ML20202J270

NRC Strategic Plan.Fiscal Year 1997 - Fiscal Year 2002

ML20202J270
Person / Time
Issue date:	10/31/1997
From:	NRC
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References
NUREG-1614, NUREG-1614-V01, NUREG-1614-V1, NUDOCS 9712110109
Download: ML20202J270 (39)

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$t!' U.S. Nuclear Regulatory Commission STRATEGIC PLAN Fiscal Year 1997 - Fiscal Year 2002

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AVAILABILITY NOTICE Availability of Reference Materials Cited in NRC Publications Most documents cited in NRC publications will te 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 dc :uments cited in NRC publications, 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-ments and correspondence.

The following documents in the NUREG series are available for purchase from the Govemment Printing Office: formal NRC staff and contractor reports, NRC sponsored conference pro-ceedings, intemational agreement reports, grantee reports, and NRC booklets and brochures.

Also available are regulatory guides, NRC regulations in the Code of Federal Regulations, and Nuclear Regulatory Commission issuances.

Documents available from the National Technical Information Service include NUREG seriss reports and technical reports prepared by other Federal agencies and reports prepared by the 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, joumal 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 conference proceedings are available for purchase from the organization sponsoring the publication cited.

Single copies ,f NRC draft reports are available free, to the extent of supply, upon written request to the Wite of Administration, Distribution and Mail Services Section, U.S. Nuctear Regulatory Commiolon, Washington DC 20555 0001.

Copies of industry codes and standards used in a substantive manner in the NRC regulatory process are maintaired 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 bc 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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NUREG-1614, Vel.1 U.S. Nuclear Regulatory Commission STRATEGIC PLAN Fiscal Year 1997 - Fiscal Year 2002 September 1997

PRINCIPLES OF GOOD REGULATION INDEPENDENT. Nothing but the highest possible standards of ethical performance and profes-sionalism should influence regulation. However, independence does not imply isolation. All avallable facts and opinions must be sought openly from licensees and other interested memo bers of the public. The many and possibly conflicting public interests involved must be consid-ered. Finat decisions must be based on objective, enblased assessments of all information, and must be documented with reasons explicitly stated.

OPEN. Nuclear regulation is the public's business, and it must be transacted publicly and candidly. The public must be informed about and have the opportunity to participate in the regulatory processes as required by law. Open channels of communication must be maintained l with Congress, other govemment agencies, licensees, and the public, as well as with the inter.

national nuclear community.

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

CLEAR. Regulations should be coherent, logical, and practical. There should be a clear nexus between regulations and agency goals and objectives whether explicitly or implicitly stated.

Agency positions should be readily understood and easily applied.

REL!ABLE. Regulations should be based on the best available knowledge from research and operational experience. Systems interactions, technological uncertainties, and the dive #sity of licensees and regulatory activities must all be taken into account so that risks are maintained at an acceptably low level. Once established, regulabon should be perceived to be reliable and not unjustifiably in a state of transition, Regulatory actions should always be fully consistent -

with written regulations and should be promptly, fairly, and decisively administered so as to lend stability to the nuclear operational and planning processes.

l V.S. Nuclear C:gulatory Commlulon l Table of Cetents 1

Table of Contents Page

[ Mew sgo From t he C h ai rman . . .. . . . . .. . . .. .. . . . . .. . .. . . . . . . .. . . .. ... . .. .. . ..... . . . .. . . .. .. .. .. .. . ... .... .. . . . .. . . ... . . ... . . . . . . 1 o u r M i ni o n .. .. . ... . . .. . . . . . . .. .. .. ... . . .. .. . . . . . . .. .... ...........................................................................2 ourvision..................................................................................................................................2 ouroomis...................................................................................................................................2 St ra t eg i c A r e n u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Nuclear Reactor Safety Prevent radiation-related deaths or illnesses due to civilian nuclear reactors.............. 4 Nuclear Materials Safety Prevent radiation-related deaths or illnesses due to civilian use of source, byproduct.

and spcclaI nuclear ma tetiaIs ........ ............ ...... ..... ......................... .......... ..................... 9 Nuclear Waste Safety Ensure treatment, storage, and disposal of wastes produced by civilian use of nuclear materialin ways that do not adversely affect this or future generations..................... 13 Common Defense and Security and International involvement Prevent the loss or theft of special nuclear matorials regulated by the NRC, and supporf U.S. nationalinterests in the safe use of nuclear materials and in non-proliferation.. 15 Protecting the Environment Protect the environment in connection with civilian use of source, byproduct, and special nuclear materials through the implementation of the Atomic Energy Act and the Na tional Environmental Policy Act ....................................................................... 18 Public Confidence Provide the public, those we regulate, and other stakeholders in the national and Intemational community, with clear and accurate information about, and a meaningful role in, NRC's regulatory program so that there will be respect for and confidence in tha t program .............. .................................. ............. ................... .. 20 Excellence Carry out the NRC regulatory program etficiently and etfectively .............................. 22 Appendlx..................................................................................................................................23 Links to other NRC Planning Documents ................................................................... 24 Responsiveness to Audit Reports and Investigative Findings ............... ................. 27 C r os s-C uttin g F u nction s . .... . .. . . . . . . . . .. .. . ... . . ... .. .. . . . . .. . . .. . . .. .. .. . . ... . ... . . . . .. .. ... ... . . .. .. ... .. . ... .. .. .. 28 Congressional and Stakeholder Consultations .......................................................... 31 U pdat i n g Th i s Pla n . . . . .. .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . .. . . . . . . . . . . . . 3 2 FY1997 2002 l' age I- Strategic l*lan i

i i

U.S Nwirar A'eg:latory Commlulon h!rnage irom the Chairma2 Message From the Chairman Like many organiza':ons, both public and private, the Nuclear Regulatory Commission (NRC) is l facing a rapidly changing environment as it prepares to enter the 21st contury, i

• Restructuring and economic deregulation of the electric utility industry are introducing new complexitles to the NRC regulatory environment.

Public interest in the safe operation of nuclear r,0wer plants and facilities, use of nuclear materials, and management of nuclear waste remains high.

Technology and other societal trends are changing the characteristics of the NRC workforce :.ad the way that the NRC does . work.

I All of these and many other changing conditions suggest that the NRC's future holds many challenges and opportunities, some already known to us, but others we cannot anticipate today.

To respond effectively to these challenges, we have established a clear strategic direction that will enable the NRC to carry out its mission and achieve the results expectori by its primary custol.iers, the collective Interests of the American public. The Commission believes that this mission must be the foundation for mt. king decisions about what activities the agency should perform. Thus, the Commission's programmatic decisions will not be fee driven but will be based on their contributions to public health and safety.

This strategic plan establishes a strategic framework that will guide future decision making and will help the NRC continue to meet its responsibility for protecting public health and safety, promoting the common defense and security, and protecting the environment. Meeting these responsibilities requires the collective efforts of the NRC and its licensee % since the regulatory oversight of licensees is the responsibility of the NRC and the safe and secure use of nuclear materials for civilian purposes is the responsibility of NRC licensees, Finally, the development and implementation of the strategic plan will meet the requirements of the Government Perfor-mance and Results Act, h-Ay N Shirley Ann Jackson Chairman U.S. Nuclear Regulatory Commission

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FY loo?.2002 l' age I Strategk I' tan

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i Mblon,11 slo::, Goals U.S. Nutlear lletzlatory Ccmmission Our Mission The Atomic Energy Act of 1954, as amended, and the Energy Reorganization A:t of 1974, as amended, establish NRC's basic regulatory mission.

NRC's mission is to regulate the Nation's civilian use of byproduct, sourcs, and special nuclear materials to ensure adequate protection of the public health and safety, to promote the common defense and security, and to protect the environment.

Our Vision In implementation of its mission, Nuclear Regulatory Commission actions enable the Nation to safely and officiently use nuclear materials. NRC's actions should be such that the public, those it regulates, and other stakeholders in the national and intemational nuclear community have the utmost respect fo'and confidence in the NRC.

Our Goals The NRC has developed general goals consistent with its mission. These goals are supported by performance goals that represent outcomes that are planned to be achieved over the period covered by this strategic plan (FY 1997 FY 2002). The safe and secure use of nuclear materi-als for civilian purposes is the responsibility of NRC licensees, and the regulatory oversight of licensees is the responsibility of the 'JRC. Thus, to achieve these goals requires the collective efforts of the NRC and its licensees.

The NRC will conduct an efficient regulatory program which allows the Nation to safely use nuclear materials for civilian purposes by working to achieve the following general goals:

Prevent radiation-related deaths or illnesses due to civilian nuclear reactors Prevent radiation related deaths orIIInesses due to civilian use of source, byproduct, andspecialnuclear materials Ensure treatment, storage, and disposal of wasies produced by civilian use of nuclear materialin ways that do not adversely affect this or future generations Prennt the loss or theft of special nuclear materials regulated by the NRC, and sup-port U.S. nationalinterests in the safe use of nuclear materials andin non-proliferation Protect the environment in connection with civilian use of source, byproduct, and specialnuclear materials through the implementation of the Atomic Energy Act and the National EnvironmentalPolicy Act Provide the public, those we regulate, and other stakeholders in the national and intemational community, with clear and accurate information about, and a meaningful role in, NRC's regulatoryprogram so that there will be respect for and confidence in thatprogram

'Cany out the NRC regulatory program etficiently and effectively Strategic Plan Page 2 IT1997-2002

U.S. Nuclear Regulatory Commission StrategicArenas Strategic Arenas We have organized our strategies for achieving our vision and general goals into seven strate-

< gic arenas:

Nuclear Reactor Safety

• NuclearMaterials Safety Nuclear Waste Safety Common Defense and Security and Intemational nvolvement Protecting the Environment Public Contidence ExceIIence For each arena that follows we provide a brief introduction, performance goals for measuring results toward meeting our general goals, major environmental factors, and strategies for ac-complishing our general goals. The performance goals are the annual outcomes in support of the general goals and, as such, link the strategic plan to the FY 1999 performance plan. We will include these performance goals along with measures and targets and major program outputs in the perfomiance plan. We have not identified a need for any significant legislative changos to achieve the goals and strategies included in this strategic plan, and we anticipate no major unique resource requirements. However, as noted in certain substrategies related to reactor and non reactor decommissioning, the NRC is seeking lejlstation that would eliminato the overlap in standard-setting authority of the NRC and the Environmental Protection Agency (EPA) with regard to Atomic Energy Act sites and materials by recognizing the NRC's and Agreement States' standards in these areas. Our budget willidentify the specific resources we need to implement the strategic plan.

Most of the data that we plan to use to measure performance will come from the NRC's abnor. -

mal occurrences report that the agency provides to Congress on an annual basir, in FY 1998, we plan to identify any primary data systems that need improvement in order to provide any other information necessary to apply the agency's performance measures and otherwise imple-ment this strategic plan. Carefully examining our data systems in FY 1998 will help ensure that we can report accurate and reliable data in FY 1999, the first year of implementing the perfor-mance plan under the Government Performance and Results Act.

Effective management of the NRC's four core resources human, capital,information, and funds are critical to achieving the NRC's mission and goals. We have 1stablished performance indicators for these core resources in our performance plan.

FY1997 2002 Page3 Strattele Plan

kuclear R: actor Sgfety U.S. Nnch:r Reg & tory Commissio:t Nuclear Reactor Safety ,

GOAL: Prevent radiation-related deaths or lilnesses due to civillan nuclear reactors A major part of our mission is to ensure that our licensees design, construct, operate, and

-decommission civilian reactor facilities safely. The Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, provide the foundation for regulating the Nation's commercial nuclear power industry. The NRC regulates the 106 commercial nuclear power reactors that are licensed to operate and another 14 that are undergoing decom-missioning.' The safety of commercial nuclea power reactors is the responsibility of NRC licens-ees. The regulatory oversight of licensee safety is the responsibility of the NRC. Thus, safety performance reflects the collective results of the efforts of the NRC and the nuclear Industry.

Reactor safety encompasses all NRC efforts to ensure that civilian nuclear reactor facilities are operated in a manner that provides adequate protection of public health and safety. These efforts include reactor licensing, inspection, performance assessment, identification and resolu-tion of safety issues, reactor regulatory research, togulation development, independent assess-ment of reactor operational events and experience, investigations of alleged wrongdoing by licensees, applicants, contractors, or vendors. and imposition of enforcement sanctions for violations of NRC requirements.

Research provides the information, independent analytical tools and analyses, and some of the technical expertise for making timely regulatory judgments and anticipating problems of poten-tial safety significance. NRC's research includes both short and long-range components. The short range component, confirmatory research, delivers a well defined product on a predeter-mhed schedule to assist the NRC in making its safety decisions. The long range component, ai.ticipatory research, focuses on issuu of potential regulatory and safety significance.

The performance goals for measuring results toward meeting our nuclear reactor safety goal are:

• Zero civilian nuclear reactor accidents *

- Maintain low frequency of events which could lead to a severe accident 8 i

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$ These figures reflect the recent shutdown of Haddam Neck, Big Rock Point, and Maine Yankee l nuclear power plants.

l 8

• Nuclear reactor accidents"is as defined in the NRC Severe Accident Policy statement (50 FR 32138, August 8,1985), that is, those accidents in which substanilal damage is done to the reactor core, whether or not there are serious offsite consequences.

8 These are events that could result in a 1/1000 (108) or greater probability of occurrence of a severe accident.

Strategic l'la? l' age 4 ITI997 2002 L

U.S. Nucle:r Regulatory Commlulos Nuclear Reactor Sqfety

> Zero deaths due to radiation or radioactivity releases from civilian nuclear reactors 4 Zero significant radiation exposures due to civilian nuclear reactors' Major factors or assumptions affecting our nuclear reactor safety strategy are as follows:

Safety questions will continue to arise as the currently licensed reactors age and as operational events continue to occur.

Redructuring and reorganization within the electric utility industry and economic deregulation will cause increased economic pressure on the ownm and opGraters of power reactors, potentially impacting the economic and regulatory environment in which the utilities operate.

An application for a new nuclear power reactor or an early site permit is not expected to be submitted during the period covered by this plan.

• Some power reactor owners will continue to express interest in renewing their plants' licenses. A number of the operating reactors are expected to shut down prior to the expiration of their licenses over the period covered by this plan.

The avalbbility of nuclear energy related research skills and experimental facilities is expected to decline.

Licensees will continue to seek reduced burden and implement plant upgrades to improve economics.

Strategy We will assure that We will increase the involvement of licensees and

//censees discharge their others in our regulatory development process primary responslbility consistent with the provisions of the National Technology Transfer and Advancement Act of 1995.

for conductin9 We will encourage industry to develop codes, safe operations, standards, and guides that can be endorsed by the NRC and carried out by the industry.

We will communicate with licensees to facilitate a clear understanding of existing and emerging regulatory requirements.

We will regularly assess, objectively measure, and report on licensees' performance. We will use this information to identify adverse safety

• This measure addresses actual deaths due to acute radiation exposure.

• *Significant radiation exposures" are those exposures that meet the NRC criteria for reponing abnormal occurrences to the Congress.

FY1997 20W Page5 Strategic rian

Nuctrar Reactor Sqfity U.S N: clear Retzlatory Commissio2 trends and to identify early individual plants - -

declining performance. We willincrease oo a W. ton attention on those licensees with marginal penu.c ee, including halting operations if performance falls b@>w  :

an acceptable level, and distributing inspection resources based on licensee performance.

• We will make licensee performance and compliance with our requirements consequential by decreasing the inspection frequency for good performers and ,

assessing penalties to poor performers.

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- We will be alert to the changing environment in the electric utility industry and timely adjust our regulatory program to maintain safety.

We willinspect licensees' operations and activities to help ensure that licensees idantify and resolve safety issues before they affect safe plant operations. ,

We will review applications from licensees for '

amendments to their operating licenses to ensure that operational safety is not compromised.

We will maintain and exercise an incident response capability to ensure that licensees and the NRC are prepared to respond to radiological emergencies. 6 We willincrementally We will focus on those regulated activities that pose lmplement risk informed, . the greatest risk to the public, building on probabilistic and, where appropr/ ate, risk assessment concepts and other approaches for determining high and low risk activities, performance-based regulatory approaches

• Using risk insights together with deterministic for power reactors, analysis and performance history, we will establish objective parameters and criteria to monitor and  ;

assess performance.

We will assess our regulatory processes to determine which are amenable to a risk informed, performance-based or a risk informed, less prescriptive approach.

The scope and priority of our assessment of regulatory activities will be based on the cumulative impact on safety, stakeholder initiatives, and the effect on agency and licensee efficiency.

We will reflect a risk informed, performance-based approach in our inspection, licensing, and performance assessment activities, where appropriate.

Strategle Plan Page 6 1T1997 2002 L

II.S. Nuclear Reg:latory Commissio2 Nxclear Reactor 5: Jet; We willposition the NRC

• Wo will encourago applicants, vendors, and others to for // censing future inform the NRC at the earliest opportunity of planned futuro reactor activitics, reactors and renewing exIsling licenses.

• Upon their submission, wo will give priority to reviewing applications for licenso renewals, standard and advanced reactor designs, early site approva5, and now reactor licenses.

We willposit/on the NRC

• Wo will provide clear and stablo NRC guidance, for // censing activities including specific radiological critoria.'

associated with reactor

• We will assure thr,' licensees have adequate funds decommissioning, available for decer imissioning by establishing additional financial requirements.

• We will adjust our regulatory oversight of facilities undergoing decommissioning to be commencurate with the safety risk.

We willmaintain a

• We will pursue a reactor safety research program that research capsb/Oy to includes elements of both confirmatory and anticipatory provide timely and r soakh to meet current and projectod regulatory needs. Wo will focus the research on those areas in Independent technical which operating experience indicates potential bases for NRC problems and areas with the highest safety and regulatory decisions, regulatory significance.

• We will identify and maintain a core research cnpability. In doing so, we will evaluate technical attivities to determino those specific research skills that will be maintained by in house staff.

• We will consolidate our research activities at the best laboratories, universities, and commercial contractors.

• We will enter into cooperative research agreements with other countries, the Department of Energy, and the nuclear industry.

• We will use innovative procurement approaches, in addition to educational grants, to facilitate university participation in NRC's research.

• Separate from this strategic plan, NRC is seeking legislation that would eliminate the overlap in stan-dard setting authority of NRC and EPA with regard to Atomic Energy sites and materials by recognizing NRC's and Agreement States' standards in these areas.

FYJ997 2002 Page7 Strategic Plan 1

Nuctrar ReacIvrSqfers U.S. Ncticar Regclatory Commisstaa l I

We willimprove the

• We will develop performance indicators and measures measurement of that provide leading or concurrent indications of plant performance of nuclear perf rmance and that identify facilities that warrant increased NRC attention in a consistent manner.

powerplants to Identifyplants that

• We will develop improved methods of organizing and L warrant heightened displaying pedormance information in order to enhance NRC attenflon. the assessment of plant performance and communicate the basis for NRC decisions to the industry and the public.

• We will deterraine objective criteria and thresholds for determining NRC action levels and categorization of facilities.

Strategic Plan Page8 F1*I997 2002

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U.S. Mclear Itrg:latory Commissio2 N clear hlaterials Sqfety Nuclear Materials Safety GOAL: Prevent radiation-related deaths or illnesses due to civilian use of source, byproduct, and special nuclear materials The nuclear materials progmm encompasses over 20,000 specific and more than 100,000 generallicenses which are regulated by the NRC and the existing 30 Agreement States'. These materials range from very low risk smoke detectors to relatively high risk Irradiators. The Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, provide the foundation for regulating the Nation's civilian uses of nuclear materials.

Nuclear materials safety encompasses all NRC efforts to ensure that all NRC-regulated aspects of nuclear fuel cycle facilities and nuclear materials activities are handled in a manner that '

provides adequate protection of public health and safety. These efforts include licensing, inspection, and related regulatory activities for fuel cycle facilitiss and nuclear materials users, transportation of nuclear materials, and uranium recovery.

In June 1997, the Secretary of the Department of Energy (DOE) and the Chairman on behalf of the Commission agreed to pursue NRC regulation of DOE nuclear facilities on a pilot program basis. The NRC and DOE believe that a pilot program of simulated regulation,in which regula-tory concepts are tested, should be conducted befoia seeking legislation to transfer regulatory responsibility to the NRC. A pilot program to conduct simulated regulation at three facilities is planned in FY 1998, and in FY 1999, additional pilot sites /faciltiies of a different nature will be added to this program. We expect the pilot project to provide informaron, including cost infor-mation, which will prove useful to Congress in its consideration of legislation for NRC oversight of DOE facilities. If such legislation is enacted,it could require changes to our strategies and resource needs.

The nationwide performance goals for measuring results toward meeting our nuclear materials safety goal are:

• Zero radiation-related deaths due to civilian use of source, byproduct, and special nuclear materials'

• No increase in the number of significant radiation exposures due to loss or use of source, byproduct, and special nuclear materials *

• An Agreement State is a State that has signed an agreement with the NRC pursuant to Section 274 of the Atomic Energy Act allowing the State to regulate the use of radioactive material, other than use in reactor facilities, within the State. Ohio, Pennsylvania and Oklahoma have expressed interest in becom-ing Agreement States, which could bring tne total to 33 in the period coverrd by this plan.

' This measure addresses actual deaths due to acute radiation exposure.

• *Significant radiation exposures" are those exposures that meet the NRC criteria for reponing abnormal occurrences to the Congress. No increase refers to the average number of significant expo-sures that meet the abnormal occurrence criteria per year for the preceding five year period.

FY1997 2002 Page 9 Strategic Plan

Nuclear Materials safety U.S, Nucle:r Regxlatory Csmmission No increase in the number of losses of licensed material as reported to Congress annually'

- No accidental criticality involving licensed material

> No increcse in the number of misadministration events which cause significant rwdiation exposures" Major factors'or assumptions affecting our nuclear materials safety strategy are as follows:

• The proportion of nuclear materials licensees regulated by the Agreement States willlikely increase, e Agreement States wW continue to pursue a more active role in the regulatory process, o Controversy will continue over how nuclear materials should be regulated and the roles of Federal and State agencies.

• Uncertainty exists with respect to th extent of NRC's future role in regulating Depart-ment of Energy (DOE) facilities.

Strategy We willassure that

• We will increase the involvement of licensees and licensees discharge their others in our regulatory development process consistent with the provisions of the National primary responsibility for Technology Transfer and Advancement Act of 1995.

using mrterials safely. We will encourage industry to develop codes, standards, and guides that can be endorsed by the NRC and carried out by the industry.

• We will communicate wh licensees to facilitate a clear understanding of existing and emerging regulatory requirements.

• We will regularly measure the level of safety performance exhibited by material licensees and share this information with them.

• " Lost. 3 of licensed materiar are those losses that meet the NRC criteria for reporting abnormal occurrences to the Congress. No increase refers to the average number of losses of licensed material that meet the abnormal occurrence criter'a . per year for the preceding (Ne-year period.

• Misadministration events

• Include events that cause radiation exposures at or above the level for reporting abnormal occurruaces to the Congress No increase refers to the average number of misadministration events that meet the abnormal occurrence criteria per year for the preceding five-year period.

Strategic Plan Page 10 FYi997-2002

U.S. N:cle:r Regulatory Commissic: Nuclear Miterials Sqftty

• We w"! make licer'see performance and compliance with requirements consecurntial by decreasing the inspection frequency fa, n 1d performers and assessing penalties tc S.c 'erformers.

• We will license and inspect facilities and material users to hnip ensure that they operate and decommission safely and develop safe products.

We will regulate material

• We will use risk analysis concepts and other uses cons / stent with the approaches to determine the relative risks of the regulated activities in the nuclear materials area.

level of riskinvolved by decreasing oversight of

• We will assess our regulations and processes to those materials thatpose icentify those that are now or can be made risk-the lowest radiological informed, performance-based or risk-informed, less risk to the public and prescnptive.

continuing emphasis on

• We w 11 roongineer our licensing processes, tailoring high r/sk activities. them to reflect the relative hazards of licensed activities.

• We will inspect specific licensees at varying frequencies and with varying techniques, depending on the magnitude and relative risk of the licensed material and licensee performance.

We will work with the

• We will provide for eariv and substantive involvement Agreement States to of the Agreement States .: rulemaking and regulatory assure cons / stent processes, including consideration of risk-informed, performance-based regulation or a nsk informed, less protection of public prescriptive approach.

health and safety nationwide.

• We will review the adequacy and compat;bility of each Agreement State's radiation control program and discuss the results of this performance review with the Agreement States.

• We will continue to respond to requests from individual States that express an interest in pursuing Agreement State status and work with each State to achi3ve this goal; we will also encourage retention of existing Agreement States primarily through non-monetary incentives.

We willposition the NRC to

• We wil: identify and resolve significant legal, perform regulatory procedural, and technical issues before accepting versight responsibilities of DOE nuclear facilities.

oversight fu certain DOE nuclear facilit/es.

• We will request that funding for oversight cf DOE facilities not be included as part of the NRC fee base currently paid by non DOE licensees.

F"997 2002 Page!I Strategic 1%n

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Nucler.r Murrials Sqfety U.S. Naclest Regulatory Commission t

e We will pursue a materials safety research program that We willmaintain a

= research capability includes elements of both confirmatory and anticipatory -

research to meet current and projected regulatory

.to provide timely and' needs. We will focus the research on those areas in

- independent technical-which experience indicates potential problems and bases for NRC regulatory  : areas with the highest safety and regulatory significance.

decisions.

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I Strategic Plan Page 12 FY1997 2002

U.S. NucIxt Reg:latory Csmmissio2 Nuclexr Waste Sqfety Nuclear Waste Safety 4

GOAL: Ensure treatment, storage, and disposal of wastes produced by civilian use of nuclear materiai in ways that do not adversely affect this or future generations Nuclear waste is a byproduct of the use of radioactive n aterials. High-level radioactive waste results primarily from the fuel used by reactors to produce er orgy, Low level radioactive waste results from reactor operations, and from medical, academic, industrial, and other commercial uses, and generally contains relatively limited concentrations of radioactivity.

The NRC's high-level waste regulatory activities are mandated by the Nuclear Waste Policy Act of 1982, the Nuclear Waste Policy Amendments Act of 1987, and the Energy Policy Act of 1992.

The Nuclear Waste Policy Act specifies a detailed approach for the long-range undertaking of high-level waste disposal, with DOE having operational responsibility and the NRC having

regulatory responsibility. The Nuclear Waste Policy Amendments Act directs DOE to character-l ize only one candidate site, the Yucca Mountain site in the State of Nevada. Likewise, NRC's l activities are focused on Yucca Mountain.

The Low-Level Radioactive Waste Policy Act of 1980, amended in 1985, made States respon-sible for providing for the disposal of commercial low level waste generated within their borders.

The Act encouraged States to enter into compacts that would allow several States to dispose of waste at a regional disposal facility. Most of the States have entered into compacts, and sev-oral States are proceeding with plans to construct and operate as many as 12 new disposal facilities. However, to date, no new disposal facilities have been opened.

The performance goals for measuring results toward meeting our nuclear waste safety goal are:

> No significant accidental releases of radioactive material faom storage and transportation of high-level waste (including spent fuel) or low-level waste"

> Establish the regulatory framework for high-level waste disposal, consistent with current national policy, as required by law after the legislatively required standard is issuedi2

> No offsite release of radioactivity beyond regulatory limits from low-level waste disposal sites "Significant accidental releases of radioactive material" are those releases tt.at meet the NRC criteria for reporting abnormal occurrences to the Congress.

'2 The " regulatory framework"is 10 CFR Part 60. Conforming 10 CFR Part 60 to the legislatively required standard is the measure to meet this goal.

FY1997-2002 Page 13 Strategic Plan 1

i

' Nrclear Wate Sqfety U.S. Nucle:r Reg:latory Commission Major factors or assumptions affecting eur nuclear waste strategy are as follows:

• Permanent disposal of nuclear waste will continue to be a national goat; however, uncertainty exists about whether and how Congress will change the approach for reaching this goal.

• There will continue to be opposition to the disposal of nuclear waste, delaying progress in developing both high- and low level waste disposal facilities.

• Sites that are developed by States in response to legislative requirements to develop new low-level waste disposal sites will most likely be licensed by the Agreement States rather than by the NRC, Strategy We willadvise DOE and

• We will participate in the development of a practical prepare to license a and implementable high level waste radiation safety high-level waste standard. We willimplement the standard through site-spe , pert rman e-based regulation.-

repository at a pace t.onsistent with the

• We will focus on resolving the key technical issues that r ationalprograin, are most important to the performance of a high-level waste repository to provide early feedback to DOE on potentially significant site, design, or assessment

- flaws as they are identified during the site suitability study, and prior to DOE's viability assessment of Yucca Mountain. 1

• .We will maintain the regulatory framework and the capability necessary to regulate transportation and storage of spent fuel, We willperform :

• We will maintain core technical disciplines needed to legislatively required - assess low-level waste disposal issues, in part, by low-level waste relying on technical skills in other programs, activities.

• We will provide guidance and assistance to Agreement States about licensing a low-level waste facility.

Strategic Plan Page 14 FYl997-2002

r U.S. Nnle r Regdatory Comssission Common Defense and Security a:d internationalI' nvolvement l

Common Defense and Security and International involvement

! i

. GOAL: Prevent the loss or theft of special nuclear materials regulated by the i NRC, and support U.S. national interests in the safe use of nuclear '

materials and in non-proliferation The NRC performs international activities, some ci which support the agency's domestic mis-

. sion and many of which support broader U.S. nationalinterests. These activities include inter-

national policy and priority formulation, export import licensing for nuclear materials and equipment, treaty implementation, intemational information exchange activities, and intoma; ,

i tional safety and safeguards assistance. Our domestic safeguards responsibility involves the

control of and accounting for nuclear materials, the protection of nuclear materials to prevent theft or diversion, and contingency plans for responding to threatening situations. The primary i foundation for these activities include the Atomic Energy Act of 1954, as amended, the Energy

! Reorganization Act of 1974, as amended, the Nuclear Non Proliferation Act of 1978, executive

orders, and treaties and conventionn.

, The performance goals for measuring results toward meeting our common defense and security and international involvernent goal are:

- > Zero loss or theft of special nuclear materials regulated by the NRC"

-- No substantiated case of attempted theft or diversion of formula quantities

• of

[ strategic special nuclear material i .

! - No substantiated breakdown of physical security or material control (i.e., access control, containment, or accountability systems) that significantly weakened the protection against theft or diversion of formula quantities

• of strategic P',iecial -

! n

. uclear material l > Strengthen international nuclear safety and safeguards by participating.

In internationel safety and safeguards exchange activities, by providing i assistance through international agreements, and by supporting U.S.

non-proliferation interests -

! A major factor or assumption affecting our common defense and security strategy is:

• Increased energy needs and their attendant planning for growth in nuclear power

abroad are expected to lead to increased requests for assistance from the NRC, particularly from the Pacific Rim countries that are embarking on, or considoring, new or expanded nuclear power programs.

h

" A " loss or theft"is that which meets the NRC criteria for reporting abnormal occurrences to

.' the Congress.

~

• Formula quantities of special nuclear material are defined in 10 CFR Part 73.

4 FY1997 2002 Page 15 Strategic Plan l

Common Deft:se and S:curity gnd I:ter ationallxvolveme:I: U.S. N:cle:r Regulatory Ccmmission Strategy We willprovide

• We will seek and maintain a more active and leadership to strengthen comprehensively larger role for the NRC in nuclear safety and international nuclear regulatory policy formulation and safeguards worldwide' in developing approaches for the safe and secure use of nuclear material for peaceful purposes.

• We will provide a wide but carefully selected range of safety and safeguards assistance to regulatory bodies

'in countries establishing or seeking to improve their regulatory programs.

• We will participate in intemational exchange activities of benefit to our domestic responsibilities or U.S.

nationalinterests.

• We will support international programs and research that have beneficial impacts on nuclear reactor and nuclear materials safety.

• We will conduct a comprehensive review and develop criteria that will address the basis for prioritizing and sunsetting NRC's international activuies. In doing so, we will consider the international activities and capabilities of other organizations (e.g., DOE, International Atomic Energy Agency, Nuclear Energy Agency, and World Association of Nuclear Operators) and will not undertake tasks that are better funded by, or better performed by, entities other than the NRC.

mammmma We willassure that

• We will inspect and complete license reviews to licensees control, ensure that licensees prevent the theft or diversion account for, and protect *' ***'* ' * '

nuclear materials from

• We will require that licensees be prepared to respond being misplaced, to threatening situations involving theft or sabotage of nuclear materials.

• We will strengthen domestic and international programs to ensure no improper control or disposal of radioactive material.

Strategic Plan Page 16 FYl997-2002

U.S. N:: clear Regklatory Commission Common Defexse end Security and Inter:aticullarohement We willassist in curbing _

• We willlicense the export and import of nuclear the proliferation of the materials to ensure that U.S. non proliferation interests are protected as contemplated by the Nuclear capability to Produce-_ Nonproliferat,on i Act.

nuclear explosives.

• _We will support international safeguards and physical security by working to strengthen the International Atomic Energy Agency's safeguards systems and participating in bilateral exchanges on physical security approaches and practices.

Fl'i997 2002 Page 17 Strategic Plan

_ . ._. _ . _ . . _ _ _ _ _ _ . .___.-___-._m ~ . __ - __

Protecti:g the Endrswe t - U.S. Nxclear Regxlatory Commisslos g_ Protecting the Environment;

, GOAL: Protect the environment in connection with civilian use of source, _

byproduct, and special nuclear materials through the implementation of the Atomic Energy Act and the National Environmental Policy Act

} The NRC recognizes a continuing obligation to conduct its civilian licensing and related regula-tory functions in a manner that is both responsive to environmental concerns and consistent

, with the Commission's responsibility as an independent regulatory agency for protecting the -

i radiological health and safety _of the public, The Atomic Energy Act of 1954, as amended, and the National Environmental Policy Act and other environmental legislation provide the statutory

authority for the NRC's activities in protecting the environment.

^

Protection of the environment from potential hazards associated with the civilian use c' source, i _ byproduct, and special nuclear materials involves actions to mitigate environmental impacts both during licensed activities and afterward. Prior to euthorizing licensed activities, the NRC ensures that potential environmentalimpacts of such activities are assessed consistent with the

, - requirements of the National Environmental Policy Act (NEPA) as implemented by applicable 4

N_RC regulations. Under NRC regulations, decommissioning involves safely removing a facility from service and reducing residual radioactivity to a level that generally permits the property to

' be released for unrestricted use. This action is taken by a licensee before termination of the license. In some cases, nonlicensed facilities may also be required to reduce or stabilize con-tamination before sites are released. (

' The performance goals for measuring results toward meeting our environmental protection goal are:

-> - Zero offsite releases from operating facilities of radioactive material that'have :

- the potential to cause adverse impact on the environment" x

2 No increase in the number of offsite releases from operating facilities of radioactive material that exceed 10 CFR Part 20 limits

> - Environmental Impacts have been identified through the NEPA process before -

regulatory action is taken

> No sites will te released until satisfactorily remediated in accordance with NRC release criteria -

A major factor or assumption affecting our strategy for protecting the environment is as follows:

• Changes in Federal environmental laws may occur.

Releases of radioactive material that cause " adverse impact" are those that exceed 10 CFR Part 20 limits for reporting release to NRC immediately or within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> of discovery as provided under 10 CFR 20.2202.

Strategic Plan . Page 18 FY1997-2002

- .- -. -. - . . - - . . ~ - . . . . - . . . . .

U.S. Nicle:r Regulatiry Commission Protecting the Enviro: meet Strategy We will/mprove the

• We will provide clear and stable NRC guidance, .

process by which licensees including specific radiological criteria, for successfully complete = decommissioning sites.*

decommissioning of non-

• We will assure that licensees have adequate funds reactor sites, available for decommissioning and maintaining

- financial requirements.

• We will revise our decommissioning review piocess to be more performance oriented and more efficient. ,

• We will strengthen litigation and enforcement to make compliance with decommissioning regulations more.

consequential

• As a last resort, we will transfer to the EPA those sites where NRC remedies are not working and when EPA agrees that the remedies EPA can bring to bear will have a higher probability of success for achieving cleanup.

We will assure that - * - During initial licensing and any other major NRC action

- licensees protect the . that could significantly affect the quality of the environ-ment, we will consider the environmental effects and environment during alternatives associated with such major NRC actions.

operations.

• We will inspect to ensure that licensees identify and mitigate potential adverse impacts on the environment from their operations as required by the NRC.

• Separate from this strategic plan, NRC is seeking legislation that would eliminate the overlap in stan-dard-setting authority of NRC and EPA with regard to Atomic Energy Act sites and materials by recogniz-ing NRC's and Agreement States' standards in these areas.

FY1997 2002 Page 19 Strategic Plan

Pubile Confidence U.S. Nucle:r Regulatory Cornmissio2 Public Confidence-GOAL: Provide the public, those we regulate, and other stakeholders in the ,

national and international community, with clear and accurate informa-tion about, and a meaningful role in, NRC's regulatory program so that the's vill be respect for and confidence in that program Building and maintaining public trust is critical to carrying out our mission and achieving our vision. To be an effective steward for nuclear safety, our actions must be such that the public, those we regulate, and other stakeholders in the national and international community have respect for and confidence in the NRC.

The performance goal for measuring results toward meeting our public confidence goalis:

> Implement the agency's plan to improve how it informs and involves the public, those we regulate, and other stakeholders in NRC's regulatory program Major factors or assumptions affecting our public confidence strategy are as fc .ows:

• Skepticism and mistrust will continue to be an element of the public's attention directed toward the use of nuclear materials.

• - The public's confidence in the safe use of nuclear materials will be affected by how well the NRC does its job.

• The public's assessment of the NRC's performance will continue to be closely tied to the performance of the regulated industry,

• Economic deregulation and restructuring of the electric utility industry and changes in NRC's regulatory strategies probably will raise new questions about the effectiveness and credibility of NRC's regulatory oversight programs.

Strategy We will objectively

• We will establish and clearly communicate our annual demonstrate that NRC's performance goals and measures.

efforts are enabling the

• We will measure and report the performance of both Nation to use nuclear the NRC and its licensees and share this performance materials safely. Information in a fair and focused way with interested stakeholders.

Strategic Plan Page20 FYl997-2002

U.S. Nucle:r Regulatory Commission Public Confidence We willidentify regulatory

• For each of the various types of issues, we will deelslons orissues that develop a specific approach for responding to public are Ilkely to generate interests and concerns, ensuring that our approaches substantialpublic to public interaction employ open processes that provido opportunities for meaningful participation, interest or concern at candid communication, and exchange of views among an early stage, and the participants, employ appropriate methods to inform and We will ensure that the approaches developed are Involve the pubIlc. consistently practiced agency-widc. by using centralized planning and coordination, and decentralized implementation, primarily by the program offices and regions.

We will obtain feedback from the public to improve our public information dissemination and interaction programs.

We will periodically reexamine our responsiveness to allegations and petitions from the public to ensure that timely and technically adequate information is clearly and understandably communicated to the parties and that regulatory action is taken if warranted, consistent with the risk significance of the issues.

L We willreexamine existing

• We will capitalize on information technology for modes and explore new improving information access, information distribution, modes of communication and public interaction, being careful not to eliminate paper in favor of electronic communicat,on i without full to make Informatlon consideration of the public's ability to access dissemination andpublic information electronically.

Interaction more effective and efficient. We will identify areas in which informal communication can be used. We will use these informal communication processes where they can help to enhance the quality and efficiency of our interaction with the public.

FYl997-2002 Page 21 Strategic Plan

c - -- __ ---_-____---_-_______ __-_ _ - _ __

- Fxc:llence U.S, N::cle:r Regulatory Commission Excellem:e.

GOAL: Carry out the NRC regulatory program efficiently and effectively Striving for regulatory excellence in all NRC functions is both desirable and necessary to maintain an effective and efficient regulatory framework in today's changing environment. The NRC can

= improve its intemal performance by ensuring that its people and processes function with a goal of excellence. As used in this context excellence includes both regulatory effectiveness and effi-ciency, and applies to all NRC functions. 9egulatory effectiveness denotes a regulatory frame-work for ensuring public health and safety that is clear, coherent, logical, consistent, reliable and -

technically sound. Efficiency connotes a regulatory framework that is cost effective for both the NRC and its licensees. As stated in the NRC's " Principles of Good Regulation," the American taxpayer, the rate-paying consumer, and licensees are all entitled to the best possible manage; ment and administration of regulatory activities. Where several effective alternatives are available, the option that minimizes the use of resources should be adopted. 4 The performance goals for measuring results toward meeting our excellence goal are:

>_ Implement the agency's plan for regulatory excellence -

> Evaluate and implement neede6 improvements for five major NRC processes by July 1,1999 A major factor or assuption affecting our strategy to achieve our goal of excellence is as follows:

• The Administration, the Congress, and the public will continue to expect cost-effective programs throughout the Government.

Strategy We willmake regulatory

• We will proactively examine our programs and per-excellence the corner. formance in order to improve the way we do our work stone for all of our through a comprehensive, systematic, agency-wide appr a n to program assessment and improvement.

strategies and activities, We will implement changes to improve the effectiveness and efficiency of our regulatory pro-grams and our management and support activities.

• We will make our improvements in a continuous, systematic, and open manner with the support and input of our internal and external stakeholders.

• We will provide training and development to our staff to enable us to achieve excellence in our organizational andindividualper mance.

• We will eliminate unnecessary regulatory requirements and policy statements, and streamline our processes, including using information technology to help improve efficiency.

Strategic Plan Page 22 FYi997-2002

APPENDIX L

y u ' '

- . . . ~ _ .- - .-- -- .. ._ -

Appendir links to otherNRC Plaants Documents U.S. Nuclear Regulatory Commissioa l

-l Links to Other NRC Planning Documents

. Key documents that are_ linked to and complement this strategic plan are: Commission deci-sions on Direction Setting Issue papers, annual performance plans, annual budget requests to l the Office of Management and Budget (OMB) and the Congress, NRC's information resource management plan, and program evaluations.

Commission Derisions on Direction Setting issue Papers The NRC's Strategic Plan is a product of a broader strategic assessment and rebaselining initiative. "The first two phases of that four phase initiative resulted in the creation of a series of Directior, Setting issue papers. These issue papers and the associated Commission decisions form the foundation for this strategic plan. The Commission decisions were made after obtain-ing stakeholder comments as part of Phase ll.

Annual Performance Plans The NRC's annual performance plans will be directly linked to the NRC's Strategic Plan. The general goals in this strategic plan set the framework for developing annual performance plans.

The performance plans will delineate objective, quantifiable, and measurable performance goals to be achieved in a given fiscal year in furtherance of the general goals contained in the strate-

! gic plan. Each annual performance plan will also include performance indicators to be used in measuring or assessing the relevant outputs, service levels, and outcomes related to the perfor-

- mance goals. We expect to measure our progress by using a combination of output and out-come performance goals.

l l> NRC support functions are not included in this strategic plan, but they are included in the NRC's

FY 1999 performance plan, which complements the strategic plan. Plans, goals, and perfor-i mance measures for key issues such as Year 2000 and the information security program are contained in the FY 1999 performance plan. Furthermore, the performance plan now includes a l

description of how the NRC intends to plan for and use information technology to support the agency's mission.

Performance Report Within six months after the close of each fiscal year, the NRC w;il submit to the President and the Congress a report on program performance for the fiscal year that has just closed. This performance report will review the success of the agency in achieving the performance goals established for the fiscal year being reported upon. Where those goals have been achieved, l the underlying assumptions and strategies will be examined to ensure that continued application t

- is warranted in the future. If any of the performance goals are not met, the agency will conduct a thorough analysis of why it did not meet the goal and the actions siecessary to meet the goal in the future. One result of this analysis will be the documentation of plans and schedules for achieving the established performance goal. If the analysis should indicate that the perfor-mance goal is impractical or infeasible, the pen'ormance report will document why that is the case and what action is recommended.

Strategic Plan Page 24 FY1997 2002

L Apperdix U.S. Nuclear Reg:latory Cornmission ikks to other NRC Pla:nixg l>ocxments f

Annual Budget Request to OMB and the Congress l

Each year, the NRC submits a budget request to OMB, which is part of the President's budget to the Congress. The budget will specify the programs, activities, milestones, and resources -

necessary to implement the strategic plan and the performance plan -

Program Evaluations -

The major program evaluation that supported the development of this strategic plan is the

- Strategic Assessment and Rebaselining Initiative.~ In Phase I of that initiative, the NRC as-sessed where the agency is today by examining current NRC functions and activities, including

~

their bases (e.g., statute, regulation, Commission guidance). After analyzing this information,-

the NRC identified Direction Setting issues (DSis) whose resolution will influence the strategic direction of the agency. In Phase ll, the NRC evaluated the DSis and developed and evaluated a range of options to address the DSIs. Thece evaluations resulted in a series of issue papers which were provided to our stakeholders for comment. The comments received were reviewed by the Commission in its review of the DSis and associated issue papers. The Commission decisions on the issue papers form the basis for this strategic plan.

In addition, the following key evaluations were considered in the development of this strategic plan.

NUREG CR-6330,"Results of Regulatory impact Survey of Industrial and Medical Nuclear Materials Licensees of the Office of NMSS," 1995i NUREG 1444, Supplement 1," Site Decommissioning Management Plan," 1995, containing a management review of SDMP.

NUREG 1551," Final Report of the NRC-Agreement Stue Working Group to Evaluate Control and Accountability of Licensed Devices," 1996.

.SECY 95-085," Recommendation on the Senior Management Meeting Process for the Continued Use of Trending Letters and for Plants That Remain on the Problem Plant List for an Extended Period," April 1995.

SECY-95-163, " Improvements to the Power Reactor inspection Program and Imple-mentation of the Integrated Performance Assessment Process," June 21,1995.

Millstone Lessons Learned Task Group Report, September 1996.

We will use the new NRC organization that was established in December 1996. Top manage-ment of the agency has been realigned based < a recognized need for increased program oversight and assessment of regulatory effectiveness. One of the features of the realignment is j the establishment of a Deputy Executive Director for Regulatory Effectiveness to provide a high-

' level program evaluation focal point, independent of the line organizations that have responsibil-ity for the day-to-day operation of regulatory programs. The grouping of offices for the regulatory effectiveness organization was designed to facilitate improvement of program evalua-tion. Regulatory effectiveness findings will focus emphasis on improving NRC's regulatory performance. To the extent practical, these evaluations will be performance-based, will involve an objective means of assessment, and will be risk-informed.

~ FY1997 2002 Page:S Strategic Plan

Appendix Unks t> 0ther NRC Pla:ning Doc ments U.S. Nuclear R:g:latory Commissio2 Communication of Goals and Objectives Throughout the Agency and Accountability for Results Goals and objectives will be communicated throughout the agency through a process in which each NRC office would develop a multi year operating plan with clear linkages to performance

. goals and measures. The organizations willlink the goals and performance measures for each organizational level to successive levels and ultimately to the organization's strategic goals.

With clear, hierarchically linked performance measures, managers and staff throughout the organization will have straightforward road maps showing how their daily activities contribute to attaining organization wide strategic goals and objectives.

Managers will be held accountable for achieving performance goals for those organizational units for which they are responsible. Program reviews will be an IrEral part of managing and planning. These ieviews would assess how well strategic plan and performance plan goals were met and whether program performance met management expectations regarding regula-tory excellence. Self assessments will play a critical role in the program performance review process, it is anticipated that pariodic self assessments will be conducted on every prog.am.

The scope of this assessment w ould vary considerably among programs and would be based on criteria associated with such ' actors as program size and responsibilities, interim perfor-mance, and the significance of 'aternal and external environmental changes. These areas of assessment reflect a focus on ihree attributes: (1) how well strategic plan, performance plan, and or ating plan goals wera met, (2) whether program performance met management expec-tations regarding regulatory e ccellence, and (3) how well-positioned the program is to meet the

- strategic and performance goals of the agency in the year to come. Where performance goals have been achieved, the designated program manager would be responaible for examining the underlying assumptions and strategies to ensure that continued application is warranted in the future. Where performance goals were not met, the program manager would be responsible for determining why they were not met and for formulating actions deemed necessary to meet the goals in the future.

Strategic Plan Page 26 FYl997 2002

-- - , _ -- - ~ .- . . -, . -_--. - -.

Appexdh

_U.S. Nulru Regulatory Commission Respo sive:rss to Audit Reports a:dluestigative Findi::gs 7 Responsiveness to Audit Reports and Investigative Findings i

The NRC has no high risk areas designated by the GAO as being particularly vulnerable to fraud, waste, abuse, and mismanagement. The strategies adopted in our strategic plan are aimed at correcting previously identified problems and findings in internal and external audit and investigative reports, such as the NRC Office of Inspector General (OlG) reports and the GAO .

reports, considering corrective actions that have already been taken or are underway. Fcr example, in response to a GAO audit report," Preventing Problem Plants Requires More Effec-tive NRC Action," we provided improvement initiatives that will enhance our plant performance measurement capability. These included: (1) clarification of the information in the Final Safety Analysis Report (FSAR), (2) clarification of project manager responsibilities and training require-ments, (3) initiation of a pilot program to manage licensee commitments, and (4) enhance-ments to the Senior Management Meeting process. These actions are consistent with our strategy to " improve the measurement of performance of nuclear power plants to identify plants that warrant heightened NRC attention." To implement this strategy, we are undertaking an initiative that will result in an integrated assessment of operating plant performance.

in addition, in response to events at the Millstone and Maine Yankee nuclear power plants, the NRC conducted several special inspections and lessons leamed reviews. While the inspections and reviews have formed the bases for a number of corrective actions that respond to OlG reviews of these facilities, they have also suggested 'm need for changes to certain agency rules and processes governing licensing bases information. Specifically, these include the rules that regulate plant and procedure changes that may be made by licensees without prior NRC approval, control of plant design bases information, and update of information contained in FSARs. These topics are interrelated and are being evaluated in an integrated way to ensure that an effective and efficient course of action is taken in addressing regulaiory changes.

J FyI997 2002 Page 27 Strategic Plan

Appendix _

Cross C:stL~g Fwtio:s U.S. Nuclerr Regulatory Commission Cross-Cutting Functions We consulted with other government agencies that have major cross-cutting goals and objec-tives with the NRC--the Department of Energy (DOE), the Environmental Protection Agency (EPA), and the Federal Emergency Management Agency (FEMA). We identified no inconsis-tent or duplicative areas in our respective strategic plans, but we are continuing to be alert to potentialinconsistencies or duplication in cross cutting areas. A description of the major cross-cutting functions with other agencies that we have identified to date is provided below. In most

- instances, we have, or we are developing, memoranda of understanding or other agreements with these agencies that ensure that cross-cutting functions are treated in a consistent, coordi-nated, and complementary way that avoids unnecessary duplication or conflict.

The NRC and DOE share msponsibility for high level waste (HLW) disposal. As specified in the l Nuclear Waste Policy Act of 1982, as amended (NWPA), DOE designs and builds the HLW repository and NRC licenses the construction and operation of the facility. Our strategy is to advise DOE and prepare to license a high-level waste repository at a pace consistent with the national program. The NRC and DOE have an agreement that outlines the procedures for staff consultation and exchange of information which the NRC staff and DOE and its designated contractors will observe in connection with the characterization of the geologic repository. This procedural agreement is currently being updated to incorporate changes to the HLW program

, since 1993.

The NRC also interacts with DOE on a number of activities associated with the transportation and storage of spent nuclear fuel and high level radioactive waste. The NRC and DOE have a procedural agreement regarding spent fuel and HLW transportation packaging.-

The NRC and DOE have a joint responsibility in carrying out the Uranium Mill Tailings Radiation Control Act (UMTRCA) Title I Program and in the long-term care of reclaimed uranium mill tailings sites. Although DOE has the responsibility for carrying out remedial action, the NRC must concur in DOE's selection and completion of the remedial action and must license the sites for long-term care. The NRC and DOE have a memorandum of understanding (MOU) )

minimize or eliminate ennecessary duplication of effort between the two agencies.

The NRC and EPA share responsibility for protection of public health and safety and the envi-ronment. EPA is responsible for developing general radiation standards, which are then re-flected in NRC regulations and other requirements. EPA regulations frequently limit radiological activities of NRC licensees and these requirements may be added to NRC regulations and implemented by the NRC. The NRC is seeking legislation that would eliminate the overiap in standard setting authority with regard to contaminated sites by recognizing NRC's and Agree-ment States' standards in this area. Generally, the EPA requirements are developed with interagency committees with NRC staff participation. There are numerous MOUs and interre-lated activities of the NRC and EPA which impact protection of the public health and safety.

NRC and EPA currently share responsibility for establishing and implementing site-specific HLW standards for a geologic repository under existing legislation. As specified in the Energy Policy Act of 1992 (EPA), EPA is tasked to develop a site specific HLW standard consistent with the recommendations of the National Academy of Sciences report on the Technical Bases for a Yucca Mountain Standard. NRC has one year to develop an implementing rule after issuance of the EPA standard. Both Houses are considering legislation that proposes to change this and provide primary responsibility and authority to the NRC.

4 Strategic Plan Page 28 FY1997 2002

U.S. N:cleu Regulatory Commissio' Cross Cutting i nct ons i

FEMA has lead responsibility for offsite nuclear power plant emergency planning and response.

FEMA also has the lead in assessing offsite emergency plans and preparedness for adequacy.

NRC is responsible for onsite radiological emergency preparedness and for review of FEMA findings and determinations as to whether offsite plans are adequate and can be implemented.

NRC also has the responsibility to make radiological health and safety decisions with regard to the overall state of emergency preparedness, such as assurance for continued operation and shutdown of operating reactors. Additionally, FEMA and the NRC share involvement in the National Dam Safety Program. The primary purpose of this program is to bring together the expertise and resources of the Federal and non-Federal communities to achieve national dam safety hazard reduction.

The NRC and the Federal Energy Regulatory Commission (FERC) have ongoing interaction regarding issues of mutual concem, such as: (1) FEPC actions with respect to economic deregulation of the electric utility industry and the potentialimpact of FERC's deregulation activities on the NRC's mandate to protect public health and safety; and (2) the respective roles of the NRC and FERC in evaluating antitrust and market power issues arising from NRC power reactor license applicants or licensees.

The NRC and the Department of Transportation (DOT) share responsibility for developing, establishing, and implementing consistent and comprehensive regulations and requirements for the safe transportation of radioactive and fissile materials, often through interagency commit-tees. Generally, the NRC works with DOT to develop regulations for transporting materials, and the NRC adopts DOT requirements into its regulations and implements these requirements.

The NRC and the Food and Drug Administration (FDA) have an MOU that oudines procedures for sharing information of mutual interest relating to the approval of medical devices incorporat.

ing byproduct materials, radiopharmaceuticals, and radioactively-labeled biologic materials. The NRC routinely relies on prior FDA approval of medical devices as an essential component of the NRC's sealed source and device safety evaluations. The MOU also establishes procedures for notification, sharing of information, and coordination of joint inspections of events related to design and manufacturing defects and failures of these devices or of radiopharmaceuticals.

The NRC shares responsibility with the Department of State (State), DOE, DOD and the Agency for International Development (AID) in providing nuclear safety and security assistance to other countries. State provides foreign policy guidance for U.S. govemment agencies in carrying out such assistance, while NRC contributes actively to the formulation of this guidance and clears its assistance programs with State to ensure they are within U.S. government policy and bud-getary guidelines. The NRC also shares responsibility with DOE for providing safety and secu-rity assistance internationally. The NRC and DOE coordinate their efforts with each other and with other countries m oding assistance to ensure they are complementary and to avoid dupli-cation and conflici. The NRC and DOE are developing an MOU to specify their roles and responsibilities in the intemational assistance area. DOD and AID provide some funding to NRC to carry out assistance orograms such as those for the Former Soviet Union and Central and Eastern Europe countries and coordinate on the programs developed by the NRC to utilize this fu "'jng. In addition, the National Security Council and the Office of the Vice President provide high-level policy guidance on key issues in the international assistance area and resolve questions that arise in providing such assistance.

The NRC, DOE, State, DOD, Arms Control Disarmament Agency (ACDA), and the Department of Commerce (DOC) have interrelated roles in controlling exports of nuclear and nuclear-related materials, equipment and technology. The NRC's primary role involves issuing export FY1997 2002 Page 29 Strategic Plan

Appendit l Cross Cutti g Functions U.S. Nuclear Regulttory Commhslo.,

-1 l

l I

licenses for nuclear materials and equipment, including reactors, Other agencies issue licenses  !

or authorizations in related areas, including the following: DOE for nuclear technology exports i

, and for retransfers or changes in form or content of previously exported nuclear materials and 4

equipment; State for munitions made with depleted uranium; and Commerce for nuclear reactor balance of-plant equipment and " dual use" commodities. Each agency is obliged to consult with the others (and ACDA and sometimes DOD) for significant cases.

Strategic Plan page 30 py;yyy,yggy

Appe: dix ll.5. Nuclear Reg:latory Ccmmission Cc:gressloralc dStakeholderCoxs::ltorions Congressional and Stakeholder Consultations Consistent with GPRA, we assessed the functions the NRC performs and the external and intemal factors that affect the NRC's mission. Through this strategic assessment and rebaselining initiative, policy issues were identified and evaluated in a series of issue papers which were considered by the Commission. These issue papers and the Commission's prelimi-nary views for responding to the issues were provided to our stakeholders for comment through a variety of communication mechanisms, including the Federal Register, the Internet, the NRC's Public Document Room, and an agency announcement to all NRC employees, r We conducted three 2 day stakeholder conferences to give the public an opportunity to meet _

, agency representatives and comment orally on the issue papers. An announcement of these conferences were sent to approximately 1,600 stakeholders, such as the nuclear industry, environmental groups, professional societies, citizen groups, and government associations.

4 Approximately 175 stakeholders representing a broad range of interests attended these meet-ings. Additionally, about 165 comment letters were received from stakeholders. The comments received from our stakeholders were considered by the Commission in its policy decisions which formed the bashs for the strategic plan. Although there was a wide variety of views on various aspects of the Commission's strategic assessment and some of those views did not agree with the Commission's preliminary views on Direction Setting Isstes, we have not identified any substantive and germane contrary views to the provisions of our plan.

On July 1,1997, we provided a consultation draft strategic plan to our Congressional oversight and appropriations subcommittees, the House Committee on Government Refomi and Over-

- sight, and the Senate Committee on Govemmental Affairs. Subsequently, we consulted with staff of our oversight and appropriations subcommittees and modified our strategic plan to reflect the retu!ts of these consultations.

Fy1997 2002 Page 31 Strategic Plan

' Appendir. . _

. Vpdatixg this Plan -

U.S. N::cirar Reguttery Commission 4

Updating This Plan This strategic plan establishes the framework that will guide future NRC decision-making. An updated and revised strategic plan is required by the Government Performance and Results Act every three years. Since this plan is a living document, we will review it annually and revise it as appropriatei The annual review will be conducted in the Fall under the purview of the NRC's Executive Council. The results of that review will be presented to the Commission along with any proposed changes to the goals, objectives, strategies, underlying assumptions, or other

, facets of the plan. Commission decisions regarding proposed changes to the strategic plan will-form the basis for the subsequent performance plan development and budget formulation cycle.-

Details of this process will be contained in NRC Management Directive 4,7 after the agency completes the first cycle of developing the strategic plan, the FY 1999 performance plan, and the FY 1999 budget.

Minor adjustments to this strategic plan will be made by including such changes in the agency's annual performance plan. Major policy or programmatic changes to the plan will be incorpo-

, rated by issuing a revised si.egic plan.

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4 Strategic Plan Page 32 FYI997-2002

THE NRC'S SAFETY PHILOSOPHY In the Atomic Energy Act of 1954, Congress authorized the civilian use of nuclear energy sub-ject to regulation by the Commission. The principal terms of this regulatory mandate - " protect health and safety,"" assure the common defense and security,"" minimize danger to life or property," and " provide adequate protection"-- are not defined in the Act, nor are they self-explanatory. Since 1954, therefore, the Commission has been engaged in a continuing process of interpreting and applying these terms in such a way as to give effect to the Congressional intent. This process has taken place with Congressional oversight as well as judicial review of specific NRC actions. The result has been the creation of a body of regulations, decisions, and practices through which the Commission's safety and safeguards philosophy is expressed. This philosophy comprises several closely interrelated elements: defenso in depth, licensee respon-sibility, safety culture, regulatory effectiveness, and accountability to the public.

DEFENSE IN DEPTH ensures that successive measures are incorporated into the design and operating procedures for nuclear installations to compensate for potential failures in protection or safety measures, wherever failures could lead to serious public health and safety or national security consequences. Protection and safety must be ensured by sound management and engineering, quality assurance, training and qualification of personnel, comprehensive assess-ments including the effect of human performance on safety and safeguards, a*ention to lessons learned from operating experience and research, and procedures for mitigating accidents and protecting the public should multiple system failures or malevolent activities nevertheless occur.

LICENSEE RESPONSIBILITY embodies the principle that, although the NRC is responsible for developing and enforcing tae standards governing the use of nuclear installations and materials, it is the licensee who bears the primary responsibility for conducting those activities safely. The NRC's role is not to monitor all licensee activities but to oversee and audit them. This allows the agency to focus its inspection, licensing, and other activities on those areas where the need, and the likely safety and safeguards benefit, is greatest.

SAFETY CULTURE recognizes each licensee's responsibility to establish and maintain a set of attitudes that ensure safety issues get the attention they warrant. A safety culture encourages a questioning and learning attitude toward protection and safety and discourages complacency. It reflects an understanding that safety and protection are permanently the highest priority; that problems must be identified and addressed promptly and appropriately; that individuals at all levels must know their responsibilities and have suitable training; and that, within the organiza-tion, effective communication on protection and safety must be ensured.

REGULATORY EFFECTIVENESS emphasizes the approach that, because safety is paramount in the Commission's regulatory program, certain standards and practices to ensure adequate protection will be required, whatever the cost. Over and above that baseline, additional safety upgrades will be required only if their benefits justify the added cost. In implementing its pro-gram, moreover, the NRC is conscious of the need to foster efficiency, so that a given levef of safety and safeguards can be achieved through the most cost-effective means. NRC's require-ments and regulatory approaches must reflect state of-the-art information, taking into account accumulated operating experience, technological developments, and progress in research.

ACCOUNTABILITY TO THE PUBLIC dictates that just as licensees are accountable to the NRC, so too is the NRC accountable to the American people and their elected representatives, the Congress. For the NRC, part of accountability entails being candid with the public about what it is doing and why, as well as acknowledging the public's interest in safety issues and its right to know. In addition, the NRC recognizes that the Atomic Energy Act ensures that the public has an important role to play as the agency addresses issues of safety and health. For members of the public to perform that role, they need sound, complete, and up-to-date informa-tion from NRC. A key element of the NRC's safety philosophy is that nuclear regulation is the public's business.

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