EEO matters; and addressing any EEO issues resulting from financial assistance p,ovided under Section 274 of the Atomic Energy Act of 1954, as amended, and the agency program for providing grants to colleges and universities.
The Federal Women's Program (FWP) was established in October 1967 as a result of Executive Order 11375, which added gender to other prohibited forms of discrimination in 158
MANAGEMENT AND SUPPORT PROGRAM: Resource and Administration the Federal Government. In August 1969, Executive Order 11478 integrated the FWP into i
the overall Equal Employment Opportunity Program, placing it under the stewardship of i
agency directors of equal employment opportunity. The purpase of the FWP is to expand and enhance opportunities for NRC women employees. This includes advising management and EEO officials of any policies and practices that are, or appear to be, sex discrimination l
or that serve as barriers in the workplace; staying in touch with the NRC work force to identify any problem areas; assisting the Office of Personnel in recruitment actions directed toward women; participating in developing the agency affirmative action plan; maintaining communication with women's organizations and participating in meetings, conferences, and seminars within and outside the agency on issues relating to the FWP; and coordinating and supporting the Federal Women's Program Advisory Committee.
P Pennanent Change of Station This activity is carried out to ensure that NRC personnel who are required to change duty stations are afforded the required relocation services and other expenses related to permanent change of station (PCS) services and PCS moves, such as expenses incurred in connection with the sale of a residence, relocation of household goods, subsistence while l
occupying temporary quarters, and other miscellaneous moving expenses.
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MANAGEMENT AND SUPPORT PROGRAM Special Technical Programs Cost Center FY 1996 Estimate FY 1997 Estimate Change Change I"
- ""I"9 I"
FY 1994 FY 1995 Enacted Ena_cted Request FY 199s Estimate FY 1996 Budget At.thority by Function ($K)
Salaries and Benefits 7.564 7.945 8,506 561 8,335
-171 Contract Support 4.529 5.700 7,017 1,317 6,033
-984 Travel 866 826 795
-31 774
-21 Total 12.959 14,471 16.318 1,847 15.142
-1.176 Budget Authority by Activity ($K)
International Programs 6.128 6.874 6,990 116 6,612
~378 State Programs 3.527 3,092 4,672 1,580 4.210
-462 00E/D00 Projects 279 363 372 9
365
-7 Educational Grants 638 1,050 1,000
~ -50 992
-8 Small Business Innovation Research (SBIR) 1,287 1,844 2.000 156 2.0~~
e8 Nuclear Materials Management and Safeguards System (NMMSS) 1,100 g 1,248 1,284 36 885
-399 Total 12,959 14,471 16,318 1,847 15,142
-1.176 Full-Time Equivalent Employment by Activity International Programs 57 61 61 0
61 0
State Programs 31 30 34 4
34 0
00E/000 Projects 3
4 4
0 4
0 Nuclear Materials Management and Safeguards System (NMMSS) 0 1
1 0
1 0
Total 91 96 100 4
100 0
Intemational Proerams This activity includes developing and implementing policies and programs on international issues; administering the Commission's responsibilities in the international arena in the areas of nuclear nonproliferation, reactor safety, radiation protection, materials safety, 160
1 MANAGEMENT AND SUPPORT PROGRAM: Special Technical Programs international safeguards and waste management; facilitating NRC access to foreign nuclear health and safety-related information and NRC technical cooperation with foreign countries j
and international organizations; and maintaining liaison with the Executive Branch, i
particularly the National Security Council, Department of State, Department of Energy, and Agency for International Development on international matters. This activity ensures that NRC has effective relationships with international organizations and foreign governments.
The establishment and maintenance of such relationships contribute to the assurance of U.S.
nuclear safety and help support U.S. national security and other U.S. foreign policy objectives.
Commission support for Presidential initiatives in the New Independent States (NIS) of the former Soviet Union and Central and Eastern Europe (CEE) will continue at a high level.
Furthermore, international nuclear safety assistance and cooperation is expected to expand in the countries of the Pacific Rim due to the rapid growth in their economies and electric energy sectors. Both of these activities will require substantial expenditures of staff resources resulting in continued pressure on NRC's baseline international program, t
On September 20,1994, the United States signed the International Convention on Nuclear Safety, which imposes significant 1egal obligations regarding our nuclear safety program.
Once the convention is ratified, the Commission will be required to implement major elements including drafting of a national report and participation in review meetings - all of which will require substantial expenditures of staff resources.
l The agency will conduct active cooperative international exchanges in nuclear safety and safeguards during FY 1996 with about 32 countries plus Taiwan and international organizations, such as the International Atomic Energy Agency and the Nuclear Energy i
i Agency, including assistance to Russia and Ukraine of the NIS and to CEE. The NRC will also initiate new activities with several countries in the early stages of establishing a nuclear power program that might use U.S. nuclear technology. The Nuclear Safety Attache at the U.S. Mission to UN Systems Organization in Vienna, a position provided by NRC, represents U.S. Government views on nuclear safety and radiation protection issues at the l
IAEA and with other diplomatic missions in Vienna and helps provide both programmatic l
and policy oversight of IAEA's nuclear safety program.
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Diplomatic initiatives at several Presidential Summits, end most recently in the Gore-Chernomyrdin Commission, will require active NRC participation in an expanded program of nuclear safety assistance and cooperation with the NIS and CEE. NRC provides assistance in the areas of strengthening independent regulatory organizations' infrastructures, i
and inspections, training, fire protection, incident response, and data collection and analysis activities.
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MANAGEMENT AND SUPPORT PROGRAM: SDeclai Technical Programs The NRC will also continue to participate as a member of interagency U.S. Physical Protection Review Teams to exchange technical information with representatives of foreign governments on physical protection procedures and practices and to host reciprocal visits to the United States. The NRC will continue to support IAEA-sponsored international safeguards activities concerned with nuclear nonproliferation. The NRC will assist IAEA in inspection activities at selected U.S. nuclear facilities, as required. The NRC will also continue to participate in the management and direction of the Technical Support Coordinating Committee, the U.S. Interagency Action Plan Working Group, and other efforts associated with IAEA safeguards. During FY 1996-1997, the NRC will also continue to assist Russia, Ukraine, Kazakhstan, and Belarus in developing and implementing national systems for accounting and control of nuclear material. The objective of this program is to develop systems of material control and accounting and physical protection that will include a body of regulations, guides, technical review criteria, implementation standards and procedures, and an inspection program.
State Procrams This activity provides for cooperation, training, oversight, technical assistance, and liaison with States, local governments, Indian tribes, and interstate organizations to ensure adequate protection of public health and safety from the hazards associated with the use of radioactive material. This activity will strengthen the Agreement State Program, including developing additional training courses and workshops to provide Agreement State personnel with information on implementing several new initiatives and to obtain comment from the Agreement States on these initiatives. These initiatives will include developing and implementing: 1) a policy statement, which will draw a clear distinction between what is required for both the adequacy and compatibility of an Agreement State Program; and
- 2) an Integrated Materials Performance Evaluation Program, which will guide a common process to assess the performance of the 29 Agreement States and NRC's regional materials programs. As a part of these responsibilities, the NRC administers agreements with the 29 Agreement States that exercise jurisdiction over the use of radioactive materials; provides assistance to other States seeking Agreement State status; conducts major training courses, special topic workshops, and technical meetings for Agreement State staff; makes periodic visits to review programs for adequacy and compatibility with NRC programs; provides early and substantive involvement of the States in NRC rulemaking and other regulatory efforts; provides assistance to State and local governments in radiation control; and conducts an all-Agreement States annual meeting. The administration and oversight of the Agreement State program ensures there is a coherent, consistent, national program for the regulation of Atomic Energy Act materials that provides adequate levels of safety among all Agreement State and NRC programs. The agency also coordinates activities of interest to 162 l
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MANAGEMENT AND SUPPORT PROGRAM: Special Technical Programs State, local, and Indian tribal governments with other NRC offices; and participates in activities conducted by the Conference of Radiation Control Program Directors, Inc. In addition, the agency negotiates memoranda of understanding with States on various NRC and State activities involving mutual cooperation, monitors State legislation, and informs the Commission and staff of significant State actions concerning nuclear issues. It also regularly consults and conducts meetings with Governor-appointed State liaison officers and maintains contact with national organizations, such as the National Governors' Association, National Association of ' Regulatory Utility Commissioners, National Congress of American Indians, and National Conference of State Legislatures, to identify NRC regulatory initiatives affecting States and to keep NRC apprised of those organizational activities that could affect the agency.
The NRC also will provide technical assistance to the LLW compacts; State regulatory bodies; and the States of South Carolina and Washington, where the existing LLW disposal sites are located. On request, the NRC will provide technical assistance to Agreement States that are in various stages of developing and implementing plans to regulate new LLW disposal facilities.
This activity also provides for Federal liaison support to increase cooperation und communication between the NRC and other Federal agencies on policy matters. The Federal liaison program manager conveys the Commission's viewpoints and policies to Federal agencies and notifies NRC senior management about significant actions by other Federal agencies that may affect NRC actions, plans, and policies.
Department of Enem\\Devanment of Defense (DOE \\DOD) Projects The NRC will continue to review and comment on proposed DOD and DOE reactor projects and facilities, as requested.
Educational Grants During FY 1996-1997, the NRC will continue to support research educational grants.
Pursuant to sections 31(a) and 141(b) of the Atomic Energy Act of 1954, as amended, the NRC is authorized to award grants and cooperative agreements to educational institutions, nonprofit institutiona State and local governments, and professional societies. The NRC grant program is administered in accordance with the Federal Grant and Cooperative Act of 1977, OMB guidance, and NRC policies and procedures. This program fosters public understanding of nuclear safety, enlarges the body of knowledge and technical information, 163
MANAGEMENT AND SUPPORT PROGRAM: Soecial Technical Programs and enhances the protection of public health and safety. Such support to educational institutions is limited to no more than one percent of the total annual budget for the Office of Nuclear Regulatory Research. At present, NRC grants support a variety of professional meetings and university-based research projects.
Small Business innovation Research (SBIR)
During FY 1996-1997, the NRC will continue to support the Small Business Innovation Research Program (SBIR), as required by Public Law 97-219, to stimulate technological innovation by small businesses. The law requires that Federal agencies establish SBIR programs if their extramural research budget exceeds $100 million.
The NRC has participated in the program since it was established in FY 1982, notwithstanding the fact that the research budget at times has been less than $100 million dollars. The NRC's SBIR Program supports high-quality and cutting-edge research of interest to the NRC. The program also seeks to couple this research with follow-on private funding to pursue commercial applications and to increase technological innovation. Each year, about 110 to 130 SBIR proposals will be reviewed and about 10 to 12 contracts will be awarded.
Nuclear A1aterials A1anacement and Safecuards System (NAIA1SS)
During FY 1996-1997, the NRC, in conjunction with DOE, will continue to operate and maintain the Nuclear Materials Management and Safeguards System (NMMSS) to track the movement of domestic and foreign nuclear materials.
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INSPECTOR GENERAL PROGRAM (Dollar amounts in tables represent thousands of dollars ($K). In text, whole dollar amounts are used. Staff numbers represent full-time equivalents (FTEs).)
Total FY 1996 Estimate......................................
$5,500,000 FY 1996 Estimate FY 1997 Estimate change Change fu Planning fu FY 1994 FY 1995 Rwuest FY 1995 Estimate FY 1996 Enacted Enacted Budget Authority by Function ($K)
Salaries and Benefits 3.933 4,192 4.507 315 4.651 144 Contract Support 662 653 751 98 800 49 Travel 205 235 242 7
249 7
Total 4,800 5.080 5.500 42C 5.700 200 Full-Time Equivalent [mployment Audits 19 19 19 0
19 0
Investigations 17 18 18 0
18 0
Inspector General and Resource Management and Operational Support 7E 7
7 0
7 0
Total 43 44 44 0
44 0
Changes in Budget Authority ($K)
FY 1996 Change from FY 1995 FY 1997 Change from FY 1996 Current Program Program Services Requirements Total Total Inspector General 343 77 420 200 EXPIANATION OF RESOURCE CIIANGES FOR CURRENT SERVICES E
The changes for current services reflects (1) increases in personnel compensation of 2.0 percent general raise plus 1.21 percent locality raise expected in calendar year (CY) 1995,2.4 percent expected in CY 1996, within-grade increases, and several minor adjustments, such as the varying number of paydays, the increased number of staff in the Federal Employees Retirement System, and the increased cost of benefits; and (2) increases for contract support and travel to reflect inflation estimated at 3.0 percent in FY 1996.
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l EXPLANATION OF RESOURCE CHANGES FOR PROGRAM REOUIREMENTS c
The resource increase beginning in FY 1996 is primarily required to support additional contract costs for the annual audit of the agency's financial statement.
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i DESCRIPTION OF PROGRAM l
The NRCs Office of Inspector General (CiG) was established in April 1989 to provide the Commission and the Congress with an independent review and appraisal of NRCs programs and operations to ensure their effectiveness and efficiency and to prevent and detect fraud, i
waste, and abuse.
The OIG accomplishes its mission by performing audits, and investigations, and by revl ewing existing and proposed legislative and regulatory initiatives.
The NRC and the OIG eich have some unique responsibilities in support of the agency's 1
mission. The NRCs primary mission is to provide adequate assurance that public health and safety is protected in the commercial use of nuclear materials and in the operation of nuclear facilities. The OIG, therefore, plays a critical role by assessing and reporting on NRCs efforts to ensure that its safety-related programs are operating effectively.
j Similarly, the NRC is responsible for ensuring that individuals who identify nuclear safety i
concerns regarding the use of nuclear materials do not suffer adverse job actions resulting 4
l from such activities. The OIG continually assesses the NRC's efforts to combat this type of unlawful discrimination.
i The components within the OIG program are described below.
Audits The audit program is designed to provide assurance to the Commission and to Congress that NRC programs and operations are working efficiently and effectively. To do this, the OIG
]
l audit staff conducts performance and financial audits. Performance audits focus on NRCs i
administrative and program operations. OIG's financial audits review NRC's internal control systems, transaction processing, and financial systems.
]
During FY 1996-1997, the OIG will perform 15 to 20 audits each year. Three of these audits are required by statute or OMB. The remaining audits will focus on high-risk, high-cost agency programs that are examine,1 regularly in a multi-year cycle.
l 167 4
5 4
INSPECTOR GENERAL The audits planned for FY 1996-1997 are based on a comprehensive annual audit plan that includes input from the NRC Commission, Congress, GAO, OMB, DOE, and the nuclear industry, as well as from OIG staff. The plan identifies key, high-risk, high cost programs for audit, including NRC's inspection, research, waste management, and information resources management programs. Audit surveys of these areas identify issues that require further examination.
In the financial management area, the audit plan includes several audits needed to meet legislative and OMB requirements. These audits will address various financial management f
issues, including those mandated by the Chief Financial Officers Act. Furthermore, the NRC is required by the Omnibus Budget Reconciliation Act of-1990 to recover approximately 100 percent of its budget authority. In FY 1996, the NRC will collect approximately $525 million in fees from the industries that it regulates. Therefore, the agency must employ sound fm' ancial practices to comply fully with its legislative mandates.
The OIG assists the agency in meeting these objectives by conducting financial audits.
Additionally, during FY 1996-1997, the OIG will assess and report on NRC's response to recommendations made by OIG and other audit entities, such as GAO, concerning NRC programs.
Investi2ations The Inspector General Act of 1978 requires the OIG to receive and investigate allegations concerning violations of Federal laws and regulations, as well as allegations of mismanagement, waste, and danger to public health and safety. The mission-of the investigative program is to perform imestigative activities related to the integrity of NRC's programs and operations.
By nature, investigations are primarily reactive. However, OIG periodically performs root cause analyses and conducts other preventive initiatives. The investigative caseload is primarily determined by the number of allegations received and the complexity of the issues raised. On the basis of historical trends, the investigative workload has continually increased in complexity since the inception of the OIG in April 1989. The IG received 420 allegations in FY 1994; 93 investigations were opened and 89 were closed. OIG expects that a similar number of cases will be opened and closed during this planning period. In addition, investigators may also participate, on occasion, as observers in agency task forces that examine ways to strengthen agency operations.
168
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INSPECTOR GENERAL Inspector General and Resource Manacement and Operational Sunnart The Inspector General's staff consists of secretarial support and legal counsel. OIG Counsel -
provides independent advice on issues concerning criminal law, criminal procedure, evidence, and constitutional law as these relate to OIG's investigative program. Among the other legal responsibilities are appropriations law, tinancial management statutes and regulations, and procurement and funding ru'es in support of OlG's auditing program. OIG Counsel furnishes litigation support to the Department of Justice and others as necessary, and advises in matters concerning personnel, labor law, and Privacy Act and Freedom of Information Act issues. OIG Counsel also provides detailed review and comment for exi: ting and proposed legislation, regulations, directives, and policy issues that affect agency prog.ams and operations.
The Besource Management and Operational Support staff provides operational support to the OIG. It formulates and executes the OIG budget, prepares the OIG's semiannual report to the U.S. Congress, operates an independent personnel program, and serves as the liaison and point of contact for activities of the President's Council for Integrity and Efficiency.
This staff also provides automated data processing support, security management, space planning, and procurement support to the OIG.
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SPECIAL SUPPORTING TABLES l
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SPECIAL' SUPPORTING TABIEd i
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This section contains the following:
)
Legislative Program Projections which provides a wmmary of NRC's budget l
l authority and outlays by appropriation for FY 1('94-2000.
l i
A report on consulting services, required by 31 U.S.C.1114(a), which provides resource estimates and a description of the consulting services used by NRC_ in FY 1994 and planned for FY 1995-1996.
i A report on drug testing, required by 31 U.S.C.11'05(a), which describes NRC's drug -
i testing activities conducted in accordance with Executive Order 12564 i
A report on metrication, required by Public Law 100-418, which describes NRC's l
acticns that have been taken and those planned for FY 1995 to' implement the j
Metric Conversion Act of 1975, as amended, t
l A report by the Office of Inspector General on NRC's compliance with, and the j
effectiveness of, Public Law 101-121 on the use of appropriated funds to influence i
certain Federal contracting and financial transactions.
3
{
A summary of NRC's reimbursable work agreements including the source and amount of funding, a project description, a description of the billing procedures and the extent of full-cost recovery and a justification for NRC's involvement in each project.
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Soecial Supporting Tables LEGISLATIVE PROGRAM PROJECTIONS (Dollars are in millions)
FY 1994 FY 1995 FY 1996 FY 1997 FY 1998 FY 1999 FY 2000 l
ENACTED ESTIMATE ESTIMATE ESTIMATE ESTIMATE ESTIMATE ESTIMATE' NRC Appropriation:
Salaries and Expenses 2
j Budget Authority 530.2 520.5 520.3 504.3 494.0 483.5 473.0 Budget Outlays 541.1 522.6 520.4 508.3 496.6 486.1 475.6 l'
i NRC Appropriation:
l Inspector General I
,] _
Budget Authority 4.8 5.1 5.5 5.7 5.7 5.7 5.7 Budget Outlays 4.0 5.0 5.4 5.7 5.7 5.7 5.7 I
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t 174
l l
Special Supportine Tables U.S. NUCLEAR REGULATORY COMMISSION SCHEDULE OF CONSULTING SERVICES BY PROGRAM i
Salaries and Expenses, Account No.: 31X0200 Inspector General, Account No.: 31X0300 (Dollars in Thousands)
FY 1994 FY 1995 FY 1996 Type of Service / Program Actual Estimate Estimate Management and Professional Support Services:
Reactor Program
$45
$14
$16 Hanagement and Support Program
, 11 0
0 Subtotal
$56
$14
$16 Nuclear Regulatory Crnnission Salaries and Expenses Account TOTAL
$56
$14
$16 Nuclear Regulatory Comission Office of Inspector General Account
$0
$0
$0 Amounts included in the categories listed above for R&O activities:
$0
$0
$0 Reactor Program Consultant service' are used to provide technical expertise in: 1. developing cost / benefit s
information and identifying advantages and disadvantages associated with the implementation of risk-based regulations; 2. reviewing design criteria, design specifications, and design reports for mechanical components and piping systems primarily applicable to advanced light water reactors; and 3. analyzing financial qualifications of companies purchasing new reactors or new companies formed to operate power reactors to ensure that licensees' financial situations do not adversely affect the public health and safety.
Management and Support Program Contractual services were used in the development of a quality child care facility for use by NRC employees. Work on this project has been completed.
175 l
Special Sunnorting Tables FY 1996 CONGRESSIONAL BUDGET REQUEST REPORT ON NRC'S DRUG TESTING ACTIVITIES NRC's Drug Testing Plan was approved in August 1988 and all components of NRC's drug testing program for employees and applicants remain in place. Drug testing requirements imposed by NRC upon the nuclear industry through regulations are separate from this program and not covered by this report. NRC's Drug Testing Program under E.O.12564 includes random, applicant, voluntary, follow-up, reasonable suspicion and accident related drug testing. Testing was initiated for non-bargaining unit employees in November 1988 and for bargaining unit employees in December 1990 after an agreement was negotiated with the National Treasury Employees Union.
NRC positions which meet the following criteria are considered testing designated positions and the employees are subject to random testing:
(1)
Regional and Headquarters employees who have unescorted access to vital areas of nuclear plants and Category I fuel facilities; (2)
Employees who have assigned responsibilities or are on call for Regional or Headquarters incident response centers; (3)
Employees who require access to Sensitive Compartmented Information, Foreign Intelligence Information, or who require access to other classified information (e.g., National Security Information or Restricted Data); and (4)
Employees who are motor vehicle operators carrying passengers.
Approximately 1,738 NRC employees occupy testing designated positions and are subject to random testing. Potential selectees interviewed for positions in these categories are subject to applicant testing.
Approximately 960 tests of all types were conducted between January 1,1994 and December 31,1994. Since each employee subject to random testing has an equal chance of being selected each time, some NRC employees were randomly tested more than once.
All testing results have been negative except for one employee who tested positive. That employee is now undergoing assessment by the NRC's Drug Rehabilitation Assessment Coordinator. Another employee entered into the NRC voluntary referral (safe harbor) program in 1994 and is now undergoing follow-up testing. An employee who tested positive under random testing conducted in 1992 successfully completed follow-up testing in 1994 An employee who tested positive under random testing conducted in 1993 completed follow-up testing in 1994 and is now subject to random testing.
176 l
Special Suooortine Tables: Report on NRC's Drug Testing Activities Internal quality control reviews were completed during the past year to ensure NRC's program continues to be administered in a fair, confidential and effective manner.
NRC's Drug Testing Program remains firmly based upon the principles and guidance i
provided through E.O.1
'64, Public Law 100-71, Department of Health and Human Services guidelines and t 1 mission decisions.
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- Special Sunoortinn Tables U. S. NUCLEAR REGULATORY COMMISSION '
l REPORT TO CONGRESS ON METRICATION This report is in response to Public Law 100-418, Section 5164 of the Omnibus Trade and
)
Competitiveness Act of 1988, which requires each Federal Government agency to report to the Congress on its metrication activities for the preceding year and plans for the coming year. :
Specific' Nuclear Regulatory Commission (NRC) actions in FY 1994 included the following; In February 1994, the NRCs Metric Executive responded to the Survey of Metric Usage'in Agency Procurements from the Procurement and Supply Subcommittee of the Metrication -
Operating Committee. In April 1994,'the Commission responded to a letter from Senator Claiborne Pell and Congressman George E. Brown, Jr., requesting information on the NRCs metrication activities.
Further, the NRCs. Metrication Oversight Committee has been meeting to' assess the state.
. of metric use by the licensed nuclear industry in the United States to determine _whether modifications to the NRCs metrication policy should be recommended to the Commission.
In 1995, the NRC staff will recommend that the Commission publish in the Federal Register for comment information relating to the extent to which the NRC licensees are using metric units. Comments received will be used by the staff in determining its recommendation to
.i the Commission on whether to modify the NRCs metrication policy.
Through the above, the NRC will continue to achieve its metrication objectives for 1995.
178 i
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Special Supporting Tables
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UNITED STATES NUCLEAR REGULATORY COMMISSION i
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July 19, 1994 OFFICE OF THE INSPECTOR GENERAL MEMORANDUM FOR:
The Chairman Commissioner Rogers Commissioner de Planque Said c.kA841-FROM:
David C. Williams Inspector General
SUBJECT:
THE NUCLEAR REGULATORY COMMISSION'S COMPLIANCE WITH THE ANTI-LOBBYING ACT; SECTION 319 OF PUBLIC LAW 101-121.
In accordance with Public Law 101-121's requirement for an annual report to Congress, we submit our findings in regard to the U.S.
Nuclear Regulatory Commission's (NRC) compliance with the requirements of the Anti-Lobbying Act, and the effectiveness of those requirements.
In order to assess NRC's compliance with the Act, we reviewed 18 of the 56 fiscal year to date contract actions over $100,000 to determine if the required clause and certification were included, where applicable.
During our review, we found the agency was generally in compliance with the requirements of the Anti-Lobbying Act.
In our sample, we noted there was one instance where the required certification was not included.
In a previous review, this office recommended an item be added to i
the contract specialists'1 checklist to prompt the inclusion of the anti-lobbying clause and certification, where applicable.
This addition to the checklist has been made and in most instances is producing the desired result.
We found the checklist in the contract file which contained the error. The contract specialist had made use of the checklist, as evidenced
- Contract specialist is the title of the new position within DCPM for staff who were formerly either Contract Administrators or Contract Negotiators. They may now perform either or both functions.
179
Special Supportine Tables: OIG Report on Public Law 101-121. Anti-Lobbying Act by the checked off items on the list. 'However, the section containing the references to the anti-lobbying requirements had not been marked. The contract specialist attributed this to an oversight.
Additionally, the Act requires statistics on the followings o All alleged violations, during the year covered by this report, which relate to the following NRC actions:
1) the awarding of any Federal contract; 2) the making of any Federal grant; 3) the making of.any Federal loan; 4) the entering into of any cooperative agreement; 5) the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or.-
cooperative agreement.
o The actions taken by the Chairman, in the year covered by.
this report, with respect to those alleged violations and alleged violations in previous years.
o The amounts of civil penalties imposed by NRC.
~
There have been no alleged violations related to NRC's covered Federal Actions therefore, no action was required by the Chairman and no penalty was imposed by NRC.
This report is to be submitted with NRC's 1996 budget.
cc:
J. Taylor, EDO H. Thompson, EDO J. Milhoan, EDO S. Chilk, SECY K. Cyr, OGC D. Rathburn, OCA P. Norry, ADM R. Scroggins, OC J. Funches, ICC Financial Management Division, OMB 180
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Special Supporting Tables
SUMMARY
OF REIMBURSABLE WORK AGREEMENTS (new budget authority)
FY 1994 FY 1995 International Agreements Cooperative Threat Reduction
$897,470
$982,000 Foreign Cooperative Research Agreements 0
$10,300,000 Nuclear Safety Initiatives for the New
$5,500,000
$5,500,000 Independent States Philippine Witness Agreement
$4,000 0
Regional Energy Efficiency Project
$1,500,000
$1,500,000
. Administrative Aereements Criminal History Program O.
$1,240,000 CriminalInvestigator Academy
$13,110
$24,000 Information Access Authorization Program 0
$5,000 Material Access Authorization Program 0
$5,000 NRC Building Consolidation
$569,000 0
Other Agreements DOE Radiation Exposure Monitoring System
$200,000
$400,000 TOTAL
$8,683,580
$19,956,000 181
l Special Supportim! Tables l
SUMMARY
OF REIMBURSABLE WORK AGREEMENTS 1
i 1.
Cooperative Threat Reduction.
Source: Defense Nuclear Agency (DNA)
Description of Work: The NRC will assist Russia, Ukraine, and Kazakhstan in the development and implementation of nuclear regulatory capability as part of the U.S.
Cooperative Threat Reduction (CTR) Program. NRC will evaluate these countries Material Control and Accounting (MC&A) and Physical Protection (P/P) programs and assess needs for assistance in systems development, design, installation, implementation and follow-on user training.
Justification for NRC Involvement: Under the auspices of the CTR Program for former Soviet nuclear weapons and materials, the NRC and the Department of Energy have established bilateral technical assistance programs with these countries in the areas of MC&A and P/P. The objective of the U.S. assistance is to help these countries improve their capabilities to effectively safeguard nuclear facilities and materials. This project is being conducted under funds authorized by Congress in the Soviet Nuclear Threat Reduction Act of 1991 (Nunn Lugar) and successor legislation such as the Freedom Support Act of 1992.
Reimbursement Procedures: DNA issues an Interagency Cost Reimbursable Order (IACRO). The IACRO funds the NRC to perform efforts agreed to by the Interagency Coordinating Group. The IACRO is entered into pursuant to the authority of the Economy Act of 1932, as amended (31 USC 1535) and adheres to Federal Acquisition Regulation (FAR) 6.002 and other applicable Federal Laws and Regulations. Reimbursement Vouchers (SF 1080) are submitted to DNA.
2.
Foreign Cooperative Research Agreements (FCRA).
Source: Various foreign entities Description of Work: The NRC enters into nuclear safety cooperative research agreements with foreign entities under the NRC's Foreign Cooperative Nuclear Safety Research Program for the purpose of exchanging nuclear safety related information, conducting joint projects of mutual interest, and interacting with other 182
L Special Supportine Tables: Summary of Reimbursable Work Agreements organizations concerned with nuclear safety. The research programs subject to these cooperative research agreements are carried out as a part of the agency's nuclear regulatory responsibilities. The foreign entities participating in the Cooperative Nuclear Safety Research Program enter into cooperative research agreements that provide in-kind technical or financial contributions to the NRC.
Justification for NRC Involvement: These foreign contributions are provided to the NRC in return for access to information which has been developed and continues to arise from the NRC research programs before final publication and release to the -
l public domain. These contributions support broad safety research programs and l
also allow the foreign entity direct participation in the execution of the research i
program. Both parties benefit from the cooperative efforts. The NRC is authorized by its annual appropriation legislation to receive, retain, and use funds under the
' Cooperative Nuclear Safety Research Program for those activities associated with '
the program.
l Reimbursement Procedures: The foreign entity provides an advance of funds to the NRC using the Fedwire Deposit System (i.e., electronic funds transfer) or by check / money order.
l r
Nuclear Safety Initiatives for the New Independent States (NIS): Energy Emciency l
3.
l and Market Reform Project.
1 Source: U.S. Agency for International Development (AID)
Descriotion of Work:
The purpose of this AID initiative is to continue to implement nuclear safety initiatives in Russia and Ukraine. Activities under this agreement include: (1) analytical support activities; (2) development of a training center for regulatory personnel; (3) creation of an incident response center; (4) work in the technical area of probabilistic risk assessment; and (5) assistance in legal enforcement and development of draft regulatory legislation. Expected FY 1995 funding will also provide for assistance to Armenia and Kazakhstan.
4 i
Justification for NRC Involvement: The NRC is assisting AID in providing support to the NIS in the area of nuclear safety due to NRC's specialized expertise in the regulation of civilian uses of nuclear energy and materials.
183 i
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Snecial Supportine Tables: Summary of Reimbursable Work Agreements Reimbursement Procedures: AID provides budget authority in advance to the NRC for expenses for travel, contractor support, and administrative expenses (e.g.
interpreters). Salary costs for NRC employees working under this agreement are not reimbursed by AID.
4.
Philippine Witness Agreement.
Source: Philippine Government Description of Work: An NRC employee provided information needed during litigation held in the Philippines, based upon his prior work assignment with the International Atomic Energy Agency.
Justification for NRC Involvement: The NRC assisted the Philippine government due to our specialized expertise in this area.
Reimbursement Procedures: Attorneys representing the Philippine Government provided a check in advance of the work being performed.
5.
Regional Energy Emelency Project.
Source: U.S. Agency for International Development (AID)
Description of Work: The purpose of this AID initiative is to promote the efficient and environmentally sound use of energy in the countries of Eastern and Central Europe.
Technical (nuclear safety) subject areas include:
Temelin review, international code assessment, severe accident and risk and accident management, nuclear safety orientation and training which includes conducting legal, regulatory, and inspector training, hosting nuclear specialists, training at NRC's Technical Training Center in Chattanooga, Tennessee as well as supporting membership in the International Piping Integrity Research Group.
Justification for NRC Involvement: NRC is assisting AID in providing support to the countries of Eastern and Central Europe in the area of nuclear safety due to NRC's specialized expertise in the regulation of civilian uses of nuclear energy and materials.
184
Special Suonortine Tables: Summary of Reimbursable Work Acreements 1
Reimbursement Procedures: AID provides budget authority in advance to the NRC for expenses for travel, contractor support, and administrative expenses j
(e.g. interpreters). Salary costs for NRC employees working under this agreement are not reimbursed by AID.
f As costs are incurred by the NRC, a receivable is created in the NRC accounting system and bills are issued to AID h accordance with the terms of the agreement.
Upon collection of all costs incurred under the agreement and the deobligation of any uncosted obligations, any remaining unobligated allotment balance will be withdrawn by NRC.
2 6.
Criminal History Program (CHP).
Source: NRC licensees Description of Work: The NRC has entered into a written agreement with the FBI's Identification /Information Management Division to conduct non-criminal justice fingerprint card name checks for which the FBI provides responses for determining if criminal history records for applicants exist in FBI files and/or data bases.
i Justification for NRC Involvement:
The Atomic Energy Act (AEA) of 1954, as amended, provides NRC the authority to require each licensee or applicant for a license to operate utilization facilities to fingerprint each individual who is granted j
unescorted access to nuclear power facilities (NRC licensees) or access to safeguards information to undergo an FBI criminal history fingerprint check.
Reimbursement Procedures: Funds are received from the licensees for fingerprint checks. Payments are made to the FBI via the Department of Treasury's On Line Payment and Collection (OPAC) system.
Salary costs for NRC employee administering this program are not reimbursed by the licensees.
i 7.
Criminal Investigator Academy.
J Source: Department of State, Department of Housing and Urban Development 1
185
Special Supporting Tables: Summary of Reimbursable Work Agreements i
Descriotion of Work: Provide one clerical employee in support of the training i
objectives of the Inspector General Criminal Investigator Academy, Federal Law i
Enforcement Training Center.
j i
l Justification for NRC Involvement: Section 601 of the Economy Act of June 30,-
1992, as amended 31 U.S.C.1535 and 1536. Government Employees Training Act
[5 U.S.C., Sec. 4103(a)].
Reimbursement Procedures: Payments are made via the Department of Treasury's On-Line Payment and Collection (OPAC) system.
-l
- 8. -
Information Access Authorization Program (IAAP).
Source: NRC licensees Descriotion of Work:- Licensee personnel with access to classified national ' security information and restricted data are subject to personnel screening by the NRC and the Office of Personnel Management to ensure their eligibility for such 3: cess. This
)
screening is necessary to reduce the risk of misuse of such information.
j Justification for NRC Involvement: Title 10 of the Code of Federal Regulations, Part 25, issued under the authority of the Atomic Energy Act (AEA) to protect the public health and safety and provide for common defense and security.
Reimbursement Procedures: Funds are received from the licensees for background investigations. Payments are made to OPM via the Department of Treasury's On-Line Payment arJ Collection (OPAC) system. Salary casts for NRC employees
~
administering this program are not reimbursed by the licensees.
i 9.
Material Access Authorization Program (MAAP).
Source: NRC Licens s Description of Work: Licensee personnel with access to or control of any special nuclear material are subject to personnel screening by the NRC and the Office of Personnel Management (OPM) to ensure their eligibility for such access. Such screening is necessary to reclaim the risk of misuse of nuclear materials.
186
i Soecial Supporting Tables: Summary of Reimbursable Work Agreements Justification for NRC Involvement: Title 10, Code of Federal Regulations, Part 11,-
issued under the authority of the Atomic Energy Act (AEA) to protect the public health and safety and the common defense and security.
j Reimbursement Procedures: Funds are received from th'e licensees for background investigations. Payments are made to OPM via the Department of Treasury's On-3 Line Payment and Collection (OPAC) system. Salary costs for NRC employees administering this program are not' reimbursed by the licensees.
r 10.
NRC Building Consolidation.
i Source: General Services Administration i
t j
Description of Work: ' GSA transferred these funds to NRC to cover move costs associated with relocation of NRC's thousand plus employees from the six leased locations in the Bethesda/Rockville area to Two White Flint North,11555 Rockville
. Pike, Bethesda, Maryland, during the second and third quarter of FY 1994.
Justification for NRC Involvement: The funds provided allowed NRC to expedite j
the award of several moving contracts for office, computer and reproduction l
equipment, materials, and supplies. To achiave consolidation in a timely manner, l
NRC performed daily oversight, administration, and coordination of moving related i
services to accomplish the completion of NRC's headquarters consolidation.
Reimbursement Procedures: Funds were transferred to NRC per the reimbursable agreement of April 6,1994, between GSA and NRC. Payments were made to NRC l
via the Department of Treasury's On-Line Payment and Collection (OPAC) System.
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l Special Suppcrting Tables: Stimmary of Reimbursable Work Acreements 11.
Radiation Exposure Monitoring System.
Source: Department of Energy Description of Work: The purpose of this effort is to assist the DOE Office of Health Physics and Industrial Hygiene in (1) the development and implementation of health surveillance support systems that.will collect, maintain, and report -
radiation exposures; (2) the innovative application of lessons learned from related -
experiences; and (3) the sharing and transfer of technology currently used by the NRC to support DOE's programs.
l Justification for NRC Involvement: DOE has initiated work to enhance the support systems for health surveillance of DOE employees, DOE contractors, and visitors to DOE facilities. The first step in this effort was to evaluate their Radiation -
Exposure Monitoring System (REMS) that is used to collect, maintain, and report personnel radiation exposures. A contractor was selected to conduct this evaluation to take advantage of their research and lessons learned while developing, operating, and maintaining the NRC Radiation Exposure Information System, which has a similar function.
Reimbursement Procedures:
As costs are incurred by the NRC, a receivable is created in the NRC accounting system and bills are issued to the ordering agency in accordance with the terms of the agreement. Upon collection of all costs incurred under the agreement and the deobligation.of any uncosted obligations, any remaining unobligated allotment balance will be withdrawn by the NRC.
188 1
NRC PORM 335 U.S. NUCLEAR REGULATORY COMMIS$lON
- 1. REPOWT NUMBEW En*c's uo2, e'^n."TlClTf,"=%'#@ ""
m.22o2 BIBLIOGRAPHIC DATA SHEET (See ionstructiorn on the reverse)
- 2. TITLE AND SUBTITLE NUREG-1100 Volume 11 3.
DATE REPORT PUBLISHED Budget Estimates Fiscal Years 1996-1997 l
"oam vaAa February 1995
- 5. AUTHOR (S)
- 6. TYPE OF REPORT Congressional Ru ri o n t-Cit hmi cei nn
- 1. PE RJOD COV E R E D concluwwe ongest 10/1/95 - 9/30/97
- 8. P E R F O,,d m.e, e,*=>
RMING ORGANIZATION - N AM E AND ADDRESS (tr &#C. prove Divmion. Ortwe or Reston, u.S mucker Repuderory Commesdon, and metsma empeas;st sentractor. pmem ner.e e Division of Budget and Analysis Office of the Controller U.S. Nuclear Regulatory Commission Bashington, DC 20555-0001
- 9. SPONSORING ORGANt%AThoN - NAME AND AODR ESS Isf NRC, type '3eme ss ebove";I! contractor.proview knC Dwhen. 09tne ar neeka. U.A Nucker nerubatory Comm6suon.
and moiting ad*mi Division of Budget and Analysis Office of the Controller U.S. Nuclear Regulatory Commission l
Wr.shington, DC 20555-0001
- 10. SUPPLEMENTARY NOTES
- 11. ABST RACT (Joo were er nm>
This report contains the fiscal year budget justification to Congress. The budget l
provides estimates for salaries and expenses and for the Office of the Inspector General for fiscal years 1996 and 1997.
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13 AVAILAstu f f 51 AltMkNT Unlimited Budget
... secunav coAmocAnou Congressional Budget Submittal
,7.,,,,,e, l
Fiscal Year 1996 Unclassified l
Fiscal Year 1997
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- necon, l
Unclassified Ib. NUMBER OF PAGES
- 16. PRICE NRC FORM 33612491
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