ML20203C293
| ML20203C293 | |
| Person / Time | |
|---|---|
| Issue date: | 02/28/1998 |
| From: | NRC OFFICE OF THE CONTROLLER |
| To: | |
| References | |
| NUREG-1100, NUREG-1100-V14, NUDOCS 9802250137 | |
| Download: ML20203C293 (176) | |
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H llUREG-1100 Volume-14 L
BUDGET i
ESTIMATES L
F SCAL YEAR F
L 1999 4
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II February 1998 L
U.S. Nuclear Regulatory Commission l
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y 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 Was' ington, 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 t
Referenced documents availab;e for inspection and copying for a fee from the NRC Public Document Room include NRC correspondence end Intemal NRC memoranda; NRC bulletins, circulars, information notices, inspection and investigation notices; licencee 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 pru-ceedings, international agreement reports, grantee reports, and NRC booklets and bro-
. chures. Also available are regulatory guides, NRC regulatlens in the Code of Federal Regula-tions, and Nuclear Regulatory Commission issuances.
Documents available from the Natirmal Technical Information Service include NUREG-series reports and technical reports prrpared 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 Perature items, such as books, journal articles, and transactions. Federal Register notices, c'ederal and State legislation, and congressional reports can usually be obtained frora these libraries.
Documents such as theses, dissertations, foreign reports and translations, and non-NRC con-ference proceedings are available for purchase from the organization sponsoring the publica-tion cited.
m Sir'gle copies of NRC draft reports are available free, to the extent of supply, upon written request to the Office of Administration, Distribution and Mall Services Section, U.S. Nuclear Regulatory Commission, Washington DC 20555-0001.
l Coples of industry codes and standards used in a substantive manner in the NRC regulatory l'
process are maintainod at the NRC Library, Two White Flint North.11545 Rockville Pike, Rock-ville, MD 20852-2738, for use by tne public. Codes and standards are usually copyrighted l
and may e purchased from the originating organization or, if they are American National L
Standards, from the American National Standards Institute,1430 Broadway, New York, NY 10018-3308, i
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BUDGET l
ESTIMATES j
FISCAL YEAR 1999 r
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February-1998 l
U.S. Nuclear Regulatory Commission g
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SUMMARY
OF CONTENTS P.agt I.
S UM MA RY........................................................
1 4
I ntroductien..........................................................
1 B udget S ummary.....................................................
3 Appropriations and Financial Summary 4
2.
NUCLEAR REACTOR S AFETY......................................
28 3.
NUCLEAR MATERI ALS SAFETY....................................
70 4.
NUCLEAR WASTE S AFETY.........................................
90 5.
COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT.............................
100 6.
PROTECTING THE ENVIRONMENT.................................
110 7.
M ANAG EMENT AND SUPPORT.....................................
I18 8.
INSPECTOR GENERAL 138 9.
AP P EN D IX.........................................................
145 U.S. NRC Legislative Program Projections.................................
146 U.S. NRC Report to Congress on Drug Testing.............................
147 U.S. NRC Report to Congress on Status of Pilot Program of Simulated Regulation of Certain DOE Nuclear Facilities............................
148 U.S. NRC Summary of Reimbursable Work Agreements............,.........
153 iii a
DETAILED TABLE OF CONTENTS P_ age 1.
S UMMARY........................................................
1 In trod u ction........................................................
1 B u d get S u m m a ry....................................................
3 Total NRC Budget Authority by Appropriations..........................
3 Appropriations and Financial Summary.................................
4 Proposed FY 1999 Appropriations Legislation...........................
5 Analysis of Proposed FY 1999 Appropriations Legislation..................
7 Summary of Budget Authority by Function..............................
19 Summary of Budget Authority by Strategic Arena...........,.............
20
- Summary of Staffing by Strategic Arena................................
21 Explanation of Resource Changes.....................................
21 Nuclear Reactor Safety............................................
21 Nuclear Materials Safety..........................................
22 Nuclear Waste Safety.............................................
23 Common Defense and Security and International lavolvement............... -...................
23 Protecting the Environment........................................
23 Management and Support 24 Inspector General...............................................
24 Distribution of NRC Budget Authority by Strategic Arena..................
25 Distribution of NRC Staff by Strategic Arena............................
25 2.
NUCLEAR REACTOR SA FETY......................................
28 Total Budget Authority by Function and by Program.........................
2P Full-Time Equivalent Employment by Program...........................
29 Explanation of Resource Changes by Program..............................
29 Reactor Licensing..................................................
29 Reactor Inspection..................................................
29 Reactor Performance Assessment......................................
30 Test and Research Reactors..........................................
30 i
Standard Reactor Designs............................................
30 Independent Performance Evaluations..................................
30 l
Reactor Technical Training..........................................
30 l.
Reactor Enforcement Actions.........................................
30 l
Reactor Investigations...............................................
30 Reactor and Plant Performance Research................................
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CONTENTS (==d===4 fA88 4
y R. actor Materials and Component Behavior Research.....................
31 Reator Legel Advice...............................................
31 Descripdon of Strategic Arena...........................................
31' Reactor Licensmi'....................................................
32 Figure 1: U. S. Commercial Nuclear Power Reactors '......................
33 Figure 2: Licensing Action Completions.................................
35 Figure 3: Licensing Actions (Inventory)................................
35 Figure 4: Licensing Actions (Age).....................................
36 Figure 5: Licensing Actions (Median Age ofInventory)....................
'36 Figure 6: Other Licensing Task Completions............................
-38 4
Figure 7: O her Licensing Tasks Inventory...............................
38 R eactor Inspection....................................................
41 Figure 8: Direct Region Onsite Inspection Hours Per Unit..................
43 Figure k Direct Inspection Hours (Total)...............................
43 Reactor Performance Assessment........................................
44 Test and Research Reactors.............................................
45 Standard Reactor Designs..............................................
46 Independent Performance Evaluations.....................................
47 Reactor Technical Training.............................................
50 Reactor Enforcement Actions...........................................
52 Reactor Investigations................................................
53 Reactor and Plant Performance Research..................................
54 Reactor Materials and Component Behavior Research........................
62 Reactor Legal Advice.................................................
68 3.-
NUCLEAR MATERIALS SAFETY....................................
70 i
Total Budget Authority by Function and by Program.........................
70 Full-Time Equivalent Employment by Program.............................
71 Explanation of Resource Changes by Program..............................
71 Fuel Facilities Licensing and Inspection-Safety...........................
71 Nuclear Materials Users Licensing and Inspection-Safety....................
71 Medical Oversight..................................................
72 L
Uranium Recovery Licensing and Inspection 72 Agreement State Program, State Liaison and Performance Evaluation.........
72 Independent Performance Evaluation...................................
72 Materials Technical Training.........................................
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Materials Enforcement Actions........................................
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CONTENTS (enatin=M EAST Materials Investigations.............................................
72 Matedals Research and Regulation Development.........................
72 Materials Legal Advice...............................................
72 Regulation of the Department of Energy (DOE)..........................
73 Description of Strategic Arena...........................................
73 Fuel Facilities Licensing and Inspectic.i-Safety.................
74 Nuclear Materials Users Licensing and Inspection-Safety.....................
76 Figure 10: Materials Licensing Action Completions.......................
76 Figure 11: Median Age of Materials Licensing Actions....................
77 Medical Oversight....................................................
79 Uranium Recovery Licensing and Inspection...............................
79 Agreement State Program, State Liaison and Performance Evaluation............
80 Independent Performance Evaluation (Materials)............................
81 Materials Technical Training............................................
83 Materials Enforcement Actions..........................................
83 Materials Investigations................................................
84 Materials Research and Regulation Development...........................
85 Materials Legal Advice................................................
86 Regulation of the Department of Energy (DOE).............................
87 4.
NUCLEAR WASTE SAFETY.........................................
90 l
Total Bud et Authority by Function and by Prograr.2.........................
90 6
Full-Time Equivalent Employment by Program.............................
90 Explanation of Resource Changes by Program..............................
91 Snent Fuel Storage and Transportation Licensing and Inspection.............
91 EN / Level Waste Repository Regulation...............................
91 L
R:.pilon of Low-Level Waste.......................................
91 l
Description of Strategic Arena...........................................
91 Spent Fuel Storage and Transportation Licensing and Inspection...............
92 High-Level Waste Repository Regulation..................................
93 Regulation of Low-Level Waste.........................................
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CONTENTS (continued) fAER
- 5. -
COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT.............................
100 Total Budget Authority by Function and by Program........................
100 Full-Time Equivalent Employment by Program.............................
100 Explanation of Resource Changes by Program..............................
101 Fuel Facilities Licensing and Inspection-Safeguards.......................
101 Participation in International Activities................................
101 Import / Export Licensing Reviews.....................................
101 Description of Strategic Arena...........................................
101 Fuel Facilities Licensing and Inspection-Safeguards..........................
102 Partic!oation in Intemational Activities....................................
103 Import / Export Licensing Reviews........................................
106 6.
PROTECTING THE ENVIRONMENT.................................
110 Total Budget Authority by Function and by Program.........................
110 Full-Time Equivalent Employment by Program.............................
110 Explanation of Resource Changes by Program..............................
111 Regulation of Decommissioning.......................................
111 Decommissioning Research and Regulation Development..................
111 Description of Strategic Arena...........................................
111 Regulation of Decommissioning.........................................
I12 Decommissioning Research and Regulation Development.....................
I14 7.
MANAG EMENT AND SUPPORT.....................................
118 Total Budget Authority by Function and by Program.........................
118 Full-Time Equivalent Employment by Program.............................
118 Explanation of Resource Changes by Program..............................
119 Management Services...............................................
119 Chief Information OfEcer............................................
119 Chief Financial Officer..............................................
119 Policy S upport.....................................................
119 Description of Strategic Arena...........................................
119 Management Services.................................................
120 Budget Authority by Function and by Activity...........................
120 Full-Time Equivalent Employment by Activity...........................
120 vii
CONTENTS (candanad)-
P488 Admini stration......................................................
121 Figure 12: Administration..........................
121.
. H uman Resources...................................................
123
. Small Busiliess and Civil Rights.......................................
123 Region Management and Support Services..............................
124 Chief Information Officer........................................... ;... 125 Budget Authority by Function and by Activity.................=..........
125 Full-Time Equivalent Employment by Activity -............................
125 Figure 13: ChiefInformation Officer....................................
126 Information Technology............................................... 126 Information Management............................................
128 Chief Financial Officer...............................................
129
' Budget Authority by Function and by Activity........,..................
129 Full-Time Equivalent Employment....................................
129 Permanent Change of Station.........................................
130 Policy Support.........
131 Budget Authority by Function and by Activity...........................
131 Full-Time Equivalent Employment by Activity...........................
132 Commi ssion......................................................
132 i
Commission Appellate Adjudication...................................
132 Congressional Affairs...............................................
132 General Counsel...................................................
133 Public ' Affairs.....................................................
133 Secretariat........................................................
133 Executive Director for Operations.....................................
134 i
Advisory Committee on Reactor Safeguards.............................
134 Advisory Committee on Nuclear Waste.................................
135 Atomic Safety and Licensing Board Panel...............................
135 5..
8.-
INSPECTOR G ENERAL.............................................
138 Total Budget Authority by Function.....................................
138-Full-Time Equivalent Employment 138 Explanation of Resource Changes 138 Description of Program................................................
138 Audits 139
- Investigations....................................................
140 Management and Operational Support..................................
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CONTENTS (continued)
East 9.-
- AP P E N D I X.........................................................
145 U.S. NRC Legislative Program Projections................................,
146 U.S. NRC Report to Congress en Drug Testing.............................
147.
U.S. NRC Report to Congress on Status of Pilot Program of Simulated Regulation of Certain DOE Nuclear Facilities............,...............
148 U.S. NRC Summary of Reimbursable Work Agreements......................
153 ix
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SUMMARY
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INTRODUCTION 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 Nuclear Regulatory --
Commission (NRC) with the primary Federal responsibility fo achieving that goal. The NRC's mission,' therefore, is to regulate the Nation's civilian us.. of byproduct, source, and -
< special nuclear materials to ensure adequate protection of public' health and safety, to promote the common ~ defense and security, and to protect the environment.
l The safety of commercial nuclear power reactor operations is the responsibility of NRC licensees. The regulatory oversight oflicensee safety is the responsibility of the NRC. -The LNRC's scope of responsibility includes regulation of commercial' nuclear power plants; research, test, and training reactors; fuel cycle facilities; medical, academic, and industrial ~uses
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of nuclear materials; and 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, ano
' 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 complex. Regulatory decisions must often be conservative to account for technical-uncertainty. These conservative' decisions should be modified appropriately as increased understanding 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).
To provide a better linkage between the Strategic Plan and Performance Plan, the FY 1999 Budget Estimates have been developed using a similar strategic arena structure that includes:
Nuclear Reactor Safety, Nuclear Materials Safety (includes Regulation of DOE), Nuclear Waste Safety, Coramon Defense and Security and International Involvement, Protecting the Environment, Management and Support and Inspector General. -These arenas are the same as those provided in NRC's FY 1997 ^.002 Strategic Plan (September 1997) with the exception s
of Excellence and Public Con 5dence. The goals of these-two arenas are overarching management strategies thatte integrated throughout NRC's programs and are intended to
~ foster a highly effective cod results-oriented agency thr.t is. committed to excellence and L inspires confidence.
Excellence: The commitment to excellence is an overarching and cross-cutting principle 4
applicable equally to both mission-and managercent-related goals and strategies. It is key to
' the success of NRC's mission.
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INTRODUCTION (continued)
NRC will improve its internal performance by ensuring that its people and processes function with a goal of excellence. 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 envirenment. As used in this context, excellence connotes a dedication to safety, a commitment to the Principles of Good Regulation, and the pursuit of superior staff performance. Excellence includes both regulatory effectiveness and efficiency, and applies to all NRC functions. Regulatory effectiveness denotes a regulatory framework for ensuring public health ard safety that is clear, coherent, logical, consistent, reliable, and technically sound. Efficiency connotes a regulatory framework which is efficient and cost effective for both the NRC and its licensees. The NRC is currently developing a plan for enhancing excellence throughout the Agency that will include a process for systematically assessing and improving the effectiveness and efficiency of NRC programs and processes.
Public Confidence: Building and maintaining the public trust is critical to sucessfully carrying out the NRC mission and achieving our vision. Public confidence must be earned and deserved. To be an effective steward for nuclear safety, NRC 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. In striving to build and maintain public confidence while achieving the NRC's health and safety mission, the NRC will conduct its business openly, candidly, and with integrity recognizing that NRC is accountable to the American people and their elected representative; just as licensees are accountable to NRC.
NRC's regulatory actions and decisions will be based on objective and unbiased assessments of all information which will be sought openly from licensees and other interested members of the public and stakeholders.
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"ALL' DOLLAR AMOUNTS IN THIS. DOCUMENT REPRESENT.BUDGETe l
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' AUTHORITY ENACTED FOR FY 1997, ESTIMATED FOR FY 1998, AND LREQUESTED FOR FY 1999.
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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 NRC's FY 1999 budget request is $488,640,000. This is an increase of
$15,840,000 above that for FY 1998, FTEs:
The NRC's FY 1999 budget request is 2,963 FTEs which includes 5 reimbursable business-like FTEs, This is a decrease of 22 FTE below the FY 1998 level, TOTAI NRC BUDGET AUTHORITY BY APPROPRIATIONS FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 NRC Salt. 3 and Expenses (S&E) Appropriation ($K)
Salaries and Expenses 471,800 468,000 48?,340 15,340 Offsettb5 Fees Receipts 457,300 450,000 461,640 11,640 Net Apriopriated-S&E' 14,500 18,000 21,700 3,700 NRC Offlee oflaspector General (OIG) Appropriation ($K)
Inspector General 5,000 4,800 5,300
$00 Offsetting Fees Receipts 5,000 4,800 5,300 500 Net Appropriated-OlO O
O O
O Total Net Appropriated-NRC 14,500 18,000 21,700 3,700 s
FY 1997 FY 1998 FY 1999
' Net Appropn. ted - S&E ($K) a Enacted Estimate Estimate Nuclear Wasts Fund i1,000 15,000 18,500
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General Fund 3,500 1
3,000 1
3,200 3
SUMMARY
APPROPRIATIONS AND FINANCIAL
SUMMARY
The NRC's FY 1999 budget requests new budget authority of $488,640,000 to be funded by
- two appropriations--one is the NRC's Salaries and Expenses appropriation for $483,340,000, and the other is NRC's Office ofInspector Ceneral appropriation for $5,300,000. Of the funds appropriated to the NRC's Salaries and Expenses, $18,500,000, shall be derived from the Nuclear Waste Fund and $3,200,000 shall be derived from general funds.
Proposed appropriation language on the use of funds derived from the Nuclear Waste Fund and from the general funds is discussed on page 9, item 10, and page 12, item 13, respectively. The proposed FY 1999 appropriation legislation would also exempt the $3,200,000 for regulatory reviews and other assistance provided to the Department of Energy (DOE) from the requirement that the NRC collect 100 percent ofits budget from fees. Beginning in FY 2000, the Nuclear Regulatory Commission's proposed program funding level will be dependent upon the actual collection of fees, and the request for general or special fund appropriations will be limited to nonfee-based activities of the Commission. To facilitate the Commission's transition to this new method of operation, the Commission will be allowed to use fees collected in FY 1999 to cover the costs of operation in the following fiscal year. Revenues derived from enforcement actions shall be deposited to miscellaneous receipts of the Treasury.
The NRC's FY 1999 appropriations legislation and its accompanying analysis are given on pages 5 through 18. This section also contains summaries for budget authority by function and by strategic arena, a summary of staffing by program, and an explanation of resorxe chances by strategic arena. The detailed justifications for the strategic arenas are presented on pages 28 through 141. Note that the funds related to the reimbursable program are not financed bv NRC's appropriated funds, but solely through reimbursable agreements with other Federal ar,encies and non-Federal entities.
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SUMMARY
PROPOSED FY 1999 APPROPRIATIONS LEGISLATION The proposed appropriations legislation is as follows:
Salaries and Excenses (Including Transfer of Funds)
For necessary expenses of the Commission in carrying out the purposes of the Energy Reorgarization Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended, including the employment of aliens; services authorized by 5 U.S.C. 3109; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official representation expenses (not to exceed $20,000); reimbursements to the Gen:ral Services Administration for security guard services; hire of passenger motor vehicles and aircraft; and
$483,340,000 to remain available until expended: Provided, That of the amount appropriated herein, $18,500,000 shall be derivs 'com the Nuclear V%ste Fund: Provided further. That from this appropriation, transfers of ms may be made to other agencies of the Government for the performance of the work for which this appropriation is made, und in such cases the sums so transferred may be merged with the appropriation to which transferred:
Provided further, That moneys received by the Commission for the cooperative nuclear safety research program, services rendered to State governments, foreign governments, and international organizations, and the material and information access authorization programs, including criminal history checks under section 149 of the Atomic Energy Act may be retained and used for salaries and expenses associated with those activities, notwithstanding 31 U.S.C.
3302, and shall remain available until expended. Provided further, That $3,200,000 of the funds herein appropriated for regulatory reviews and other assistance provided to the Departraent of Energy and other Federal agencies shall be excluded from license fee revenues, notwithstanding 42 U.S.C. 2214: Provided further, That not to exceed $152,341,000 of I
revenues received during fiscal year 1999 from licensing fees, inspection services, and other l
services and collections, authorized by 42 U.S.C. 2213, excluding those moneys received for l
the cooperative nuclear safety research program, services rendered to State governments, foreign governments, and intemational organizations, and the material and information access autbrization programs, shall become available on October 1,1999, for necessary salaries and expens of this account, notwithstanding 31 U.S.C. 3302, and to remain available until expended.
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SUMMARY
- Proposed FY 1999 Approprim ta=a Ie-Islation e
Ralmeies and Fvnenere
.(Legislative proposal, not subject to PAYGO)
Upon enactment of authorization to extend the requirements of 42 U.S.C. 2214, additional fees so extended may be collected and credited to this account as offsetting collections: Provided.
That not to exceed $309,299,000 of such fee:: shall become available on October 1,1999 for c necessary salaries and expenses of this acount, notwithstanding 31 U.S.C. 3302, and remain available until expended.
Office ofInenector General (Including Transfer of Fuds)
For necessary expenses of the Office ofIntpector General in carrying out the provisions of the inspector General Act of 1978, as amended, including services authorized by 5 U.S.C. 3109,
. $5,300,000, to remain available until expended; and in 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 of Representatives and Senate: Provided further, That from this 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. That r
not to exceed $1,749,000 of revenues received during fiscal year 1999 from licensing fees,
-inspection services, and other services and collections authorized by 42 U.S.C. 2213 shall become available on October 1,-1999 for necessary salaries and expenses of this account,
- notwithstanding 31 U.S.C. 3302, and shall remain available until expended.
Office ofInnnector General (Legislative Proposal, not subject to PAYGO)
Upon enactment of authorization to extend the requirements of 42 U.S.C. 2214, additid fees so extended may be collected and credited to this account as offsetting collectionsi icaded, l-That not to exceed $3,551,000 of such fees shall become available on _ October 1,1999 for i-
- necessary salaries and expenses of this account, notwithstanding 31 U.S.C. 3302, and remain l
available until expended.
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SUMMARY
s ANALYSIS OF PROPOSED FY 1999 APPROPRIATIONS LEGISLATION The analysis of the proposed appropriations legislation is as follows:
Salaries and Expenses (including Trcusfer of Funds) 1.
FOR NECESSARY EXPENSES OF THE COMMISSION IN CARRYING OUT THE PUROSES 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 NRC was established by the Energy Peorganization Act of 1974, as amended (42 U.S.C. 5801 et seq.). This act abolished the Atomic Energy Commission and 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 and 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, regulation, and other activities, including research related to nuclear 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 t%
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
- An=Iysis of Pro-d FY 1999 Aparaprinflane Isotalatlan 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 inteichange of ideas and criticism that is essentiel to scientific and industrial progress and public understanding and to enlarge the fund of technicalinformation.
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 43 Comp. Gen. 305 This language is required because of the established rule restricting an agency from charging appropriations with the cost of official representation unless the appropriations involved are specifically available therefor. Congress has appropriated funds for official representation expenses to the NRC and NRC's preducessor, the Atomic Energy Commission, each year since FY 1950.
7.
REIMBURSEMENTS f0 THE GENERAL SERVICES ADMINISTRATION FOR SECURITY GUARD SERVICES:
34 Comp. Gen. 42 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, therefore, NRC appropriations not specifically made available therefor may J
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i SUMMAP.Yr A -% af Ta 7-- ' FY 1999 A =;.g!e'--- I - '-le'=
not be used to reimburse the General Services Administration for security guard services.-
8.
- HIRE OF PASSENGER MOTOR VEHICLES AND AIRCRAFT:
31 U.S.C.1343 -
' 31 U.S.C.1343 provides that an appropriation may not be expended to purchase or hire passenger motor vehicles for any branch of the Government unless specifically authorized by the appropriation concerned or other law.
9.
TO REMAIN AVAILABLE UNTIL EXPENDED:
31 U.S.C.1301 N
3 31 U.S.C.1301 provides 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.
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SHALL BE DERIVED FROM THE NUCLEAR WASTE FUND:
y 42 U.S.C.10131(b)(4) 42 U.S.C.10222(a)(4)
- 42 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 s
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 generators or owners of these materials into the fund shall be reviewed annually to determine if any fee adjustment is needed to ensure full cost recovery, rw 9
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SUMMARY
- ArQ.a of Pr r-H FY 1999 Appsc.ph.es.m. Ig =i. eta.
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- 42 U.S.C.10134
' 42 U.S.C.10133 -
42' U.S.C.10134 specifically requires the NRC to heense 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 steps leading to submission of the liccase application. Thus, the Nuclear _ Waste Policy
- Act of 1782, 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.10?'.2(d) 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, J development,'- licensing, construction,_ operation, decommissioning. and post--
decommissioning maintenance and monitoring of any repository constructed under the
_ Nuclear Waste' Policy _ Act of 1982, and administrative cost of the radioactive waste
- disposal program.
[
_.1 1.
FROM.THIS ' APPROPRIATION. TRANSFERS OF SUMS MAY BE-MADE TO l
OTHER AGENCIES OF THE ?.OVERNMENT FOR THE PERFORMANCE OF THE WORK FOR WHICH THIS APPROPRIATION IS MADE. AND IN SUCH CASES THE SUMS SO TRANSFERRED MAY BE MEROED 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 ftmd only when authorized by. law.
12.
MONI!YS Rl!ClilVliD BY Tilli COMMISSION FOR THE COOPERATIVE
' NUCl.HAR sal!HTY RliSHARCll PP 0 GRAM, SERVICES RENDERED TO STATE GOVHRNMiiNTS. - FORlilGN GOVERNMENTS.
AND INTERNATIONAL ORGAN 17.ATIONS AND TilH MATERIAL. AND INFORMATION ACCESS AllTilORl/.ATION PROGRAMS INCL.llDING CRIMINAL. tilSTORY CllECKS llNDliR Sl!CTION 149 01 TilH ATOMIC I!Ni!RGY ACT OF 1954. MAY BE Rl!TAINiiD AND llSlil)l'OR sal.ARiliS AND EXPliNSES ASSOCIATED WITil I~
u
,._.m_._
SUMMARY
- Analysis of Pronnaad FY 1999 Annroprintlans Leolalation THOSE ACTIVITIES, NOTWITHSTANDING 31 U.S.C. 3302, AND SH.ALL REMAIN AVAILABLE UNTIL EXPENDED:
31 U.S.C. 3302 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 revenue.
2 Comp. Gen. 775 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. Funds are also received from foreign governments and international organizations for providing safety assistance and other services related to promoting public health and safety. The NRC would be authorized to receive directly, retain, and expend these funds.
42 U.S.C. sec. 2021 42 U.S.C. sec. 2021 authorizes the Commission in carrying out its licensing and regulatory responsibilities under the Atomic Energy Act to enter into agreements with States to provide services such as training, travel, and direct inspections and licensing activities, with or without charge to the States. Absent specific statutory authority, if a charge were imposed for these services, the funds received would be deposited in the Treasury as miscellaneous receipts.
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. These funds will be used to pay the related NRC processing costs and the agency conducting the security investigations. Pursuant to 42 U.S.C.
2169, 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 info.mation 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. The NRC will also use the money currently collected under 11
SillWMARYr Annivsis of Proposed FY 1999 Approprintions Legislation Part 25 of Title 10 of the Code of Federal Regulations (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.
THAT THE FUNDS HEREIN APPROPRIATED FOR REGULATORY REVIEWS AND OTHER ASSISTANCE PROVIDED FOR THE DEPARTMENT OF ENERGY AND OTHER FEDERAL AGENCIES SHALL BE EXCLUDED FROM LICENSE FEE REVENUES, NOTWITHSTANDING 42 U.S.C. 2214:
42 U.S.C. 2214 42 U.S.C. 2214 requires the Commission to assess and collect annual charges from persons licensed by the Commission that approximate 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 pursuant to 31 U.S.C. 9701 (the Independent Offices Appropriation Act of 1952), for each year of FY 1991 through FY 1998.
31 U.S.C. 9701 Under the Independent Offices Appropriation.Act of 1952,31 U.S.C. 9701, the NRC is not authorized to charge fees to DOE or other Federal agencies for these activities.
Rather than having the NRC recover these costs by assessing fees to its licensees under its 100-percent cost recovery requirement, the costs of these consultation and review activities would be derived from appropriated 'ods.
31 U.S.C.15'5 et seq.
33 Comp. Gen. 27 l
The Economy Act,31 U.S.C.1535 et seq., permits a Federal agency to perform work r services for another Federal agency on a reimbursable basis. A Federal agency may not be reimbursed for rendering services to another Federal agency if the services are required by law in carrying out the norma' functions of the performing agency and for which appropriations are specifically provided.
12
k i,
\\
SUMMARY
- Annivsis of Pronosed FY 19n9 Annronrintiens Levislation s
The NRC performs-the following types of activities for DOE and other Federal agencies for which it cannot directly charge the benefiting Federal agency license fees under 42 U.S.C. 2214:
Review of applications for the issuance or new licenses or approvals. Under the a.
Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, the NRC performs these functions to provide licenses, certificates of compliance, and other approvals to ether Federal agencies. An example of such activity would include a _ DOE application for a large pressurized water reactor dual-purpose cask system for certification as a transportation cask and approval as a storage system.
b.
Consultation and safety review activities for other Federal agencies that the NRC is not statutorily required to perform. Examples of such activities follow:
4 DOE is proceeding with a two-phased program of remediation for high-4 level waste currently contained in= tanks located on the Hanford Reservation in Richland, Washington. Phase 1 involves a pilot-scale feasibility demonstration by private contractors under the regulatory control of DOE; Phase 2 would involve full-scale operatica by private contractors, possibly licensed by. Se NRC. At DOE's request, the NRC has undertaken consultation and safety review activities for DOE during Phase 1.
At DOE's request, the NRC is providing assistance in assessing and resolving technical and licensing issues with respect to DOE's possible acquisition of commercial light water reactore, or acquisition of irradiation services from commercial light water reactors, for the production of tritium.
14.
THAT NOT TO EXCEED $152,341.000 OF REVENUES RECEIVED DURING FY 1999 FROM LICENSING FEES, INSPECTION SERVICES, AND OTHER SERVICES AND COLLECTIONS, AUTHORIZED EY 42 U.S.C. 2213 EXCLUDING THOSE MONEYS RECEIVED FOR THE CCOPERATIVE NUCLEAR SAFETY RESEARCH PROGRAM, SERVICES RENDERED TO STATE GOVERNMENTS, FOREIGN GOVERNMENTS, AND INTERNATIONAL ORGANIZATIONS, AND THE MATERIAL AND INFORMATION ACCESS AUTHORIZATION PROGRAMS, SHALL BECOME AVAILABLE ON OCTOBER 1,1999 FOR NECESSARY 13
I
SUMMARY
- ^ A==Iysis of Prsy- ' FY 1999 Ann.aarlatta== Imdal=*lan 1
SALARIES ~ ~AND EXPENSES IN THIS:. ACCOUNT, NOTWITHSTANDING 31 U.S.C.'3303, 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. 2213-4 42 U.S.C. 2214 i
Pursuant to 42 U.S.C. 2213, the NRC is required to assess and collect annual charges from persons licensed by the Commission. Except for the holder of any license for a federally owned research reactor used primarily for educational training and academic research purposes, 42 U.S.C. 2214 requires the Commission to assess and collect -
annual charges from persons licensed by the Commission, and the aggregate amount.
of such charges must equal _ an amount that-approximates 100 percent of the:
- Commission's budget authority, less any amount appropriated to the Comminion 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 through FY 2003.
Beginning in FY 2000, the Nuclear Regulatory Commission's proposed program funding level will be dependent upon the actual collection of fees, and the aquest for
' general or special fund appropriations will be limited to nonfee-based activities of the l
Commission. To facilitate the Commission's transition to this new method of
_ operation, the Commission will be allowed to use f es collected in FY 1999 to cover the costs'of operation in the following fiscal year.
31 U.S.C. 3302 L
' The NRC is required to deposit all reventies collected to miscellaneous receipts of the i
Treasury unless specifically authorized by an appropriation to retain and use such revenue.
l:
14 L
l
SUMMARY
- Annivsis of Pronosed FY 1999 Annropriations Lecialetion l
Salaries and Exnenses (Legislative proposal, not subject to PAYGO) 15.
UPON ENACTMENT OF AUTHORIZATION TO EXTEND THE REQUIREMENTS OF 42 U.S.C. 2214, ADDITIONAL FEES SO EXTENDED MAY BE COLLECTED AND CREDITED TO THIS ACCOUNT AS OFFSETTING COLLECTIONS:
PROVIDED, THAT NOT TO EXCEED $309,299,000 OF SUCH FEES SHALL BECOME AVAILABLE ON OCTOBER 1,1999 FOR NECESSARY SALARIES Ah3 EXPENSES OF THIS ACCOUNT, NOTWITHSTANDING 31 U.S.C. 3302, AND REMAIN AVAILABLE UNTIL EXPENDED.
The appropriations request for Salaries and Expenses assumes the enactment of authorization legislation extending the authority for the Nuclear Regulatory Commission to collect fees that approximate 100 percent of the Nuclear Regulatory Commission's FY 1999 budget for carrying out its responsibilities under the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended.
Office ofInspector General (Including Transfer of Sums) 16.
FOR NECESSARY EXPENSES OF THE OFFICE OF INSPECTOR GENERAL IN CARRYING OUT THE PROVISIONS OF THE INSPECTOR GENERAL ACT OF 1978, AS AMENDED:
Public Law 95-452,5 U.S.C. app., as amended by Public Law 100-504 Public Law 100-504 amended Public Law 95-452 to establish the Office ofInspector General within the NRC effective April 17,1989, and to require the establishment of a separate appropriation account to fund the Office ofInspector General.
17.
SERVICES AUTHORIZED BY 5 U.S.C. 3109:
5 U.S.C. 3109 provides in part that the head of an agency may pro:ure by contract the temporary or intermittent services of experts or consultants when autho;ized by an appropriation.
15
SUMMARY
- Annivsis of Proposed FY 1999 Annropriations LegleIntian 18.
TO REMAIN AVAILABLE UNTIL EXPENDED:
31 U.S.C.1301 31 U.S.C.1301 provides 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 cov red by the law in which it appears.
19.
AN AMOUNT NOT TO EXCEED 5 PERCENT OF "'HIS SUM MAY BE TRANSFERRED I? ROM SALARIES AND EXPENSES, NUCLEAR REGULATORY COMMISSION: PROVIDED, THAT NOTICE OF SUCH TRANSFERS SHALL BE GIVEN TO THE COMMITTEES ON APPROPRIATIONS OF THE HOUSE OF REPRESENTATIVES AND SENATE:
31 U.S.C.1301 31 U.S.C.1301 prohibits the transfer of funds between appropriations without specific statutory authority. This language provides for limited authority to transfer funds from NRC's Salaries and Expenses appropriation to its Office of Inspector General appropriation. This will permit the NRC to augment the Office ofInspector General appropriation on a limited basis, if it becomes necessary, without seeking additional appropriations for that fiscal year.
20.
FROM THIS 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:
31 U.S.C.1532 31 U.S.C.1532 permits the transfer of appropriated funds frcm one account to another or to a workir.g fund only when authorized by law.
21.
THAT NOT TO EXCEED $1,749,000 OF REVENUES RECEIVED DURING FISCAL YEAR 1999 FROM LICENSING FEES, INSPECTION SERVICES, AND OTHER SERVICES AND COLLECTIONS AUTHORIZED BY 42 U.S.C. 2213 SHALL BECOME AVAILABLE ON OCTOBER 1,1999, FOR NECESSARY SALARIES 16
SUMMARY
r Analvals af Prepaaed FY,,1299 Annranrlatta== hel=l= eta =
AND EXPENSES OF THIS ACCOUNT, NOTWITHSTANDING 31 U.S.C. 3302, 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 r 4 vervice or thing of value.
42 U.S.C. 2213 42 U.S.C. 2214 Pursuant to 42 U.S.C. 2.13, the NRC is required to -tssess and collect annual charges from persons licensed by the Commission. Except for the holder of any license for a federally owned research reactor used primarily for educational training and academic research purposes,42 U.S.C. 2214 requires the Commission to assess and collect annuel charges from persons licensed by the Commission and the aggregate amount of such charges shall equal an amount that approximates 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 through FY 2003.
Beginning in FY 2000,' the Nuclear Regulatory Commission's proposed program funding level will be dependent upon the actual collection of fees, tel the request for -
general or special fund appropriations will be limited to nonfee-based activities of the Commission. To facilitate the Commission's transition to this new method of operation, the Cammission will be allowed to use fees collected in FY 1999 to cover the costs of cpration in the following Ascal year.
31 U.S.C. 3302 The NRC is required to deposit all revenues collected to '
eilaneous receipts of the Treasury unless specifically authorized by an ap; gr
-a to retain and use such revenue.
17 i~
~
_ __~-.._._
$UMMARY Analyals of Pr-1_=-4 FY 1999 Apprcprinflane 12-!=la*laa Office of Inanector General (Legislative proposal not subject to PAYOO) 22.
UPON ENACTMENT OF AUTHORIZATION TO EXTEND THE REQUIREMENTS OF 42 U.S.C. 2214, ADDITIONAL FEES SO EXTENDED MAY BE COLLECTED AND CREDITED TO THIS ACCOUNT AS OFFSETTING COLLECTIONS:
PROVIDED, TI' AT NOT TO EXCEED $3,551,000 OF SUCH FEES SHALL BECOME AVAILABLE ON OCTOBER 1,1999 FOR NECESSARY SALARIES AND EXPENSES OF THIS ACCOUNT, NOTWITHSTANDING 31 U.S.C. 3302, AND REMAIN AVAILABLE UNTIL EXPENDED.
The appropriations request for the Office ofInspector General assumes the enactment of authorization legislation-extending the authority for the Nuclear Regulatory Commission to collect fees that approximate 100 percent of the Nuclear Regulatory Commission's FY 1999 budget for carrying out its responsibilities under the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended, and the Inspector General Act of 1978, as amended.
18
SUMMARY
SUMMARY
OF BUDGET AUTHORITY BY FUNCTION FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 NRC Approprietion: Salerles and Espenses (S&E)($K)
Salaries and Benefits 263,701 268,095 274,611 6,516 Contract Support 193,893 185,757 194,440 8,683 Travel 14,206 14,148 14,289 141 Total (S&E) 471,800 468,000 483,340 15,340 NRC Appropriation: Office ofInspector General (OIG)($K)
Salaries and Benefits 4,125 4,199 4,601 402 Contract Support 635 360 459 99 Travel 240 241 240
-l Total (010) 5,000 4,800 5,300 500 Total NRC Budget Authority by Function ($K)
Salaries and Benefits 267,826 272,294 279,212 6,918 Contract Support 194,528 186,117 194,899 8,782 Travel 14,446 14,189 14,529 140 Total NRC 476,800 472,800 488,640 15,840 19
SUMMARY
SUMMARY
OF BUDGET AUTIIORITY BY STRATEGIC ARENA.
FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Strategic Arena ($K)
Nuclear Reactor Safety 221,208 211,950 211,422 528 Nuclear Materials Safety 45,150 46,342 48,869 2,527 Nuclear Waste Safety 21,275 24.124 29,147 5,023 Common Defense and Security and International involvement 9.386 9,285 9,732 447 Protecting the Environment 15.236 12,715 14,901 2,186 Management and Support 159.545 163,584 169,269 5,685 Subtotal 471,800 468,000 483,340 15,340 Inspector General Program ($K) 5,000 4,800 5,300 500 Total NRC 476,800 472,800 488,640 15,840 2,,
l
SUMMARY
SUMMARY
OF STAFFING BY STRATEGIC ARENA FY 1999 FTE Estimate FY 1997 FY 1998 FTE ChanBe from FTE FTE Request FY 1998 Strategic Arenas Nuclear Reactor Safety 1,499 1.467 1.440 27 Nuclear Materials Safety 393 391 386 5
Nucicar Waste Safety 112 108 120 12 Common Defense and Security anil International Involvement 79 78 74 4
Protecting the Environment 92 79 81 2
Management and Suppon 843 811 813 2
Subtotal 3,018 2,934 2.914 20 Inspector General 43 43 44 i
Total NRC Programs 3,061 2.977 2.958 19 Reimburnable Builness Like FTEa 0
8 5
3 Total FTE Ceiling 3,061 2,985 2,963 22 EXPLANATION OF RESOURCE CIIANGES NUCLEAR REACTOR SAFETY FY 1999 Change From FY 1998................ -$ 528,000 The resource decrease in FY 1999 results primarily from decreased efforts associated with reactor inspections due to the decreased operating reactor workload, completion of the design team inspections, and completion of Millstone restart activities; standard reactor designs consistent with the anticipated issuance of thi. final design approval for the Westinghouse AP600 reactor design; independent performance evaluations as NRC's risk assessment capabilities are strengthened by shifting work from contractors to NRC staff; and reactor materials and component behavior research as projects are completed and efforts are reduced in the areas of earth sciences and reactor pressure vessel research. Resources are further 21
l l
SUMMARY
reduced reflecting the reduced effort needed to implement the revised operator licensing program; elimination of the Reactor Intern Training Program; delaying the resolution of generic safety issues; and reducing reactor licensing improvements.
These resource decreases are partially offset by increased efforts to complete additional licensing actions and review license renewal applications; to review the current licensee performance assessment processes and develop an improvement plan; to improve efforts associated with_ enforcement actions; to expand the investigation of harassment and intimidation cases; and to increase reactor and plant per'ormance research in the areas of fuel behavior tests, environmental qualification of digital instrumentation and controls, development ofimproved human and organizational reliability analysis and data.
NUCLEAR MATERIALS SAFETY FY 1999 Change From FY 1998.................. $2,527,000 The resource increase in FY 1999 results primarily from costs associated with the review of one new uranium enrichment facility; development of the Licensing and Inspection Online System and upgrades to related systems to provide an integrated, on-line environment for materials licensing and inspection activities; initiation of the program to register licensees' nuclear devices; efforts to develop, revise, and improve procedures in the Agreement States Program; tren: ling ofindustry-wide measures of materials licensee safety performance and the evaluation of nuclear materials event experience on a risk-informed basis; initiation of research on fuel storage casks under various loadings; continuation of the pilot program for external regulation of the Department'of Energy (DOE) and the review of the irradiation topical report for DOE's plan to produce tritium in a commercial light water reactor; and expansion of the NRC's role in the investigation of harassment and intimidation cases. The increase is offset partially by decreases associated with the review and revision of fuel facility regulatory guidance documents; completion of guidance consolidation efforts and of the analysis of risk associated with the existing uses of radioactive byproduct material; completion of NRC's concurrence reviews in surface reclamation at DOE's Uranium Mill Tailings Remedial Action Program sites by September 30,1998, as required by law; completion of the computer-based l-training and reference tool for the United States Enrichment Corporation's gaseous diffusion L
plant (Paducah); and reduced support for materials rulemaking, and completion of the sealed source risk project.
l 22
SUMMARY
NUCLEAR WASTE SAFETY FY 1999 Change From FY 1998................. $5,023,000 The resource increase in FY 1999 is primarily to reflect an increase in the number of spent fuel storage and transportation license applications received, to keep pace with the national high-level waste program, and to restore technical support to Agreement States and licensees for issues concerning low-level waste storage and disposal.
COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT FY 1999 Change From FY 1998................. $447,000 The resource increase in FY 1999 reflects additional costs in support of the Nuclear Materials Management Safeguards System (NMMSS) as a result of NRC's assuming NMMSS costs previously paid by the United States Ennchment Corporation and ofincreased costs associated with the implementation of bilateral and multi-lateral treaties signed with other countries and the International Atomic Energy Agency (IAEA).
The increase is partially offset by a reduction in international nuclear safety assistance efforts and by the fact that no IAEA Operational Safety Assessment Review Team exercise is included in the FY 1999 budget.
PROTECTING THE ENVIRONMENT FY 1999 Change From FY 1998................. $2,186,000 The resource increase in FY 1999 results from increased decommissioning activities for additional power reactors, oversight activities associated with the Department of Energy (DOE)
West Valley Demonstration Projects, increased rulemaking support, implementation of a plan to improve existing practices and evaluate innovative approaches to accelerate licensee decommissioning efforts, and to conduct additional studies necded to complete transport process investigation related to source term, pathway, and engineered barrier use.
23
SUMMARY
MANAGEMENT AND SUPPORT FY 1999 Change From FY 1998................ $5,685,000 The resource increase in FY 1999 results from increased costs for rent, increased personnel costs (pay raises, within-grade increases, and benefits costs increases) and resources required to implement a new integrated resource management system.
INSPECTOR GENERAL FY 1999 Change From FY 1998................. $500,000 The resource increase in FY 1999 results from increased costs for information technology, and personnel costs (pay raises, within grade increases, and benefits costs increases).
24
)
1
SUMMARY
DISTRIBUTION OF NRC BUDGET AUTHORITY BY STRATEGIC ARENA Nuclear Waste Common h and Securny Safety ($29.1) 6%
and lntemationallnvolvement
($0.7) 2%
Nuelser y' u ' MWeMB>
a-Protecting the Environment
. g{ g c ' g ',
($14.9) 3%
. g' -
- -r > y
-- g
- >>+,
n
%...W< 4;,
l%-,',,/ q r.
4
-~
-M, c.
g c, ; ed.,.
m
T Managemesemul!
%,, 1 08I88F A, i gp
, ;.- :p e < $tti,,4)43% k:
-l 919 8) 8%.%
i y ^,)7 9 g -. i.; ;
.,' ^
q', + ;
i
.ic-Q
~
fp
$.T
,2 v,
?.,
- g s o t-Inspector General
($5.3) 1%
FY 1999 ($488.6 MILLION)
DISTRIBUTION OF NRC STAFF BY STRATEGIC ARENA Nuclear Waste Safety (120 4%
3 feuelser ',jj Maleslain s /('4 :
1,
<)p q A J'"
J 4 >
Common Defense a2 Securtty o
Q g(, !fJ;.
. %f and intomationalinvolvement
., T 4
s-1 (74) 3%
3,,
l u
gg,
w
' D ' M' ' "
Protecting the Environment ;b 4 sjp/..y[p gnagggggggggyg,
(81) 3%
(14 in uenagementaruf.;y y', %8T
'j }oQ.svl.,'$;>}h ;
qd q1;'M8tgipest.,,T pf ff h 4
SHQ,
(
py, ;
.A W
& >' p&a.N'
. J /;i,tc mrQ inspector General (44) 1%
FY 1999 (TOTAL STAFF 2,963 FTEs)*
- Includes S reimbursable business-like FTEs Note: Percentages are rounded to the nearest whole number.
25
1 NUCLEAR REACTOR SAFETY
NUCLEAR REACTOR SAFETY (Dollar amounts in tables represent thousands of dollars ($K). In text, whole dollar amounts are used. Staff numbers represent full-time equivalents (FTEs).)
1 Total FY 1999 Estimate...........................................
$211,422,000 FY 1999 Estimate FY 1997 FY 1998 Change from Enneted Estimate Request FY 1998 Budget Authority by Function ($K)
Salaries and Benefits 135,445 138,799 140,379 1.580 Contract Support 76,185 64,113 61,645 2,468 Travel 9,578 9,038 9.398 360 Total 221,208 211,950 i 211,422 528 Budget Authority by Program (SK)
Reactor Licensing 50,872 55,247 56,278 1,031 Reactor inspection 61,729 62,200 60,113 2,087 Reactor Performance Assessment 9,953 7,595 8,494 899 Test and Research Resetors 1,454 1,740 1,890 150 Standard Reactor Designs 4,332 2,060 480 1,580
, Independent Performance Evaluations 14,004 13,661 12,637 1,024 Reactor Technical Training 6,552 6,451 6,739 288 Reactor Enforcement Actions 964 988 1,904 916 Reactor Invenigations 3,344 3,426 4,075 649 Reactor and Plant Performance Research 40,008 33,423 34,429 1,006 Reactot Materials and Component Behavior Research 25,734 22,739 21,899 840 Reactor Legal Advice 2,262 2,420 2,484 64 Total 221,208 211,950 211,422 528 28 l
l l
NUCLEAR REACTOR SAFETY
(
FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Full Time Equivalent Employment by Program Reactor Licensing 464 488 470 18 Reactor inspection
$81 570 547 23 Reactor Performance Assessment 95 72 79 7
Test and Research Reactors 12 14 15 1
Standard Reactor Designs 35 17 4
-13 Independent Performance Evaluations 68 66 70 4
Reactor Technical Training 30 29 26 3
Reactor Enforcement Actions 10 10 19 9
Reactor Investigations 30 30 33 3
Reactor and Plant Performance l' escarch 103 102 109 7
Reactor Materials and Component Behavior Research 47 45 45 0
Reactor Legal Advice 24 24 23 1
Total 1.499 1.467 1,440
-27 EXPLANATION OF RESOURCE CIIANGES BY PROGRAM Reactor Licensine. The resource increase in FY 1999 reflects increased efforts to (a) complete additional licensing actions, including improved standard technical specification conversions; and ( b) review license renewal applications. These increases are partially offset by decreases reflecting (a) the reduced effort needed to implement the revised operator licensing program; (b) elimination of the Reactor Intern Training Program; (c) delaying the resolution of generic safety issues; and (d) reducing reactor licensing improvements.
Reactor Inspection. The resource decrease in FY 1999 reflects (a) the decreased operating reactor workload; (b) completion of the design team inspections; and (c) completion of Millstone restart activities.
29 l
t NUCLE AR REACTOR SAFETY Reactor Performance Assessment. The resource increase in FY 1999 reflects a review of the current licw pformance assessment processes and development of an improvement plan consistent with lessons-learned from recent events and outside evaluations. This increase is offset by savings as data generation, analyses, and assessment activities are integrated among offices.
Ic.tLand Research Reactors. There are no significant resource changes.
Standard Reactor Desiens. The resource decrease in FY 1999 reflects the anticipated issuance of the final design approval for the Westinghouse AP600 reactor design.
Independent Performance Evaluations. The net decrease is associated with strengthening NRC's risk assessment capabilities by shifting work from contractors to NRC staff. This decrease is offset by increases for conducting incident response work cnd development of management and operational performance indicators.
Reactor Technical Training. The resource increase in FY 1999 reflects the resumption of courses deferred in FY 1998 to fund Year 2000 requirements. This increase is offset by efforts to reduce overhead staff.
Reactor Enforcement Actions. The resource increase in FY 1999 is required to improve enforcement guidance, consistency, effectiveness and timeliness in escalated enforcement actions; to monitor non-escalated enforcement actions to ensure agency-wide consistency; and to address potential enforcement actions resulting from investigations into harassment and intimidation allegations.
Reactor InvestIgattom.t. The resource increase in FY 1999 is required to expand the NRC's role in investigating harassment and intimidation cases. Additional funds are also required to complete a 3-year replacement program for obsolete computer equipment for field agents.
Reactor and Plant Performance Resent.cA. The funding increase in FY 1999 reflects a combination of offsetting program adjustments and an increase in staffing. Contractor assistance was reduced for thermal-hydraulic code modernization, accident precursor modeling, evaluation of the effectiveness oflicensing assessments of safety culture, and for severe accident research. Project terminations include research support for hydrogen combustion research, and completion of scheduled projects such as AP600 research support, individual plant examinations (internal events), and regulatory guides on risk-informed regulation. These decreases were offset by funding increases in fuel behavior tests of irradiated materials, environmental qualification of digital instrumentat'on and controls and associated regulatory guides, 1
30 1
NUCI F AR REACTOR SAFETY development ofimproved human and organizational reliability analysis and data, and to perform additional risk studies associated with reactor low power and shutdown operation. Staffing increases in FY 1999 to further develop internal NRC expertise in thermal-hydraulic codes, and to increase emphasis on conducting rulemakings to increase regulatory flexibility and burden rellef to licensees.
Reactor Materials and Comnonent Behavior Research. The funding decrease in FY 1999 reflects completion of scheduled projects, and reduction of contractor support. Project completions include test-to failure of a 1/10-scale model steel BWR containment model, technical basis and regulatory guide on neutron dosimetry and transport calculations, assessment of aging effects on inservice test intervals of motor-operated valves, environmental qualification of cable systems, and evaluations of the technical basis for piping design rules. Contractor assistance is reduced for earth sciences research, and reactor pressure vessel research.
Reactor Lecal Advice. There are no significant resource changes.
DESCRIPTION OF STRATEGIC ARENA A major part of NRC's mission is to ensure that its licensees design, construct, and operate civilian reactor facilities safely. The Atomic Energy Act and the Energy Reorganization Act provide the foundation for regulating the Nation's commercial nuclear power industry. The Nuclear Reactor Safety arena 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 resolution of safety issues, reactor regulatory research, regulation development, independent assessment 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.
These efforts ara conducted primarily by the Office of t near Reactor Regulation, the Office ofNuclear Replatory Research and the Office for Analp and Evaluation of Operational Data, with the assistance and coordination of the NRC Offices of Enforcement, Investigation, and the General Counsel. The contract support funds are allocat:d for work done by DOE contractors, commercial contractors, small business entities, nonprofit organizations (e.g., universities and foundations), and grantees. The narrative that follows describes these programs and addresses the reasons why the resources are needed.
31
NUCI. EAR REACTOR SAFETY Reactor Licensing The number of power reactors with operating licenses for which the NRC has regulatory responsibility is expected ta decline over the next few years. Three reactors of the 109' licensed to operate permaneraly shut down in FY 1997. One dual-unit site. Zion 1 and 2, announced its intention to begin permanent shutdown in FY 1998. No new operating licenses are under review. Safety questions will continue to arise at the remaining 104 reactors (Figure 1), and unexpected operational events will continue to occur as plants continue to age.
In add.
yt, as a result of increasing econom!c pressure on licensees, the number oflicensee activities directed at enh.mcing operating efficiency is increasing. For example, there is greater use of probabilistic risk assessment methods in licensing actions / activities: for meeting-regulatory requirements that will allow for reduction of regulatory burden while maintaining or 1
enhancing plant safety. The use of these approaches, however, will likely require detailed review by the NRC to ensure that acceptable safety margins will be maintained.
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33
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NUCLEAR REACTOR SAFETY Reactor licensing ensures that operating facilities maintain adequate levels of protection of public health and safety in the daily operation and throughout the life cycle of the plant. This safety oversight includes assurances that facilities are adequately designed, properly constructed, correctly maintained, and safeiy operated, and that trained and qualified operating and technical support personnel can prevent or cope with accidents and other threats to public health and safety.
Each operating site is assigned a project manager having as a primary responsibility maintaining the nuclear power reactor license and serving as the headquarters point of contact with licensees, other NRC staff, and the public on safety matters concerning specific plants.
This includes coordinating complex technical reviews, evaluating overall licensee performance, assisting the regions in developing and implementing inspection plans, consulting with State and local officials, and replying to public and congressional inquiries.
Operating license requirements frequently need to be changed as a result of routine activities, technical advances, or unexpected events at power plants. A detailed technical review of applications from licensees for amendments to their operating licenses, such as technical specification changes and modification of license conditions, including exemption requests, is necessary to ensure that the operational safety of the plant is not compromised. These licensing actions require NRC approval before the licensee can implement the requested action. Without such approval, the licensee cannot make the changes requested and, in some cases, may be required to shut down the plant if operation is not feasible under the current license conditions, in FY 1999, the NRC expects to complete approximately 1,500 licensing actions, about 300 more than in FY 1998 (Figure 2). This is expected to reduce the number oflicensing actions in the inventory, and it is also expected that the median age oflicensing actions will decrease in FY 1999.
34
4 NUCLEAR REACTOR SAFETY ucessmodU s
um amo 1500 h IEll 1996 1996 1997 1999 1999 FISCAL YEAR Imewma naciuml The NRC made steady progress in reducing the licensing action inventory through FY 1996.
Since then the inventory has increased, and in FY 1998, the inventory is projected to increase further because of two primary factors. First, recent findings identified some inconsistencies in the compliance of the design basis and operating procedures at Millstone and Maine Yankee. The NRC is actively addressing and taking corrective action at Millstone, and is addressing generic implications at Millstone and Maine Yankee that could result in changes to the regulatory process. As a result, some licensing actions are not being processed as quickly. Second, the NRC's program for amending licenses to convert to improved standard technical specifications is expected to result in an increase in the complexity ofinformation submitted to support the conversions. It is expected that the inventory will be reduced in FY 1999 (Figure 3).
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NUCLEAR REACTOR SAFETY i
The NRC has established goals to control the size and age of the licensing action inventory.
These goals call for 80 percent of there actions to be 1 year old or less,95 percent to be l
2 years old or less, and all actions to be no more than 3 years old (Figure 4).
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NUCLEAR REACTOR SAFETY Over 99 peteent of the acticas in inventory are plant specific actions requested by licensees, and the test are the result v1 NRCimposed actions. Plant specific actions include conversions of technical specifications to tSe i.nproved standard technical specifications. Through this joint ?,'RC and industry initiativc, approximately 31 sites (representing 55 plants) are expected to be cony:rted from existing technicsl specifications to the improved standard technical specifications by th end of FY 1999. At the end of FY 1997,11 sites were converted. In FY 1998,14 sites me apexd to be converted.
Another major licensinit action effort wi;) result from licensees' applications to increase their power ratings. Licensees of approximately 10 boiling water reactor (BWR) units have expressed interest in the BWR potver 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 perhaps three po.ver uprate applicatior.s in FY 1999 t
l NRC review is also required on issues that do not result in an amendment to the operating l
license. These reviews are considered "other licensing tasks." These other licensing tasks include (1) responding to petitions from interested parties requesting action pursuant to 10 CFR 2.206, or (2) evaluating information received from individual licensees in response to requests for infermation (e.g., generic letters and bulletins) or as required by regulation or license conditions as part of the NRC's responsibility for reviewing the safety of the operating licensed facilities (e.g., final safety evaluation report updates,10 CFR 50.59 reports, and changes to quality assurance, safeguards, and emergency preparedness plans). The NRC expects to complete approximately 600 other licensing tasks in FY 1999 (Figure 6). The resulting inventory figures are shown in Figure 7.
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MUCLEAR REACTOR SAFETY 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 deal with safety issues and cost beneficial changes common to a set of plants. The NRC will review only the more safety significant reports in FY 1999. Further,in dealing with issues that affect particular types of plants or that are ofinterest to multiple licensees, the NRC can better integrate and coordinate its efforts by working with vendor / owner groups and other entities. Project managers are assigned to such entitles to serve as points of contact to coordinate complex technical reviews, and to interact with these entities and with licensees on safety and regulatory issue: affecting power reactors.
The NRC must license all personnel authorized to operate reactors.
To fulfill this responsibility, the NRC will continue to administer approximately 400 initial examinations to new reactor operators in FY 1999 to ensure that operating plants are staffed by qualified personnel. As part of the initial examination process, approximately 400 generic fundamentals examinations will also be conducted annually to measure the candidates' knowledge of reactor theory, plant components, and thermodynamics. A proposed rule to revise the process was issued in FY 1997 that will require all nuclear power plant licensees to prepare, proctor, and grade their initial written operator license examinations and prepare their operating tests subject to NRC approval. The NRC will continue to conduct operating tests and issue licenses. A final rule is expected to be issued in FY 1998.
The NRC will continue to conduct reactor operator requalification examinations at selected facilities only "for cause" such as inspection results or licensee performance problems.
The NRC continues to endorse the Training Accreditation Program managed by the Institute of Nuclear Power Operations (INPO). The NRC intends to observe the INPO's accreditation team by visiting two sites in FY 1999, and observe discussions of representatives from the INPO accreditation teams and from the utilities before the National Nuclear Accrediting Board. The NRC will also conduct up to four training program inspections to ensure program effectiveness.
The NRC continually monitors and assesses the performance of nuclear power plant licensees to verify that plants are operated safely, and continually analyzes operational data to identify safety lisues and degradations in performance. Prompt technical screening and assessments of approximately 1,500 to 2,000 nuclear reactor event reports and other incoming data will result in approximately 400 items that require followup each year in FY 1998 and FY 1999 by the NRC. In some instances, the NRC licensees are requested to submit information or to take other actions in response to such potential safety concerns of a compliance nature.
Followup can also result from technical assessments of potential generic safety questions, from 39
NUCLEAR REACTOR SAFETY licensee reports of defects and/or noncompliance, or from allegations. The NRC manages and tracks potential generic safety questions until they are resolved and documented in agency databases for future reference. If the NRC determines that a potential safety concern exists, it recommends corrective action and provides prompt operat!ng experience feedback to licensees or vendors. Approximately 100 of these generic communications are expected to be issued each year in FY 1998 and FY 1999.
The NRC performs generic safety reviews which often result in the issuance of generic communications to licensees, and converts technical resolution of issues into regulatory requirements and guidance. Ongoing efforts to develop and standardize procedures and guidance for licensing activities will continue and will take into account new reactor oversight program initiatives and lessons learned from ongoing reviews.
The NRC must be prepared to evaluate licensee applications to renew current reactor operating licenses beyond their expiration dates and to evaluate issues related to plant aging as they emerge. Preparation to evaluate licensee renewal applications involves determining technical and policy issues, resolving licensing issues, and defining the criteria and process to review such renewal applications. The NRC has amended 10 CFR Part 54, " Requirements for Renewal of Operating Licenses for Nuclear Power Plants," to provide a more stable and predictable regulatory process for license renewal, and 10 CFR Part $1, " Environmental Protection Regulations for Domestic Licensing and Related Regulatory Functions," to enhance the agency's environmental review process for reactor licmse renewal. The NRC has developed draft regulatory guidance and standard review plans for license renewal which will be used on a pilot basis for the first few applicatbns and will then be updated and issued formally for public comment.
The current industry approach is focused on submitting, in lieu of a formal license renewal application, plant-specific or owners group generic reports for NRC review and approval. It l
appears that this approach will provide a potential applicant with better information on the cost of obtaining a renewed operating license, including the cost of any additional aging management programs. The staff received technical reports from the Baltimore Gas ar)
Electric (BG&E) Company in FY 1996 and in FY 1997 on its Calvert Cliffs Nuclear Pow,:r Plants for review BG&E intends to submit about 36 technical reports through FY 1998. The BG&E program could result in a license renewal application in FY 1998. In addition, the Duke Power Company will continue to submit technical information on its Oconee Nuclear Station in a series of technical reports. These reports are intended to support a potential license renewal application in late FY 1998 or early FY 1999. In FY 1999. NRC will conduct technical and environmental reviews of the Calvert Cliffs and Oconee license renewal applications and, possibly the Hatch Nuclear Plant (Seuthern Nuclear Operating Company).
40
NUCLEAR REACTOR SAFETY The Westinghouse owners group, Babcock & Wilcox owners groups, and Boiling Water Recctor owners group submitted generic licence renewal topical reports for staff review in FY 1996 and FY 1997. Additional owners e topical reports are scheduled for submittal through FY 1998 which could be referenced.
.iture license renewal applications. The staff review will focus on those topical reports that are expected to be referenced by BG&E and Duke Power Company. Work on submittals not specifically reled to submitted or intended renewal applications will be deferred or given a lower priorhy.
The NRC will continue to proceed in two phases with the de"elopment of the Reactor Program System (RPS). The RPS is being developed to provide for the effective and efficient integration and analysis ofinformation associated with nu: lear reactor regulation programs.
The RPS will provide reactor inspection and licensing information that can be used to improve NRC's ability to better monitor plant performance characteristics, effectively compare plant performance, and better identify early causes for concern. RPS will collect information once, at the source, and integrate information for both inspections and licensing in one location. The inspection portion will be completed and deployed by FY 1999 and will be followed by the licensing portion.
Reactor Insvection The inspection activity is designed to ensure, through selective examinations, that the licensee identifies and resolves safety issues before they affect safe plant operations. The NRC inspection program is audit oriented to verify that relevant activities are being properly conducted and equipment properly maintained to ensure safe operations. The inspection activity comprises three major elements: core inspections, plant-specific regional initiative inspections, and generic issues inspections.
The core inspections are perfonned at all operating reactors and focus on licensee performance in the areas of plant operations, maintenance, engineering, plant support (which includes security, radiation protection, and emergency preparedness), and licensee effectiveness in identifying, resolving, and preventing problems. Resident inspectors carry out the major part of the core inspection program and participate in regional initiative and generic safety issue inspections. Their primary job is to observe, evaluate, and report on the adequacy of licensee nuclear safety activities. The NRC assigns at least two resident inspectors to each operating reactor site. Beginning in FY 1998, the NRC suspended its 5-year relocation policy for resident inspectors for 2 years, which will result in a savings of $1,750,000 in FY 1999.
(Funding for relocation services is included in the Management and Support Arena.) This 41
NUCLEAR REACTOR SAFETY 2-year suspension of the 5 year relocation policy will serve as a pilot program to determine whether a longer residence period would be appropriate.
Plant-specific regional initiative inspections are performed as needed to follow up on operational events and safety issues, and to further investigate the root causes and corrective actions related to inspection findings. In general, the level of regional initiative inspection performed at each site is a function of that site's performance.
NRC inspectors also respond to allegations of safety and safeguards violations at nuclear facilities and provide technical support to investigative personnel. Approximstely 1,000 allegations are expected to be processed by the NRC in FY 1998, and the number of allegations being raised at power plants is expected to continue at a slightly increased level through FY 1999.
Generic issue inspections are one-time inspections that address arent of emerging safety concern or areas requiring increased emphasis because of recurring problems. Like core inspections, generic issue inspections are required to be conducted at sites independent of performance. Previously conducted generic issue inspections include team inspections of maintenance, emergency operating procedures, and electrical distribution and service water systems.
The NRC plans to spend an annual average of approximately 2,500 to 2,600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> in direct onsite inspection activities at each reactor in FY 1998 and FY 1999 (Figure 8). The NRC has adjusted the total direct onsite inspection hours based on operating experience in recent years that shows overall, performance at reactors has been improving (Figure 9). This overall average is used to plan overall resource allocations for the inspection program and actual hours for individual units are adjusted on the basis oflicensee performance. For example, plants that have deuonstrated superior performance in specific areas of the NRC's systematic assessment oflicensee performance program may receive only the core inspection and generic l
safety issue inspections. To ensure that resources are allocated effectively to enhance reactor safety, significant flexibility exists to conduct additional inspections of safety problerns and of plants that require special attention.
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NUCLFAR REACTOR SAFETY The NRC also conducts vendor / contractor and reactor operator requalification program Inspections. These inspections are reactive in nature and determine whether suppliers of materials, components, and services used in nuclear power plants at: 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. In addition, approximately 35 reactor operator licensing requalification program inspections are conducted each year to evaluate liceasee examination and training programs and to improve operational safety through early identification and correction of programmatic weaknesses.
& actor Performance Assessment Experience has shown that safety issues will continue to arise as a result of events at operating reactors. The NRC's performance assessment program and processes are designed for identifying early sigificant declining trends in performance and ensuring recognition and resolution of safety-significant events and conditions specific to individual plants or generic to the nuclear power industry.
In addition to integrating the results of inspections and other performance insights on an ongoing basis, the NRC conducts short-term integration activities at least twice each year to identify performance trends cnd make r.ecessary adjustments to the inspection program through the plant performance review process. This process includes evaluating insights regarding the licensees' ability to identify, resolve, and prevent issues that degrade the quality of plant safety.
In addition, the NRC conducts periodic long-term integration of!icensee performance and trends through the systematic assessment of licensee performance (SALP) program. The results of these long-term assessment activities are provided to licensees and are made available to the public. Each operating reactor site undergoes a SALP in the areas of operations, maintenance, engineering, and plant support on about an 18 to 24-month schedule.
In FY 1999, the NRC plans to issue approximately 45 SALP reports covering approximately 70 operating units.
l The senior management meeting process, the primary focus of which is operational safety, overlays all performance assessment processes and provides the highest level of NRC management attention to those plants that have exhibited significant performance weaknesses 44
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i-j NUCISAM MACTOR SAFETY and recognition to plants.that have demonstrated sustained superior performance. Senior management meetings are held semiannually _and result.in a coordinated course of action for i
- those plants whose performance is of most concern to the NRC. As of January 1998,13 plants I
have exhibited performance weaknesses.
In FY 1998, the staffis conducting an integrated review of its assessment process, including plant performance reviews, the SALP program, and senior management meetings. The review 1
will evaluate all licensee assessment processes and develop a revised process to improve the 4
efficiency and effectiveness of the processes. Preliminary results of the review will be provided to the Commission. The staff will solicit public comments and conduct a public j
meeting in FY 1998 to discuss-the results of the integrated review. Upon Commission approval, the staff plans to begin implementation of the revised process in FY 1999.
1
- In FY 1999, the NRC will conduct 40-60 inspections to evaluate the effectiveness oflicensee
- controls in identifying, resolving, and preventing problems. The NRC's oversight of industry quality assurance programs serves as another vehicle to ensure acceptable operational safety at nuclear power plants by determining the underlying causes of major operations-related y
- problems and by ensuring their timely detection and correction. The NRC will also review revisions to licensee quality assurance programs. The NRC will continue to develop and implement methodology, procedures, guidance, and training for NRC inspectors and technical l'
staff. In addition, it will continue to support industry initiatives to perform critical self-l assessments, which are designed to heighten licensee awareness and to enhance licensee ability to predict plant performance trends and resolve associated problems as early as possible.
l Through FY 1999, the NRC will conduct follow-up inspections at licensee facilities to i
evaluate licensee implementation of the performance-based maintenance rule.
Test and Research Reactors The NRC is responsible for licensing, inspecting, and decommissioning smaller non-power reactor that are designed and used for research and testing in such areas as physics, chemistry, biology, medicine, and materials sciences and for the training cfindividuals for nuclear-related L
' careers in the power industry, national defense, research, and education.-
The NRC reviews new and renewal license applications and license amendments for 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 a new license or license renewal and approximately 30 other license amendments in FY 1999. The NRC also t
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conducts inspections at approximately 40 nonpower reactors each year to ensure their safe operation.
In addition to licensing and inspecting the nonpawer facilities, the NRC must license all personnel authorized to operate the nonpower reactors.
The NRC administers initial examinations for new reactor operators and either inspects licensee requalification programs or conducts individual requalification examinations "for cause" to ensure that the approximately 300 nonpower reactor operators are qualified to perform their duties.
Through FY 1999, the NRC will continue to implement its regulation (10 CFR 50.64,
" Limitations on the Use of Highly Enriched Uranium (HEU) in Domestic Non-Power Reactors") requiring domestic nonpower reactors to convert from highly enriched uranium to low-enriched uranium. Of the remaining 12 reactors affected, it is expected that approximately 8 will convert over the next 10 yem.
Standard Reactor Desiens The standardization of nuclear power plant designs can increase the safety, reliability, and availability of nuclear power plants.
The NRC completed rulemaking certifying two evolutionary designs in FY 1997 (the General Electric Advanced Boiling Water Reactor and the ASEA Brown Boveri/ Combustion Engineering System 80+).
The NRC will continue its detailed technical review of the Westinghouse advanced paaive pressurized water reactor design (AP600). Activities associated with resolving the remaining technical and policy items and issuing the Snal design approval, are expected to be completed in late FY 1998 or early FY 1999. This work will be immediately followed by a rulemaking that will certify the AP600 design as an appendix to 10 CFR Part 52.
The NRC will also continue a small effort to develop and implement apphcable rules, policies, and guidance for reactor licensing for future applicants in order to minimize the uncertainty in the licensing process. The NRC will begin with an evaluation oflessons learned from the completed design certification reviews.
46
l l-NUCLEAR REACTOR SAFETY Independent Performance Evaluations The NRC maintains incident and accident investigation programs to ensure that safety-significant operational events involving nuclear power reactors are thoroughly investigated.
These investigations will be conducted in a timely, systematic, and technically sound manner.
Information will be obtained on the causes of the events, including those involving NRC activities, so that the NRC can take timely and effective corrective actions. For events that could be of major significance, an accident reviw group or incident investigation team will be established that is independent of the affected region and program office. For investigating selected less significant operational events, an augmented inspection team will be established t.nder regional direction and compleinented by headquarters personnel, as necessary.
Additionally, broad based team evaluations that are independent of the routine legional'and headquarters performance assessments will be conducted of licensee performance, as necessary.
The NRC conducts incident response activities to ensure that (1) it is prepared to carry out its ole in a radiological emergency at NRC-licensed nuclear reactor and nonreactor facilities, (2) licensee responses are consistent with licensee responsibilities, and (3) NRC responses are coordinated with other Federal response activities and State and local government activities.
To ensure that a reliable and high-quality incident response program ts maintained, the NRC will (1) maintain and implement the NRC incident response program in prepat dion for 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 highly qualified engineers / scientists capable of receiving event reports and recognizing and communicating problems and emergencies to management; (3) coordinate efforts to maintain 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, will manage the Federal response to a severe accident at a nuclear facility; (5) participate in the Federal response to terrorism involving nuclear, biological, and chemical materials (6) maintain the NRC Operations Center and regional functional procedures, response tools, including an emergency telecommunications system, and (7) maintain an active program of training and exercises for emergency responders.
The NRC will review nuclear power reactor licensee event reports (LERs), NRC inspection reports, and U.S. industry reports. It will also screen foreign reactor reports for applicability to the U.S. nuclear program. On the basis of this comprehensive and systematic review of both U.S. and foreign event data sources, significant operating ernts associated with either plant-specific or generic safety issues will be identified and selected for further in-depth 47
l l
NUCLEAR REACTOR SAFETY evaluation. Root causes of the identified deficiencies will be assessed together with the safety significance and generic implications of the deficiencies, and the adequacy of corrective actions implemented and/or planned. The NRC will perform in depth technical evaluations of selected components, systems, system interactions, and human performance and will continue to issue case studies, special studies, engineering evaluations, and technical reviews.
Results, findings, and recommendations to prevent recurrence will be widely disseminated to the staff, the nuclear industry, and the public in a timely manner. In addition, reactor events that are considered to be significant from the standpoint of public health and safety will be reported to the Commission with recommendations that they be considered as " abnormal occurrences." On an annual basis, abnormal occurrences will be reported to the Congress and the public. In FY 1999, the AEOD will continue to evaluate and oversee the agency's review of power reactor operational experience and regulatory effectiveness.
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 operating events and the practices that can limit their likelihnd, the lessons of experience will be effectively communicated to the nuclear power plant industry to maintain and/or improve plant safety. Quantification of the risk significance of events during power operation and reactor shutdown will be enhanced by the development and implementation of improved methods. The effectiveness of NRC and industry actions to resolve safety concerns will be examined through the evaluation and trending of operational experience data. This will also help ensure that lessons learned from operating experience are not lost.
Accident sequence precursor analyses will be used to evaluate potentially risk-significant events when practicable. As appropriate, actions will be initiated to resolve pertinent safety issues.
The NRC will continue collecting, screening, and coding approximately 1,500 commercial power reactor LERs each year into databases for agency access. Information from LERs, which are required by NRC regulation (10 CFR 50.73," Licensee Event Report System"), will continue to be used for the analysis of safety-significant trends. The data from LERs will continue to be coded and entered into databases 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 maintain and streamline, when practicable, the current system for processing LER data. The NRC will also streamline, when practicable, its capability to code and retrieve human-performance, common-cause, and precursor data. The NRC will obtain safety system reliability and availability data to support risk-informed, performance based regulatory applications. Probabilistic risk assessment techniques will be used to quantify the reliability of risk significant safety systems on a plant-by-plant basis. Although information about important events will continue to be required to be reported, changes to reporting 48
NUCLEAR REACTOR SAFETY requirements will be implemented to eliminate the reporting of events of little safety significance. In FY 1999,99 percent of LERs will be reviewed within 1 month of receipt and all LERs within 3 months of receipt.
The NRC will continue to coordinate safety analysis activities with other organizations, such as the Electric Power Research Institute, Institute of Nuclear Power Operations (INPO), and ownem groups, and to provide results to those organizations as appropriate. Component failure data from the equipment performance and information exchange system (EPIX) database, and the Safety System Performance Indicator data (SSPI) voluntarily supported by the U.S. nuclear pwer industry and maintairad by INPO, will continue to be used to support analyses of component and system failures. This data provides component failure data that is complementary to LER data.
During the past several years, the NRC has been developing a reliability-and risk-informed approach to analyzing LER and EPIX data. Insights from probabilistic risk assessments are used to identify components, systems, accident initiators, and safety issues that can be analyzed to quantitatively assess reliability risk trends. Actual operating experience is used to assess equipment performance. The NRC is planning to combine the results of this activity with the accident sequence precursor program to improve identification of risk-significant trends in the U.S. nuclear industry. The NRC will continue to analyze and quantitatively evaluate component and system reliability.
The NRC will also prepare trend information on component and system performance, initiating event frequencies, and human performance to monitor risk implications of changes in industry performance. This includes assessing the most risk-significant 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 conducts activities to identify, 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 information concerning trends in nuclear power plant performance and to assist NRC management in identifying such plants. The NRC's performance indicators will continue to be improved as they are converted to more risk-informed indicators. System reliability analysis results, common cause failure data, and initiating events will be used to supplement the indicators.
Reports showing trends in performance and comparisons with appropriate thresholds for each licensed nuclear power plant and each individual indicator will be provided to NRC senior management to support senior management meetings. Annual reports are disseminated to NRC management, the Commission, and licensees and made available to the public. The NRC will 49
l NUCLEAR REACTOR SAFETY continue to pursue improvements in performance indicators for timely assessment of safety performance.
The NRC is developing a management and operational indicators program which will provide a more objective, consistent, and comprehendible basis for senior management meeting decisions. This program will develop methods for summarizing plant performance data and criteria for decisions related to plant performance.
The NRC will continue to provide reports to and analyze reports from the Incident Reporting System (jointly operated by the Nuclear Energy Agency and the International Atomic Energy Agency).
Attention will continue to be focused on the feedback of operating experience so that the lessons of experience can be used to prevent serious nuclear incidents in the future.
Additionally, nuclear power plant operating events classified at the Alert Level (o tigher) will be classified according to the International Nuclear Event Scale, and reported to the International Atomic Energy Agency.
The NRC will participate in the conduct of regulatory effectiveness assessments by monitoring operating caperience and identifying weaknesses or problems in regulatory oversight programs and activities. Using plant performance information available within the agency an integrated database will be developed and maintained for use in evaluating overall regulatory effectiveness.
The Committee To Review Generic Requirements reviews generic requirements for power reactors and considers the feasibility of backfitting new requirements, as applicable. This committee will continue to provide agencywide review and recommendations to the Executive Director for Operations regarding approval or disapproval of proposed changes to generic requirements and staff positions applicable to power reactors. The committee will focus on 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 NRL.csources while ensuring adequate protection of public health and safety and furthering the review of new, cost-effective requirements and positions.
Reactor Technical Trainine Reactor Technical Training is conducted to ensure that NRC staff possess the requisite knowledge, skills, and abilities and competencies to accomplish the mission of the agency.
Under this activity, technical training is provided for formal NRC staff qualification, development, and training programs in support of the reactor program. The NRC will 50 I
i
., NUCI FAR HACTOR SAFETY
. continue to maintain the Technical Training Center (TTC) and manage the technical training program for NRC staff. Curriculum areas in support of the training program _will be-maintained in reactor technology, probabilistic risk assessment, engineering support, radiation protection, security and safeguards, fuel cycle technology, and regulatory skills. Tecimic'al-trainingLwill continue to be provided using the principles of the systems approach for training -
which is a standard, multiphase program that includes needs analysis, program design and development, implementation of training, and program evaluation.
The reactor technical training program will cortinue to include approximately 60 reactor technology courses and 85 courses in specialized technical training areas. A spectrum of reactor technology training.will be provided for-the General Electric, Westinghouse, Combustion Engineering, and Babcock and Wilcox reactor designs to meet the agency's needs with the highest priority, including an integrated series of classroom and simulator courses for NRC staff. Technical training of regulatory personne' from other countries to assist in the development of knowledge of nuclear technology and iegulatory skills will be provided on e.
" space available" basis. In F.Y 1999, the NRC will provide 90 percent of the numbers and
. types of courses required by the offices and regions.
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 or development programs. In addition,' technical training will be availeble for NRC technical managers.
Training of headquarters and regional reactor inspectors, operator license examiners, and headquarters operations officers on vendor-specific plant designs, operation, and emergency operating procedures, and technical issues will continue. Major curriculu n adjustments to bxst satisfy the highest priority regional and program office training needs will -
continue.
l The NRC will respond to reactive training needs in reactor technology as identified by job and task analyses and agency management through forums such as'the training focus groups, division director counterpart meetings, and senior management meetings. The NRC will provide technical training to support special staff development programs. During this period,-
a limited amount of technical training will be provided in specialized areas to supplement the initial training provided to technical staff of a particular category. This training provides selected technical staff with specific expertise in areas for which all technical staff do not require the expertise.
The NRC will develop and implement new and expanded technical training, as resources permit, in areas identified by program offices and regions. This includes new training courses to support the agencywide probabilistic risk assessment implementation plan, training in digital 51
NUCIRAR REACTOR SAFETY ~
l instrumentation and control, and new training determined to be necessary by technical training l
needs'_ surveys.
In addition, reactor concepts training will be provided for employee orientation.
The NRC.will continue to maintain full-scope training simulators at the TTC to support NRC initial qualification and refresher programs. This includes 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 will continue-to be updated'to-the extent practicable to meet NP.C reactor
- technology training needs. This will include replacing older simulation models to improve -
1 performance and make the models transportable to other simulation platforms.
' The NRC will continue the development of workstation-based simulation to show parameters,.
. system responses, and scenarios in a classroom setting. This activity, which enhances the
.NRC's understanding of complex events, involves the use of advanced simulation codes to mcet the NRC's reactor technology training needs. In FY 1999, the NRC will con _tinue to develop NRC reactor technology instructors in - two reactor technology areas. through completion of initial qualification and maintenance of formal qualification status through formal classroom training and current knowledge of events, technical issues, and operational -
- feedback.
Reactor Enforcement Actions The NRC's enforcement program is used as a. deterrent to emphasize the importance of compliance with requirements and to encourage prompt identification and comprehensive
- correction _of violations. =The basic enforcement sanctions are notices of violations, civil monetarf penalties, and various enforcement orders. -The nature and extent of the enforcement-action taken by se NRC reflect the seriousness of the violation involved.
l The NRC expects to consider approximately 300-400 potentially escalated and 2,000 non--
escalated reactor enforcement actions in FY 1999. As the number and types of enforcement
- actions taken in any period of time are a function of the number oflicensees and the licensees' performance, it is difficult to predict future activity levels. However, previous enforcement activity has been as follows:
52
i NUCLEAR REACTOR SAFETY Reactor Enforcement Fiscal Actions Resulting Notices of Violation Xsar Considered Civil Penalties Without Civil Penmity Orders Issued 1995 158 252 26 1
1996
280 50 38 4
1997 397 71 41 10
Reflects a change in the threshold for considering escalated actions.
2/ The information for FY 1995 and FY 1996 was based on enforcement actions issued to licensees. Because an enforcement case or enforcement action can include more than one escalated enforcement item or issue, FY 1997 data is based on accounting for escalated enforcement items. Therefore, for consistency, data for the prior two fiscal years have been adjusted to reflect this method of accounting.
The NRC also monitors discrimination actions filed with the U.S. Department of Labor under Section 211 of the Energy Reorganization Act and develops enforcement actions where there are properly supported I'mdings of discrimination, either from the Office ofInvestigations or -
from the Department of Labor adjudications.
Reactor Investigations The NRC investigates allegations of wrongdoing by NRC reactor licensees, and others within its regulatory jurisdiction. All f'mdings and conclusions that result from investigations are sent to the appropriate program office, the Office of Enforcement and the Office of the General Counsel for review of the issues involved and a determination as to whether enforcement action is warranted.
Investigations that substantiate criminal violations concerning NRC licensees and others within the NRC's regulatory jurisdiction are referred to the U.S.
Department of Justice. In FY 1999, the NRC anticipates investigating an inventory of approximately 260--300 cases and that 150-190 new reactor cases will be opened. NRC anticipates reducing the average time to complete investigations by 5 percent in FY 1999. In addition to managing its own caseload, the NRC works closely with other investigative agencies and organizations to ensure the timely exchange ofinformation of mutual interest.
53
NUCLEAR REACTOR SAFETY Reactor and Plant Performance Research The NRC conducts reactor and plant performance research to provide an in-depth examination and understanding of operating experience and plant transients experienced by the nuclear l
industry, including evaluations of overall plant risk; understand and provide a technical basis for acceptance of operator / control-system designs considering effects on human and total systems performance; gain an understanding of ways to prevent and mitigate the consequences of severe core damage or core-melt accidents in nuclear power reactors; and manage the development of revised reactor-related regulations, policy statements, and regulatory guides that incorporate research results and lessons learned from operating experience. The NRC conducts numerous programs of cooperative research with both international and domestic organizations. Research is focused in the following areas:
Thermal Hydraulics and Reactor Physics--Understanding safety-significant abnormal operations and plant transients experienced by the nuclear industry is an important element in the NRC's continuing efforts to maintain an adequate margin of safety. 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 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.
Research is being conducted to provide validated methods to evaluate design-basis accidents, the safety implications of actual operating events and hypothetical transient scenarios determined to be major contributors to risk as shown by probabilistic risk assessments and past 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 in response 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. The capability of the computer codes to predict plant response with an acceptable uncertainty is improved by validating the codes 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 r. single, complex component; and (3) integral system experiments to evaluate the code predictions for a complete reactor system.
54
NUCLEAR RE ACTOR SAFETY The use of complex computer codes is a major part of the NRC's independent capability for analyzing technical information pertaining to reactor safety. This ability is provided by a group of computer codes that model thermal-hydraulic and reactor physics phenomena that occur in reactor systems. The NRC will continue to maintain and improve the TRAC-P and RELAPS computer codes. RELAPS is a light water reactor transient analysis code used to support rulemaking and to evaluate generic safety issues, audit licensee submittals, and analyze unresolved safety issues. RELAPS is also a basic component of the nuclear plant analyzer (NPA). The NPA is operational at NRC headquarters to provide an in-house analysis capability to evaluate accident management strategies 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-B, RAMONA-4B) will also be maintained to ensure these codes reflect the latest results of foreign and domestic safety experiments and recent operating events. The TRAC-P code is used for PWR non-sma"-break loss-of-coolant accidents (LOCA) analyses, whereas the TRAC-B and RAMONA-4B codes are used for BWR analyses. RELAPS can analyze PWR or BWR plant small-break LOCAs under a variety of accident or transient conditions. In FY 1998, the TRAC-P and the TRAC-B and the RAMONA-4B codes will be consolidated; however, TRAC-P and TRAC-B codes will continue to be maintained while a performance assessment of the consolidated TRAC code is performed.
In FY 1999, the NRC will continue administering the international cooperative CAMP program.
Also in FY 1999, the TRAC-P modeling capability for small break LOCA (SBLOCA) will be implemented in the consolidated TRAC code, and a modernized version of the TRAC-P code will be internally released.
NRC nuclear power plant transient codes are essential to maintaining a strong and effective regulatory program by directly supporting the analysis ofissues, among which are increased power ratings, risk-informed regulation, and analyses of operating events. Inefficiencies inherent in maintaining a number of separate codes by a number of contractors, as well as the growing obsolescence in the face of state-of-the-art computer technology, have become significant. A simplified, single, comprehensive, updated code is necessary for the NRC to realize cost savings associated with code maintenance and modification, as well as to develop and maintain more knowledgeable in-house expertise.
A thermal-hydraulic test capability must be maintained to produce separate-effects and integral test data for code assessment as well as to understand plant behavior. Such data aie essential for code assessment as well as for maintaining expertise in the thermal hydraulic area. The NRC will continue to maintain the 1/4-scale BWR facility at Purdue University, the 1/4-scale PWR facility at Oregon State University (OSU), and the 1/4-scale Babcock and Wilcox type 55 l
i NUCLEAR REACTOR SAFETY facility at the University of Maryland at College Park. Currently, the Purdue and OSU facilities are being used in support of RELAP assessment, and the Maryland facility is being used in support of bomn mixing studies.
In FY 1999, experiments will continue to be performed at the integral test facilities to develop the data needed to assess the consolidated code at the different stages of the consolidation.
Approximately 8 tests will be performed in each facility. These tests will consist of fundamental and separate effect tests to develop models that have been identified, through code assessments, as deficient.
Using state-of-the-art instrumentation, the following phenomena will be studied and data will be developed: interfacial area measurements, flashing phenomena in stagnant fluid, entrainment, deposition, droplet size, fill thickness, and interfacial shear in annular flow.
Fuel Behavior-Several safety limits used by the NRC to ensure reactor safety are related to fuel damage. NRC fuel performance codes do not include models that account for the very high burnups being pursued by the industry. Likewise, NRC criteria for evaluating cladding integrity at high burnup may not be correct. The NRC will continue efforts to update the codes, obtain experimental data to modify the criteria (mainly through international cooperative agreements, including the Halden Reactor Project), and propose modified criteria.
Advanced Instrumentation and Controls (I&C)-This work develops the technical basis for regulato: ; guidelines and criteria to evaluate the quality and completeness of software used in safety systems and for the interface between the plant and the human users along with guidelines on the environmental qualification of digital equipment. Utilities are adapting digital I&C technology into nuclear power plants (NPPs) and advanced designs. It is expected that as experience is accrued in NPPs, this trend is likely to continue and could increase. This effort addresses advanced I&C systems being applied to both current and advanced plants and covers hardware qualifications, human-system interfaces, software quality, and total systems considerations. Support for the advanced I&C and human factors aspects of the OECD Halden Reactor Project is included. Review guidance will be completed for protection ofI&C systems against moisture, temperature, humidity, and radiation, as well as for software quality and the human issues associated with display navigation. Based upon advice from the ACRS, the NRC has decided to revise its guidance relative to the threat oflightning to advanced I&C systems.
By the end of FY 1999, the NRC will: complete final guidance on the qualification of advanced I&C equipment to protect against moisture, temperature, humidity, electromagnetic interference (EFI) and radio-frequency interference (RFI); develop review guidance on programming languages and any undesirable programming practices that can potentially have 56
NUCLEAR REACTOR SAFETY an adverse affect on safety-critical functions; provide review guidance on the interface management aspects of advanced human-system interfaces to reduce errors associated with display navigation; complete Regulatory Guides endorsing industry standards applicable to software quality assurance; and prepare revisions to guidance addressing the threat to advanced I&C in safety critical systems due to lightning.
Human Factors and Organizational Performance-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 assess the effects of the design and qualification of instrumentation and control system displays on human performance, (3) analyze the effectiveness of the interface between the nuclear power plant system and the human user in improving operator performance, and (4) develop improved methods and data for human reliability analysis. Research results will be used to identify, systematically prioritize, and suggest solutions to human performance issues in the maintenance and operation of nuclear facilities during normal, abnormal, and emergency situations.
Specifically, resea-ch in this area includes (1) revision of the human performance investigation process to ensure that the root causes of events involving human performance have indeed been determined, (2) development of review guidance resulting from research on the effects on operator performance of combining both conventional and digital instrumentation and control systems technologies in the same control station, (3) evaluation of organizational performance and its relation to plant performance, including measures and methods, and (4) development ofimproved human reliability analysis methods and data.
Severe Accident Risk-In addition to routine operations, the NRC is concerned about severe reactor accidents. Severe accidents have the potential to adversely affect public health and safety by resulting in the accidental release of radioactive fission products to the environment.
NRC efforts are directed toward reducing the risk associated with nuclear power plant severe accidents by requiring design and operating strategies to prevent or ameliorate their consequences. The NRC accomplishes this by (1) improving understanding of dominant severe accident phenomena; (2) identifying and evaluating methods to prevent and/or mitigate the consequences of severe accidents; (3) developing methods and tools to analyze the consequences and risks associated with severe accidents; and (4) determining whether severe accident research results warrant revisions to NRC regulations or policies. Results of these efforts will be applied in staffimplementation of the Commission's severe accident, safety goals, and backfit policies.
57
NUCIJAR Its' ACTOR SAFETY i-During FYU1999, the NRC will also continue to-participate in selected international
)
cooperative programs -.(PHEBUS, RASPLAV. _and FARO /KROTOS) ' to improve our '
.l
. understanding of severe accident phenomena and the effectiveness of design and mitigation
)
features. International cooperative research programs are directed toward obtaining data for code assessments.and. to resolve remaining - fundamental severe accident safety issues (i.e., in-vessel retention of molten core material and steam explosions).
1 Fuel-coolant interactions (FCIs) are inherent in almost all severe accident scenarios. Further,
~
accident management' strategies involve deliberate addition of water to the reactor vessel and/or reactor cavity. ~ Potentially energetic FCIs can occur from molten fuel pouring into water and can challenge containment integrity E perimental wo k i b is. e ng performed under x
r cooperative programs, FARO and KROTOS, conducted at the Joint Research Center (Ispra) to gain a more complete understanding of FCI mechanisms and phenomena.- In FY 1999, melt spreading'and quenching tests will be conducted under the international FARO program.
Steam explosion experiments will be conducted under the KROTOS program.
- A major focus of severe accident research has been the assessment of the mechanisms and n
potential for lower head failure under various severe accident conditions. Research has also
. evaluated the efficacy of accident management strategies to prevent vessel failure. In FY_1999
- cooperative research will address failure mechanisms of reactor vessels in the absence of cooling and the phenomena contributing to both the heating and cooling of the reactor vessel i
lower head.
4
- Severe accident research on source term behavior has not currently addressed the implications fo' the use of high burnup fuel -In FY= 1999, the NRC will complete its assessment of the r
4 effect of high burnup fuels. Under the PHEBUS project in FY 1999, plans have been J
established to conduct the FPT-2 test to examine the effects of a reducing (steam starved) environment on the fission product release from a degraded core.
Severe accident codes provide the analytical tools required to evaluate issues related to severe
. accidents.~ The NRC has developed se eral codes for the analysis of severe accidents. These codes are used in probabilistic risk assessments (PRAs), in the resolution of severe accident issues,' and.in providing the basis for changes in regulatory practices. The main codes developed ~and planned to be maintained are (1) MELCOR--for whole plant integrated and
. PRA analysis, (2) SCDAP/RELAP--for analyzing core-melt progression in-vessel and primary system behavior, (3) CONTAIN--for analyzing detailed containment behavior under severe accident conditioas, and (4) VICTORIA--for analyzing source terms in the primary coolant system under severe accident conditions. The NRC also maintains specialized tools to assess FCI behavior and state of the art 3-D containment mod: ling.
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In FY 1999, MELCOR activities will be directed towards improvement of modeling of refiood of a degraded core and continued assessment of the code against relevant experimental data.
In FY 1999, SCDAP/REI.APS e.ctivities will focus on enhanced treatment of clad oxidation
' and ballooning to improve core degradation predictions. CONTAIN maintenance in FY 1999, will address qualification of the code for design basis ~ analysis.. The) VICTORIA' code in FY 1999 will continue to be assessed against PHEBUS data and applied to select plant issues and analysis.
Reactor Prohnbilistic. Risk Analysis-The NRC will continue to undertake a number of..
activities intended to increase the consideration of risk significance in its decision processes through the effective use of risk-informed technologies such as probabilistic risk assessment.
(PRA). Research is needed to support the development of guidance and methods to be used.:
by the stafito ensure uniform, comprehensive application of PRA methods in resolving reactor -
licensing issues and related rulemakings.. Guidance also needs to be developed and issued to.
the industry regarding methods, datt., and information that the NRC will consider acceptable -
to support actions that utilize PRA analysis. The NRC, in conjunction with industry-sponsored pilot programs, is developing this guidance in the form of regulatory guides and standard review. plan sections in specific areas.. The NRC, in _ conjunction with professional.
organizations, is also developing consensus industry standards on PRA quality.
PRA methods'must be improved to support risk-informed regulation. Certain areas have been identified where large uncertainties remain in the ability to model phenomena and quantify risk, thus leaving critical gaps in the quantification of overall plant risk and the ability to comprehensively apply risk-informed regulation. Research will result in new or improved
-methods for PRA analysis in the areas of low power and shutdown accident risk,- human-reliability and organizational performance risk analysis, fire risk, plant aging, and digital instrumentation and control. In addition, to facilitate risk analysis, NRC has developed computer codes (SAPHIRE) to model plant-specific systems and allow analysis of plant changes and sensitivities.
l During FY; 1999, the NRC expects to initiate development of new application-specific Regulatory Guides in response to industry and program office needs for risk-informed-regulation.
In FY 1999 the NRC will continue to organize and conduct an international cooperative research program on PRA, will continue development of improved aging risk and fire risk-analysis.nethods, and will continue development of digital systems and software risk analysis methods.
59 1
l
NUCLEAR REACTOR SAFETY During FY 1999, work will be initiated on risk associated with low power and shutdown l
operation, and candidate plants and plant states will be selected for analysis, and to collect l
data. Also in FY 1999, the NRC will continue to select candidate follow-on items for the IPE/IPEEE, and will continue development and expansion of ASP models.
IPE/IPEEE Reviews-The Commission's severe accident policy calls for the examination of individual plant susceptibilities to (1) severe accidents (i.e., the individual plant examination (IPE) program) and (2) severe external events such as floods and earthquakes (i.e., the IPE External Event Evaluations (IPEEE) program), as well as the identification and evaluation of potential improvements. The NRC will analyze the information from the review oflicensee IPE submittals to determine if regulatory follow-up actions are appropriate. The NRC will continue reviewing licensee IPEEE reports and collecting and interpreting the supporting data for more general perspectives and use in the agency's risk-informed regulation activities.
Regulatory Guidance--The NRC develops reactor regulations and related standards regulatory guidance to implement Commission policy and procedures in an independent, open, clear, efficient, reliable, and timely manner. Rulemakings are included in the NRC rulemaking activity plan, which is reviewed and updated semiannually to determine whether previously initiated rules should be continued, redirected, or terminateu based on a safety benefit and cost analysis. The rulemaking activity plan also includes priorities for all ongoing and planned rules to allow effective allocation of resources in a manner consistent with Commission policy.
Reactor Regulatory Standards--In FY 1999, the NRC will monitor ongoing health effects research and operating experience and develop appropriate reactor-related regulations or regulatory guidance to address needs identified on the basis of this information. The NRC expects to complete one to two petitions for reactor standards rulemaking, conduct three to five individual rulemakings, develop three to five rulemaking plans applicable to reactor licensees, issue proposed or final rules, perform the associated regulatory impact analyses, and develop one to two regulatory guides if applicable.
The NRC will continue to work, prioritize, and evaluate the need for approximately 90 rules identified as candidates for revision or elimination through the agency's participation in the National Performance Review. The NRC will also continue to implement changes in these and other existing reactor regulations and regulatory requirements that have a large economic impact but that can be eliminated or modified without significantly reducing safety. These changes will allow licensees to redirect resources to more important safety issues.
Reactor Radiation Protection--This work involves developing the technical basis for radiation protection standards to minimize the adverse consequences of exposure to ionizing 60
NUCLEAR REACTOR SAFETY radiation from licensed reactor activities.
Changes to regulatory requirements, policy statements, and guidance for reactor facilities are closely coorr%ated with other NRC offices, the nuclear industry, and the public. The NRC will cont;.ule to support the review and analysis of health effects information and provide research and operational support funds for the working groups of the International Commission on Radiological Protection, the National Council on Radiation Protection and Measurements, and the National Academy of Sciences.
These organizations are developing and coordinating recommendations on a wide variety of subjects in radiation protection, including a reevaluation of the linear dose hypothesis, and dose-risk relationships, all of which are used by the NRC in ensuring continued safety of workers and the public.
In FY 1999, the NRC expects to complete one to two reactor radiation protection petitions for rulemaking, conduct three to four individual rulemakings, develop three to four rulemaking plans applicable to reactor licensees, issue proposed or f' mal rules, perform the associated regulatory impact analyses, and develop one to two regulatory guides if applicable.
The NRC will continue to provide statistical summaries of worker radiation exposure data as part of the Radiation Exposure Information Reporting Systems and will continue to process termination reports and implement the new 10 CFR Part 20 reporting requirements. The NRC will work with the National Cancer Institute, the Department of Energy, and other organizations to develop and implement a national worker exposure database to support health effects studies. The NRC will continue to monitor health effects research and operating experience.
TechnicalInformation Exchange--This effort consists of two primary components: support provided to the Energy Science and Technology Software Center (ESTSC) at the Oak Ridge National Laboratory (ORNL) and conducting the annual NRC-sponsored Water Reactor Safety Information Meeting. The ESTSC has served the NRC for five years as the resource for screening, testing, and distributing NRC's analytical codes. The Center also publishes documents announcing the energy-related code; and maintains foreign information exchange arrangements that assist in making NRC's codes available to the public here and abroad. The Water Reactor Safety Information Meeting is a world-class research meeting that showcases domestic and international water reactor research results. Between 300 and 400 attendees attend annually from domestic and foreign organizations where research papers are presented highlighting current topics of interest.
Research Program Direction and Evaluation-This category describes management initiatives / activities that apply to the entire research program.
61 l
1
NUCIJ AR HACTOR SAFETY :
i During FY-1998 through FY 2001, the NRC will apply a methodology developed in FY 1997 i
to assess the value of major research products based on_their outcomes. Major products completed in the prior year (s) will be assessed.-
In early FY 1998,-the NRC will establish a preliminary assessment of core research capabilities, which will also appropriately consider cooperative research efforts. Within six months after Commission preliminary approval, the NRC will obtain the views of advisory and industry organizations and submit a final core capabilities assessment to the Commission for -
approval. During FY 1999 through FY 2001, the NRC-will update its core capability assessment tq assure that the need for core skills (both_ NRC and contractors) and core experimental facilities are maintained consistent with changes in the regulatory / contractor environment
-Using the Commission-approved core research capabilities as a base, the NRC will develop and maintain each year, FY 1998-FY 2001, a list ofin-house technical skills that are needed to support tie regulatory needs of the agency. The NRC will manage its training and recruitment programs to maintain this skill base.
- Reactor Mate rials and Component Behavior Research The integrity;of key passive and active _ components in a nuclear reactor system must be maintained to' assure that control rods can be inserted to shut down the chain reaction, that-there is no blo;;kage of the coolant flow needed to remove heat and assure no fuel damage, and to maintain adequate levels of cooling water in the reactor. Aging affects virtually all these active and paisive components. It stems from exposure to reactor operating temperatures, irradiation environments, the water coolant (both primary and secondary systems), cyclic operation (fatigue), and general wear.
However the specific aging-related degradation mechanisms of components can be difficult to identify, and their effects'can be difficult to quantify. Thusc research is needed to provide the data and analysis tools necessary to identify, quantify, manage and regulate the effects of aging in nuclear power plants.- - Also, reactor =
safety issues that affect more than one operating plant (Generic Safety Issues) are prioritized,
- analyzed, and resolved.
The assessment of the' safety implications of aging will be used as the basis for ensuring continued safe oxration and making decisions on extending reactor operation beyond the original license ;criod of 40 years. The NRC reactor aging research program is focused on eight areas: (1) reactor vessel integrity, (2) environmentally assisted cracking in LWR's,-
(3) nondestructlye examination procedures and techniques, (4) steam generator integrity, 62 1
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NUCLEAR REACTOR SAFETY (5) mechanical / electrical components and piping, (6) containment integrity and structural aging, (7) structural and civil engineering, and (8) generic safety issue resolution.
Reactor Vessel Integrity--The reactor pressure vessel is susceptible to several forms of degradation with reactor irradiation embrittlement being the most important. Since reactor pressure vessel embrittlement issues can effectively limit the useful life of a nuclear power plant, evaluations of the variability in chemistry and mechanical properties of reactor pressure vessel materials are being performed and methods for mitigating the embrittlement have been sought. Since ensuring reactor pressure vessel integrity is fundamental to ensuring nuclear plant safety, the NRC is conducting both confirmatory and anticipatory research to address reactor pressure vessel integrity issues. The research involves experimental and analytical efforts addressing embrittlement, thermal annealing, and reactor pressure vessel integrity evaluation methods. The research includes strong emphasis on understanding the controlling factors so that empirical databases can be confidently employed to evaluate plant-specific conditions, and on experimental validation of the analysis methods and predictive models.
Research will provide improved and more reliable methods for assessing irradiation effects on reactor pressure vessel steels and fracture behavior of embrittled reactor pressure vessel materials. This information is required to ensure reactor pressure vessel integrity, establish appropriate nargins for integrity assessments, and assess proposed revisions to plant operating limits.
Environmentally Assisted Cracking in LWR's--As reactors age and reactor components approach their end oflife, environmentally assisted cracking (e.g., effects of water coolant, temperature, irradiation level, etc.) continues to be a problem in components critical to safety, such as reactor internals and piping nozzles. The NRC is making regulatory decisions regarding continued operation and repair methods for these cracked components, and needs independent data and analyses to assess licensee submittals concerning residual life, inspection intervals, and repair and mitigation techniques.
Research on methods for predicting environmentally assisted cracking of alloys used in critical structures and assessing the implications of these phenomena will be conducted.
Non-destructive Examination Procedures and Techniques--NRC regulations require licensees to perform inservice inspections (Isis) of specific components during the plant lifetime. The NRC needs to ensure that significant flaws in important components are characterized so as to be able to independently evaluate the effectiveness of existing licensee In Service Inspection (ISI) programs. Research will be conducted to evaluate the reliability and accuracy of existing ISI programs for detecting and sizing flaws in components, assess techniques for inspecting difficult inspection areas, assess the implementation of risk-ranking concepts in the development ofISI programs, evaluate improvements in ISI programs, assess 63
i NUCLEAR REACTOR SAFETY methods for incorporating the results ofISI of working vessels into a general methodology to predict flaw size and density distribution for use in pressurized thermal shock analysis; and provide technical support and consultation on general ISI issues. As a part of the NRC's policy on risk-informed regulation, activities are under way to review risk-infonned inservice inspection of piping and components at selected pilot plants.
Steam Generator Integrity -The tubing inside pressurized water reactor steam generators constitutes more than 50 percent of the primary pressure boundary surface and is an important barrier to the release of fission products to the environment. Steam generator tubing has been susceptible to several types of degradation that have changed over time. Denting and wastage were prevalent in the 1970s, but stress corrosion cracking and intergranular attack are the dominant forms today. The continuing evolution :n types of degradation, and its severity, has created a situation where the models used to preat tube integrity are not always appropriate for current applications. Further, the degradation is difficult to detect and characterize (e.g., to determine its depth and length) even using state-of-the-art inspection techniques. The NRC is developing performance based regulatory guidance for use when assessing the integrity of steam generator tubes. This regulatory guidance is intended to permit licensees to develop and implement programs that can address plant-specific degradation as it evolves. However, research is needed to support implementation of certain aspects of the regulatory guide.
Research will provide independent data, methods, predictive models, and criteria to evaluate licensee programs designed to meet the performance criteria of the guide. The research will address any new forms of steam generator tube degradation that may develop, inspection capabilities, degradation processes, leak and rupture analysis methods, metallurgical assessments, pressure tests of service-degraded tubes, and potential impact of steam generator tube degradation on severe accident analysis.
Mechanical / Electrical Components and Piping--As plants age, the integrity and reliability of electrical and mechanical components and piping can be challenged by age-related degradation. The NRC needs techniques and data to provide an independent basis for evaluating emerging issues and licensee programs for addressing those issues. The NRC promulgated 10 CFR 50.49," Environmental Qualification of Electric Equipment Important to Safety for Nuclear Power Plants," to provide a basis for ensuring the operability of key electric equipment after an accident. The regulatory requirements for demonstrating the environmental qualification of electric cables are based on engineering judgment in addressing aging effects due to temperature and irradiation on cable insulation rather than confirmatory experiments.
Research is needed to confirm the adequacy of the environmemal qualification requirements for safety-related cables inside the containment. Research will evaluate condition monitoring methods and the survivability of actual aged cable insulating materials removed from operating plants to withstand loss-of-coolant-accident (LOCA) conditions.
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NUCLEAR REACTOR SAFETY
[
Because of the potential safety significance of common mode failures and operational degradation of safety-critical mechanical components and the need for independent assessments and data in support of regulatory decisions, the NRC is conducting both exploratory and confirmatory research addressing the integrity and reliability of mechanical components and the inspection, surveillance, test, and maintenance programs designed to ensure their integrity and reliability. The research program includes experimental efferts to provide data to address specific performance issues and analytical efforts to assess operability and reliability data based on service experience.
Research also is continuing in support of developing regulatory guidance on performing leak-before-break evaluations for piping systems.
Containment Integrity and Structural Aging-For beyond-design-basis accidents, the failure modes and associated failure loads for containment structures have not been fully validated.
Also, recent experience and research results suggest that corrosion effects may significantly degrade the margin that containments have to accommodate design-br,is accidents and beyond.
Research on failure modes for current containment types will provide the bases for evaluating both the performance of containments in accidents beyond the design basis and evaluating the impact of containment degradation on the capability to withstand design basis loads.
The major effort in this program for the past few years has been a cooperative one with the Ministry of International Trade and Industry (MITI) of Japan. Two areas of cooperative research are being pursued--one dealing with steel containments used in both the United States and Japan for BWR designs, the other relating to pre-stressed concrete containments.
In December 1996, a model, representative of the major elements of steel BWR containments, was tested to failure at Sandia National Laboratories (SNL), in Albuquerque, NM. The model, as expected, sustained pressure (provided by nitrogen gas) far beyond its design level. The test results will be compared with pre-test predictions of the response at 43 locations made by participating groups from five countries. Post-test comparisons of predictions with actual measurements will show the ability of analytical methods to accurately predict the overall behavior of the test model. Results of this type, when combined with information about penetration capacity, can be used to calibrate predictions of capacity for actual containments.
Construction has begun at SNL on the pre-stressed concrete containment model which was designed in Japan by Mitsubishi Heavy Industries. Fabrication of the liner by Mitsubishi Heavy Industries in Kobe, Japan, was completed last September. Instrumentation of the model will be conducted in FY 1998-1999, partly in parallel with the on-site model construction.
Testing of the model will take place late in 1999.
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NDCLEAR REACTOR SAFETY In a continuing program, the NRC is assessing state-of-the-art, nondestruciive testing techniques for examining steel containments and the liners of concrete containments. As part of this program, statistically based sampling plans will be developed to provide confidence limits on detection of corrosion occurrence. In a parallel effort, the NRC is also investigating the capability of analytical methods to account for the effects of corrosion on the capacity of steel containments to withstand static internal over pressurization loads.
The NRC is continuing a program to address aging of safety-related Category I structures and passive components and effects of aging in response to seismic loading. Although it is generally believed that degraded structures and components in operating nuclear power plants in the United States have adequate safety margin left in them to resist normal operating loads, these structures and components nc:d to be assessed to ensure that they can still withstand external stressors such as seismic loading. To date, most licensees assigned a low priority to the monitoring of structures, and some incorrectly assumed that many of their structures are inherently reliable.
The evaluation of seismic loading is important because degraded structures and components are more vulnerable to seismic loads than when they were new, and the seismic loads affect the entire structure or components. The degradation may affect dynamic properties, structural response, resistance or capacity, failure modes, and locations of failure modes.
An international cooperative program has been initiated to address the issue of the seismic response of degraded structures and compont.nts and to augment the aforementioned material property database by using the experience of nuclear power plants worldwide. On the basis of the insights and lessons learned from this program, a technical basis will be established for each participating country to develop guidelines to address the seismic capability of degraded structures and components for continued and extended service.
Structural and Civil Engineering--Research in this area covers broad disciplines of structural and civil engineering and earth science (seismology, geology, meteorology, etc.). The focus of the research is on response of structures and components in internal and external loading and determination of site suitability and loading resulting from natural phenomena such as earthquakes and hurricanes.
A limited number of activities to improve the NRC's ability to evaluate the effects of potential earthquakes on nuclear power plant operations are being supported. The results of this program arc integrated into activities to develop a unified seismic hazard assessment method.
The NRC will also continue to evaluate and analyze the data collected from the National Seismographic Network, a long-term project to continually improve the understanding of 66
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NUCIR AR RF ACTOk SAFETY physical processes associated with 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 propagation of damaging seismic ground motion.
In the response area, the NRC will continue to obtain data to evaluate the performance of-structures, systems, and components when subjected to natural hazards such as earthquakes, high-winds, and floods. As a result of the limited available recorded seismic data in the United States, each earthquake provides new insights and new potentially significant -
information. Such information may prompt the NRC to reevaluate earlier licensing decisions or. confirm assumptions made in earlier decisions. For example, as. new seismological information and research results became available, the seismic design basis of operating plants is continually reassessed. ^ Also, general calculations.made by the National Oceanic and Atmospheric Administration for broad _ areas indicate that the surge levels due to hurricanes may be higher than those previously predicted for reactor sites. NRC is continuing an effort to improve the predicted response of nuclear power plants to external events greater than those considered in design;'at issue is whether potential changes to the design bases can be -
' accommodated within - the inherent capacity. of the -original design.or-whether plant modifications are necessary. The data from this research will continue to be used to help ensure the safety of nuclear power plants and materials facilities by enabling the NRC to (1) evaluate calculational methods used in the analysis; (2) assess actual performance of structures, systems, and components in past earthquakes; and (3) validate design codes and probabilistic risk assessment (severe accident) techniques.-
Generic _ Safety Issue Resolution--Once research projects are completed, the results are incorporated into the regulatory process as expeditiously as practicable. This includes resolving generic safety issues' pertaining to reactor and plant system design and plant-operations.
I Generic safety issues 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. As appropriate, resolutions of generic safety issues are transmitted to the industry through issuance of generic letters, information notices, or rule changes. Implementation procedures for resolving generic -
safety issues are occasionally developed in conjunction with organizations such as the Nuclear Energy Institute and. nuclear plant owners groups. In FY 1999, approximately two generic safety issues are scheduled to be resolved.
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i NUCLEAR REACTOR SAFETY Reactor Legal Advice The Office of the General Counsel (OGC) will continue to provide legal advice and assistance to the NRC staff and the Commission with respect to all matters related to nuclear reactor safety and research and the environmental impacts of nuclear reactor operation. In FY 1999, this will include issuance of licensing actions (such as those associated with license amendments, the adoption of improved technical specifications, license renewal, and advanced reactor activities), enforcement actions, conduct of investigations, promulgation of NRC regulations and regulatory guides, responses to petitions for rulemaking, and regulatory interpretations. The OGC will continue to represent the NRC staf?in adjudications arising V
from proposed reactor licensing and enforcement actions; represent the Commission in lawsuits arising from adjudicatory and rulemaking decisions relating to reactors; will provide legal advice and assistance with respect to all matters related to reactor research programs, including contractual advice; and provide legal analyses of regulations, statutes, and cases relevant to NRC activities.
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pm l
NUCLEAR MATERIALS SAFETY t
~ ~ - - _
I NUCLEAR MATERIALS SAFETY (Dollar amounts in tables represent thousands of dollars ($K). In text, whole dollar amounts are used, Staff numbers represent full time equivalents (FTEs).)
Total F Y 1999 Estimate.......................................
$48,869,000 FY 1999 Estimate i
FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Budget Authority by Function (SK)
Salaries and Benefits 34,676 35,758 36,404 646 Contract Support 8,231 7,880 10,050 2,170 Travel 2,243 2,704 2,415
-289 Total 45,150 46,342 48,869 2.527 Budget Authority by Program (SK)
Fuel Facilities Licensing and Inspection-Safety 8,985 7,852 8,583 731 Nuclear Materials Users Licensing and 16,250 16,429 17,037 608 Inspection Medical Oversight 358 500 535 35 Uranium Recovery Licensing and Inspection 3,750 3,971 3,945
-26 Agreement State Program, State Liaison and Performance Evaluation 3,419 3.773 4,031 258 Independent Performance Evaluation 791 600 1.206 606 Materials Technical Training 750 1,086 920
-166 Materials Enforcement Actions 862 868 889 21 Materials Investigations 1,442 1,448 1,614 166 Materials Research and Regulation Development 3,343 5,096 5,143 47 Materials Legal Advice 1,700 1,719 1,766 47 Regulation of the Department of Energy (DOE) 3,500 3,000 3.200 200 _
Total 45,150 46,342 48,869 2,52, 70
NUCLEAR MATERIALS SAFETY FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Fut Time Equivalent Employment by Program Fuel Facilities Licensing and Inspection-Safety 83 70 69
-1 Nuclear Materials Users Licensing and 160 155 148 7
Inspection Medical Oversight 3
5
-5 0
Uranium Recovery Licensing and Inspection 28 31 29 2
Agreement State Program, State Liaison and Performance Evaluation 32 36 36 independent Performance Esaluation 5
3 6
3 Materials Technical Training 2
2 2
0 Materials Enforcement Actions 9
9 9
0 Materials Investigations 13 13 14 1
Materials Research and Regulation Development 25 28 24
-4 Materials Legal Advice 18 17 17 0
Regulation of the Department of Energy (DOE) 15 22 27 5
Total 393 391 386
-5 EXPLANATION OF RESOURCE CHANGES BY PROGRAM Fuel Facilities Licensing and Inspection-Safety. The resource increase in FY 1999 will enable the NRC to proceed with one of two possible new uranium enrichment facilities--either the United States Enrichment Corporation's Atomic Vapor Laser Isotope Separation (AVLIS) facility or the Louisiana Energy Services' (LES) Claiborne Enrici, ment Center facility. This increase is partially offset by decreases for review and revision of fuel facility regulatory guidance documents.
Nuclear Materials Users Licensine and Insvection-Saferv. The resource increase in FY 1999 reflects initiation of the program to register licensees' devices and continued NRC development of the Licensing and Inspection Online System and upgrades to related systems 71
i l-NUCLEAR MATERIALS SAFETY which will provide an integrated, on-line client server environment for materials licensing and inspection activities. These increases are partially offset by decreases reflecting completion of guidance consolidation efforts and of the NRC's analysis of risk associated with the existing uses of redioactive byproduct material.
Medical Oversight. The resource increase in FY 1999 will support the revision of 10 CFR Part 35," Medical use of Byproduct Material".
Uranium Recovery Licensine and Insoection. The resource decrease in FY 1999 reticcts compit*' n of NRC concurrence in surface reclamation at DOE's Uranium Mill Tailings Remed.
Action Program sites by September 30,1998, as required by legislation. This decrease is slightly offset by an increase in licensing casework for commercial uranium recovery facilities and an update of the current set of regulatory requirements applicable to uranium recovery facilities including additional technical requirements for solution mines.
Agreement State Procram. State Liaison and Performance Evaluation. The resource increase in FY 1999 is required primarily to develop, revise, and improve procedures in the Agreement State Program.
Independent Performance Evaluation. The resource increase in FY 1999 is required to fund trending ofindustry-wide measures of materials licensee safety performance and to evaluate nuclear materials event experience on a risk-informed basis.
Afaterials Technical Training. The resource decrease in FY 1999 reflects completion of a computer-based training and reference tool for the United States Enrichment Corporation's gaseous diffusion plant at Paducah.
Afaterials Enforcement Actions. There are no significant resource changes.
Afarerials Investigarlam. The resource increase in FY 1999 is required to expand the NRC's role in investigating harassment and intimidation cases.
Afaterials Research and Regulation Development. The resource increase in FY 1999 is to initiate research on fuel storage casks under various :cadings. Tlu increase is partially offset by decreases due to reduction in staff support for materiah rulemaking, and completion of the sealed source risk project.
Afaterials Lecal Advice. Thee are no significant resource changes.
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i NUCLEAR MATERIALS SAFETY Regulation o/the Department ofEnerev / DOE). The resource increase in FY 1999 is required to maintain the pilot program for external regulation of DOE, and to review the irradiation topical report for DOE's plan to produce tritium in a commercial light water reactor.
DESCRIPTION OF STRATEGIC ARENA Nuclear materials safety encompasses all NRC efforts to ensure that NRC-regulation aspects of nuclear fuel cycle facilities and nuclear materials activities are handled in a manner that provides adequate protection of public health and safety. The nuclear materir's program encompasses over 20,000 specific and n, ore than 100,000 general licenses 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 fcundation for regulating the Nation's civilian uses of nuclear materials.
The scope of activities comprising this arena encompass NRC-regulated aspects of nuclear fuel cycle facilities and nuclear materials users including licensing, inspection, and related regulatory activities, tranium recovery and remedial actions, and regulating the medical use of byproduct materials; identification and quantification of potential areas of risk within the nuclear industry through anticipatory and applied research thereby providing the Commission with the technical bases for regulatory decirions for the nuclear materials program; determination of materiais program effectiveness and licensee performance through operntional data quantification and analysis; and communication of applicable lessons learned. The arena also ensures the effectiveness of the NRC's safety mission by conducting investigations of i
incidents or allegat ons of wrongdoing by licensees, applicants, certificate holders, contractors, or vendors and providing the resultant follow-up enforcement sanctions and actions. Also this arena provides regulatory assistance to the Department of Energy, including activities related to the anticipated commercial vitrification of high-level waste in Hanford tenks, the evaluation of tritium production using commercial reactors, and the external regulation pilot program.
These efforts are conducted primarily by the Office of Nuclear Material Safety and Safeguards, the Office of Nuclear Regulatory Research and the Office for Analysis and Evaluation of Operational Data with the assistance and coordination of the NRC Offices of Nuclear Reactor Xegulation, Enforcement, Investigation, State Programs, Administration, and the General Counsel.
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NUCLEAR MATERIALS SAFETY The Nuclear Materials Safety Strategic Arena comprises the following ii programs: Fuel Facilities Licensing und Inspection-Safety; Nuclear Materials Users Licensing and Inspection; Medical Oversight; Uranium Recovery Licensing and Inspection; Agreement State Program, State Liaison and Performance Evaluation; Independent Performance Evaluation--Materials; Materials Technical Training; Materials Enforcement Actions; Materials Investigations; Materials Research and Regulation Development; and the Regulation of the Department of Energy. The contract support funds are allocated for work done by DOE contractors, commercial contractors, small business entities, nonprofit organizations (e.g., universities and foundations), and grantees. The narrative that follows describes these programs and addresses the reasons why the resources are needed.
EnuLEarilities Licensive and inspection-saferv The NRC licenses and inspects all commercial nuclear fuel facilities involved in the processing and fabrication of uranium ore into reactor fuel as part of the agency's nuclear fuel cycle safety and safeguards mission. Detailed health, safety, and environmental licensing reviews and inspections oflicenseu programs, procedures, operations, and facilities are conducted to ensure safe operations. Each of the 25 fuel facilities must have a license that specifies the materials the licensee may possess, sets restrictions oa how the maariale may be used, and establishes riditional licensee responsibilities (such as worker protection, environmental controls, and imancial assurance), as appropriate. The NRC will complete the review and evaluation of approximately 75 license applications (amendments, renewals, and reviews) for nuclear fuel cycle facilities during FY 1999. To achieve its timeliness goal for safety-and security related licensing actions in FY 1999, the NRC plans io initiate the review of 80 percent of the safety
-related licensing actions within 45 days of receipt.
Routinely scheduled safety inspections of approxi"ately 15 fuel cycle facilities or sites are conducted eac: year to provide reasonable assur2ru that adverse conditions involving radiation exposure to employees or the public do not develop; that regulatory violations, if they arise, are identified with appropriate follow-up; and that nuclear materials are properly controlled to prevent a nuclear criticality accident. The NRC's goal is to conduct timely safety-and security related inspections at these facilities. The target for FY 1999 is to complete 90 percent of the safety related inspections in accordance with the schedules set forth in the Fuel Cycle Master Inspection Plan.
The NRC sets basic standards for the conduct of licensed activities at fuel cycle facilities through odemaking, augmented by regulatory guidance documents that specify acceptable approaches for meeting the standards set forth in the rules. In FY 1999, the NRC will 74 l
1 NUCLEAR MATERIALS SAFETY continue to upgrade the fuel cycle facility program by evaluating changes to the regulatory base for 10 CFR Part 70 in order to continue to increase the confidence in safety at these facilities.
Unlike fossil fuels, which can be burned virtually in the same form that they exist underground, uranium must undergo a series of changes to become an efficient fuel in civilian nuclear power reactors. Uranium enrichment-the process used to increase the percentage of uranium 235 in the fuel--is one of the steps in the series and can be accomplished using different enrichment methodologies, including gaseous diffusion, centrifuge, and atomic vapor laser isotope separation.
The NRC assumed regulatory oversight of the United States Enrichment Corporation's two gescous diffusion enrichment plants (Paducah and Portsmouth) in March 1997. Tb: NRC will conduct the first recertification in FY 1999, in accordance with the United States Enrichment Corporation Privatizaticn Act which requires that the NRC recertify these plants at least once every 5 years, to ensun, that they are in compliance with NRC regulations and that the United States Enrichment Corporation's operation of the gaseous diffusion enrichment plants provides adequate protection of public health and safety, the workers, the environment, and the common defense and security. The NRC will continue to issue annual reports to Congress advising members of the status of the plants and indicating whether these plants are operating in compliance with NRC's standards.
To verify operational safety and assess licensee performance, the NRC will conduct a program of scheduled safety inspections that relies on resident inspectors to provide onsite presence and focus on daily operation, and on headquarters and ryional inspectors to provide specialized technical expertise in areas such as radiological / chemical process safety, security, nuclear criticality safety, training, emergency planning, and management control. The NRC also provides security policy and classification guidance support for the protection of national security information and restricted data for licensing, certifying, or regulating uranium enrichment facilities.
NRC's FY 1999 budget includes resources to proceed with one of two possible new uranium l
enrichment facilities--either the United States Enrichment Corporation's Atomic Vapor Laser j
Icotope Separation (AVLIS) facility or the Louisiana Energy Services' (LES) Claiborne Enrichment Center facility. If the AVLIS application were submitted (current projection is Summer 1999), the licensing review would present novel and highly complex technical challenges never before considered -- especially in areas of security, nuclear criticality safety and accident analysis. If the issues surrounding issuance of the construction / operating license l
for the Claiborne Enrichment Center were resolved favorably and if LES were to decide to proceed with construction, NRC cfforts would center on the development of an inspection 75 l
NUCLEAR MATERIALS SAFETY program and other activities required to oversee construction and operation of the enrichment
- facility, Nuclear Materials Users Licensine andInsvection-Safety The NRC licenses and inspects activities related to approximately 5,900 specific licenses for use of nuclear and other radioactive material. These uses include medical diagnosis and therapy, medical and biological research, academic training and research, industrial gaugir.g and nondestructive testing, production of radiopharmaceuticals, and fabrication of such commercial products as smoke detectors and other scaled sources and devices. Detailed health and safety reviews and inspections oflicensec procedures and facilities provide reasonable assurance of safe operations and the development of safe products. The NRC plans to complete the review of approximately 3,200 applications for tcw licenses, license amendments, license renewals, and sealed source and device designs for the use of radioactive material in FY 1999 (Figure 10).
(Note that license renewal actions are excluded from Figure 10 beginning in FY 1997 as a result of a one-time extension of most licenses for an additional 5-year period in FY 1996 )
"E' o.E**
m 6500 m
4500 4000 Qm O 3000 8m gm 1500 1000
.00 0
1995 1996 1907 1996 1999 num
[mw==i The NRC's timeliness goal for materials licensing is that the median age of the working inventory will not exceed 90 days for new applications and amendments and the median turnaround time for completed casework will not exceed 90 days for new applications and 76
NUCLEAR MATERIALS SAFETY amendments. For reviews completed during FY 1997, Figure 11 shows the median time required to complete new and amendment, licenses for byproduct materials, significantly below the 90 day goal.
"E#df O"'
.00 90 80 70 to I-The NRC will conduct approximately 1,700 routine health and safety inspections and closeout inspections of materials licensees in FY 1999. 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 noted that could cause unnecessary exposures or releases, prompt and appropriate enforcement actions are taken.
As part ofits materials inspection program, NRC conducts both core and non-core inspections.
Core inspections encompass (a) all initial inspections (the first inspection after a license is issued to a licensee), and (b) all routine inspections of priority 1,2, or 3 licensees. Non-core inspections include all other types of materials inspections. The inspection priority assigned to a licensee reflects the frequency of a routine inspection, expressed in years, and is based on the potential radiation hazard of the licensee's programs.
The NRC's goal is to complete core inspections of materials licensees to ensure that less than 10 percent are overdue, as defined in NRC's Inspection Manual Chapter 2800.
In FY 1999, the NRC will continue the NRC Registration Program to include the necessary features for registering licensees' devices.
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NUCLEAR MATERIALS SAFETY The NRC will continue to develop and implement approacnes to regulate the materials licensing and inspection program in a cost-efficient fashion. Through this application of business process reengineering, the NRC expects to maintain or improve the level of safety achieved through the materials licensing and inspection process.
Beginning in FY 1998, the NRC will consol!Jate into NUREO documents the information presently contained in regulatory guidance documents and technical assistance reports as they relate to the nuclear material safety program.
As an outgrowth of NRC's reengineering efforts, the NRC's Regulatory Product Design Center (RPDC), which serves as a testing laboratory for the creation and validation of new systems and new operational methodologies, will continue to support and facilitate analysis, evaluation and redesign of programs and business systems, and will facilitate creating, revising, and consolidating regulatory requirements and guidance documents.
In FY 1999, the NRC will continue to implement the approved plan for the Licensing and Inspection Online System (LIONS) development and interface with other NRC systems.
LIONS will eventually fully integrate multiple users to support the materials license and inspection programs.
The reengineered materials licensing process will enable the NRC to assess input from the public, licensees, and Agreement States and integrate into a cohesive national approach to materials licensing and inspection.
The NRC responds to incidents and allegations through reactive inspections, allegation followup, investigations, enforcement actions, operational data analysis, and identification of generic issues. In FY 1999, the NRC will continue to analyze and evaluate operational experience from NRC licensees and Agreements States to identify generic issues resulting from incidents and events, to determine the root causes of the identified deficiency, and to identify those safety concerns that may warrant regulatory attention. This includes operational events, such as overexposure to radioactive materials and medical misadministration of nuclear
- material, l
l The NRC's goal is to review 95 percent of the material licensee events reported to the NRC within five working days and refer the events to appropriate NRC staff for follow-up.
l The NRC's goal is to complete 80 percent of the allegation reviews within the timeliness l
objectives of Management Directive 8.8," Management of Allegations."
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NUCLEAR MATERIALS SAFETY Medical oversight NRC's medical regulation program will also undergo revision. In FY 1999, the NRC will 4
complete the revision of 10 CFR Part 35," Medical Use of Byproduct Materia!" and associated guidance to restructure NRC's programmatic regulatory approach to the regulation of byproduct materials in medicine to make the rule more risk-informed and performance-based.
Uranium Recoverv Licensine and Insvection The Uranium Mill Tailings Radiation Control Act of 1978 directs the NRC to amend its regulations to conform to the Environmental Protection Agency standards for uranium mill tailings reclamation and groundwater cleanup, and to regulate the reclamation of tailings and groundwater cleanup from licensed uranium mills. In addition, the Uranium Mill Tailings Radiation Control Act of 1978 also directs NRC to review and concur in the reclamation of uranium mill tailings and groundwater cleanup being conducted by the Department of Energy at abandoned mill sites. These activities require detailed health, safety, and environmental reviews; inspections oflicensee procedures and facilities to provide reasonable assurance of safe operations; the development of NRC regulations and guidance to implement the applicable standards; and the site-by site evaluation of licensee and Department of Energy plans for reclamation of mill '.ailings and cleanup of groundwater.
For licensed uranium mills, NRC's goal is to complete the review of two uranium recovery site reclamation plans in FY 1999. The NRC will also complete the review of three applications for alternate concentration limits for groundwater cleanup at licensed sites. This effort will include the preparation of safety evaluations and environmental assessments. In FY 1999 the NRC also plans to continue development of a new set of regulatory requirements solely applicable to uranium recovery facilities. This new rulemaking with (1) update the current set of regulatory requirements applicable to uranium recovery facilities; (2) include additional technical requirements for solution mines; and (3) codify criteria that will allow uranium mill tailings sites to be used for the disposal of contaminated soil from other NRC licensed sites undergoing decommissioning.
The NRC will complete the review of approximately 100 license amendments, and 2 new license applications for uranium recovery facilities in FY 1999. The NRC will also conduct the review of approximately four construction completion reports and long term surveillance plans, both of which must be approved before termination of site-specific licenses. Besides ensuring that the reviewed actions comply with the applicable requirements, the NRC's goal is to complete the reviews in a timely manner so that no more than 25 percent of pending 79
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NUCLEAR MATERIALS SAFETY applications wi' Ne over 6 months old. Also, the NRC's goal is to complete approximately 40 safety inspecuons each year. During these inspections, the NRC will thoroughly review each licensee's program and implementation of license conditions to ensure protection of public health and safety and the environment.
For abandoned mills sites undergoing reclamation by the Department of Energy, tailings reclamation work should be completed by September 1998, and all of the sites would be licensed for long-term care. Therefore, the scope of the NRC effort with respect to tailings reclamation for these abandoned mill sites will be the review of Depa-tment of Energy field visits that assess the status of the sites. In addition, the NRC will review and concur on Department of Energy plans for the cleanup of groundwater, and will evaluate the status of implementation for previously accepted plans.
Aercement State Procram. State Liaison and Performance Evaluation The NRC provides for aooperation and programratic compatibility, oversight, technical assistance, and liaison with States, local governments, Indian tribes, and interstate organizations. This ensures adequate protection of public health and safety from the hazards associated with the use of radioactive materials in 30 Agreement States and ensures nuclear safety policy and program information are compatible and shared with State organizations.
Under the Agreement State Program, the NRC provides assistance to States seeking Agreement State status; conducts training courses, workshops, and meetings for Agreement State staff; evaluates technical licensing and inspection issues from Agreement States; evaluates State rule changes; and provides early and substantive involvement of the States in NRC rulemaking and other regulatory efforts (sometimes using NRC/ Agreement State working groups).
Under the State Liaison Program, the NRC coordinates activities ofinterest to State, local, and Indian tribal governments with other NRC offices; keeps the Commission and staff informed of significant State actions; and participates in activities conducted by the Conference of Radiation Control Program Directors, Inc. The NRC regularly consults with the Governor-appointed State Liaison Officers, and maintains contact with representatives of State Public Utility Commissions, National Governors' Association, and the National Association of Regulatory Utility Commissioners to identify NRC regulatory initiatives affecting States and to keep the NRC apprised of those organizations' activities. The NRC negotiates memoranda of understanding with States on various NRC and State activities involving mutual cooperation.
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NUCLEAR MATERIALS SAFETY i
The NRC, with Agreement State participants, also conducts periodic Integrated Materials Performance Evaluation Prograta (IMPEP) reviews of Agreement State and regional office programs for adequacy to ensure public health and safety and compatibility of Agreement State programs with NRC programs. IMPEP uses a common process that is applicable to both Agreement State and NRC regional materials programs. In FY 1997, NRC conducted 10 Agreement State IMPEP reviews, I follow-up review, and 2 regional IMPEP reviews.
During FY 1997,10 Agreement State regional IMPEP reports were issued. Two of the issued IMPEP reports were from IMPEPs conducted in FY 1996. In FY 1999,10 Agreement State and 2 NRC regional IMPEP reviews are scheduled. The NRC coordinates with Agreement States on the reporting of event information and on responses to allegations reported to NRC involving Agreement States.
Independent Performance Evaluation (Materials)
The NRC maintains incident and accident investigation programs to ensure that safety-significant operational events involving nuclear materials and fuel facilities licensed by the NRC are thoroughly investigated. These investigations are conducted in a timely, systematic, and technically sound manner. Information is obtained on the causes of the events, including those involving NRC activities, so that the NRC can take timely and effective corrective actions. For events that could be of major significance, an accident review group or incident investigation team is established that is independent of the affected region and the program office. For investigating selected less significant operational events, an augmented inspection team is established under regional di ection and complemented by headquarters personnel, as necessary, in addition, broad-based team evaluations that are independent of the routine regional and headquarters performance assessments are conducted of licensee performance, as necessary.
The NRC reviews radiological event reports, NRC inspection reports, and U.S. industry reports. On the basis of this comprehensive and systematic review of radiological event data sources, significant events are identified and selected for further in-depth evaluation to assess the root causes of the identified deficiencies, the safety significance and generic implications of the deficiencies, and the adequacy of corrective actions implemented and/or planned. The NRC will continue to issue case studies, special studies, and technical reviews. Results, findings, and recommendations to prevent recurrence will be widely disseminated to the staff, the radiological industry, and the public in a timely manner. In addition, radiological events that are considered to be significant from the standpoint of public health and safety will be reported to the Commission with recommendations that they be considered as " abnormal 81
NUCLEAR MATERIALS SAFETY occurrences." On an annual basis, abnormal occurrences will be reported to the Congress and the public.
In FY 1999, the NRC plans to review 99 percent of radiological event reports reported through the NRC Operatiors Center or discussed in PreHminary Notifications within 1 month of receipt. The review of all licensee event reports will be completed within 3 months of receipt.
(The number of reports is expected to be approximately 500 annually.)
The NRC conducts incident response activities to ensure that (1) it is prepared to carry out its role in a radiological emergency at NRC licensed or Agreement State-licensed facilities or involving NRC-licensed or Agreement State-licensed material, (2) licensee responses are consistent with licensee responsibilities, and (3) NRC responses are coordinated with other Federal response activities and State and local government activities. To ensure that a reliable and high quality incident response program is maintained, the NRC will (1) maintain and implement the NRC incident response program in preparation for actual 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 engineers / scientists capable of receiving event reports and recognizing and communicating problems and emergencies to management;(3) coordinate efforts to maintain the functionality of the Federal Radiological Emergency Response Plan, the Federal Response Plan, and agreements between the NRC and other State, Federal, and intemational organizations and countries on responses to radiological emergencies; (4) conduct a State outreach program to improve the States' understanding of how the NRC, as the Lead Federal Agency, will coordinate the Federal response to a radiological emergency; and (5) maintain the NRC Operations Center and regional functional procedures, response tools, and training.
The NRC will maintain the Nuclear Material Events Database (NMED) to provide for more effective and efficient analysis, evaluation and feedback of nuclear materials operating experience to NRC staff and Agreement States. Nuclear materials event operating data will be systematically screened and reviewed for significant health and safety issues, which will be reported in the Report to Congress on Abnormal Occurrences.
The Committee To Review Generic Requirements reviews generic requirements, on a trial basis, for selected nuclear materials and considers the feasibility of backfitting new requirements, as applicable. This committee will continue to provide agencywide review and recommendations to the Executive Director for Operations regarding approval or disapproval of proposed changes to generic requirements and staff positions applicable to selected nuclear materials. The Committee will focus on 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 82 1
NUCLEAR MATERIALS SAFETY protection of public health and safety and furthering the review of new, cost effective requirements and positions.
Materials Technical Training Materials technical training is conducted to ensure that NRC staff possess the requisite knowledge, skills, and abilities and competencies to accomplish the mission of the agency.
The NRC will continue to maintain the Technical Training Center (TTC) and manage the technical tral 'ng program for NRC staff.
Materials tech 2 G training is provided for formal NRC staff qualification in support of the nuclear materia.. ~ fuel cycle programs. Similar training is also provided in support of the Agreement State pi ; gram.
Curriculum areas will be maintained in probabilistic risk assessment, radiation protection, fuel cycle technology, security and safeguards, and regulatory skills. The materials technical training curriculum will continue to include approximately 17 courses ranging in duration from 3 days to 5 weeks. Initial materials technical training and refresher training will be provided each year to NRC materials inspectors and license reviewers in formal qualification or development programs and Agreement State personnel. In addition, materials technical training will be available for NRC technical managers. Major curriculum adjustments to best satisfy the highest priority regional and program office training needs will continue, in FY 1999, the NRC will provide 90 percent of the numbers and types of courses required by the offices and regions.
Materials Enforcement Actions The NRC's enforcement program is used as a deterrent to emphasize the importance of compliance with requirements and to encourage prompt identification and comprehensive correction of violations. The basic enforcement sanctions are notices of violations, civil monetary penalties, and various enforcement orders. The nature and extent of the enforcement action taken by the NRC reflect the seriousness of the violation involved.
The NRC expects to consider approximately 150-200 potentially escalated and 1,800 non-escalated nuclear materials enforcement actions. As the number and types of enforcement actions taken in any period of time are a function of the number oflicensees and the licensecs' performance, it is difficult to predict future activity levels. However, previous enforcement activity has been as follows:
83
NUCLEAR MATERIALS SAFETY l
Materials Enforcement Fiscal Actions Resulting Notices of Violation
- ytar, Considered Civil Penalties Wilhaut Civil Penalty Ordern Issued 1995 124 34 28" 20 1996" 160 28 33 13 1997 211 41 83 18
" Reflects a change in the threshold for considering escalated actions.
- The information for FY 1995 and FY 1996 was based on enforcement actions issued to licensees. Ilecause an enforcement case or enforcement action can include more than one escalated enforcement item or issue, FY 1997 data is based on accounting for escalated enforcement items. Therefore, for consistency, data for the prior two fiscal years have been adjusted to reflect this method of accoutiting.
The NRC also monitors discrimination actions filed with the U.S. Department of Labor under Section 211 of the Energy Reorganization Act and develops enforcement actions where there are properly supported findings of discrimination, either from the Office ofInvestigations or from the Department of Labor adjudications.
Materials investleations The NRC investigates allegations of wrongdoing by NRC materials licensees, and others within its regulatory jurisdiction. All findings and conclusions that result from investigations are sent to the appropriate program office, the Office of Enforcement and the Office of the General Counsel for review of the issues involved and a determination as to whether enforcement action is warranted.
Investigations that substantiate criminal violations concerning NRC licensees and others within the NRC's regulatory jurisdiction are referred to the U.S. Department of Justice. In FY 1999, the NRC anticipates investigating an inventory of approximately 90-100 cases and that 50-60 new materials cases will be opened. The NRC anticipates reducing the average time to complete investigations by 5 percent in FY 1999. In addition to managing its own caseload, the NRC works closely with other investigative agencies and organizations to er sure the timely exchange ofinformation of mutual interest.
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NUCIIAR MATERIAIS SAFETY Materials Research and Regulation Develonment This program supports the development of regulations and regulatory guidance specific to the siting and design of structures and components of non reactor fuel-cycle facilities, and to address materials radiation protection issues.
Materials Structural and Civil Engineering--The work in this area involves obtaining data for siting, design, and evaluation of structures and components (i.e., fuel storage casks) of fuel-cycle facilities (e.g., gaseous diffusion plant, independent fuel storage facilities) other than power reactors and waste storage facilities. In FY 1998, work in this area will be terminated with completion of an ongoing project related to sealed source risk.
Materials Regulatory Standards--The NRC develops materials regulations and related materials regulatory guidance to implement Commission policy and procedures in an independent, open, clear, efficient, reliable, and timely manner Materials rulemakings are included in the NRC rulemaking activity plan (as previously discussed in the Reactor Regulatory Standards section).
In FY 1999, the NRC expects to complete two to three petitions for materials standards rulemaking, conduct five to seven active rulemakings, develop eight to ten individual rulemaking plans, and develop one to two rulemaking guides applicable to materials licensees.
During this period, the NRC will also continue to update its rule base, in accordance with the National Performance Review, to streamline, revise, or climinate regulatory requirements that have a large economic impact, without significantly reducing safety. The NRC will evaluate the recommendations by the National Academy of Sciences for modifying the NRC's regulatory framework for radiation medicine. Changes in regulations will be needed to fully implement revisions to streamline and simplify the materials license application process.
Materials Radiation Protection-This work is directed towards the development of materials radiatio's protection regulations to minimize the adverse consequenets of exposure to ionizing radiation from licensed materials and medical activities. Requests for materials radiation protection rulemaking will continue to be received from multiple sources, both internal and external to the NRC. Also, the NRC will support funding through the National Academy of Sciences (NAS) for an updated study on the health effects of exposure to low levels of ionizing radiation and will continue to support the International Commission on Radiological Protection (ICRP).
In FY 1999, the NRC expects to complete one to two materials radiation protection petitions, develop six to eight individual rulemaking plans, conduct three to four active rulemaking, and 85
~
NUCLEAR MATERIAIS SAFETY one to two regulatory guides companion to the rulemakings will be developed in support of
' materials radiation protection related rulemakings.
Materials Leoal Advice The Office of the General Counsel (OGC) provides legal advice and assistance to the Office of Nuclear Materials Safety and Safeguards (NMSS) and the Commission with respect to all matters related to the regulation of radioactive materials. Several Parts within Title 10, Code of Federal Regulatiers. fall within this responsibility. They include Parts 30-35 for the
-licensing and use of byproduct material, Part 40 for the licensing and use of source material, Part 70 for the licensing and use of special nuclear material and Part 76 for the certification of gaseous diffusion plants. Related areas include Part 36 for the licensing of irradiators,
. Part 39 for the licensing of radiclogical material for well logging, Part 150 as it applies to -
exemptions and continued NRC authority in agreement states, and Part 170 regarding fees for services provided by the NRC in the area of materials... In FY 1999, OGC's legal support will include legal advice and assistance on NRC's FY 1999 regulatory, licensing and inspection activities concerning the application of these rules to particular fact situations as presented by_
NMSS or the regional offices including legal review of licenses, amendments, certificates, environmental documents and inspection reports and any contractual matters that may arise in performing these activities. -In FY 1999, OGC will provide legal advice and assistance to the NRC staff as it:: conducts the first recertification of the' gaseous diffusion enrichment plants; reviews and maker, the statutory findings necessary to authorize privatization of the United States Enrichment Corporation; completes the review of two uranium recovery site reclamation plans; continues to interact with DOE on the Hanford tank waste solidification system at Richland, Washington, establishes a pilot program to test regulatory concepts at a series of selected pilot DOE sites / facilities; and continues to develop and implement approaches to regulate the materials licensing and inspection program through the application of business process reengineering and development of the Licensing and Inspection Online Systems (LIONS). OGC will also provide legal analyses and interpretations of regulations, statutes, and cases relevant to materials activities. OGC will continue to represent the NRC staffin adjudications arising from proposed licensing and enforcement actions and represent the Commission in lawsuits arising from adjudicatory and rulemaking decisions relating to
. materials.
OGC also provides legal advice and assistanc: for any rulemaking activities in the materials area. The legal review for proposed and final rules will ensure that the proposed revisions are consistent with statutory requirements such as the Atomic Energy Act, the Administrative Procedures Act, the National Environmental Policy Act, the Paperwork Reduction Act, the l
86 l
l l
NUCLEAR MATERIALS SAFETY Regulatory Flexibility Act, the Small Business Regulatory Enforcement Fairness Act, as well as Commission requirements on Regulatory Analysis and Backfit. Major rulemaking activities in FY 1999 in the materials area for which OGC support will be significant are: revision of 10 CFR Part 35 and associated guidance related to the medical use of byproduct material; revision of 10 CFR Part 70 and associated guidance related to licensing and conduct of licensed activities at fuel cycle facilities; and development of a new set of regulatory requirements solely applicable to uranium recovery facilities.
Regulation of the Department ofEnerev (DOE)
The Department of Energy (DOE) and the NRC, in recognition of a mutual commitment to the effective and efficient protection of public health and safety and the environment, will continue to resolve issues of concern to either agency that relate to the regulation of nuclear facilities, projects and activities. DOE will obtain assistance from the NRC on projects and activities pertaining to DOE's responsibilities and the NRC will obtain information from DOE that may be relevant to the regulation oflicensed activities.
In FY 1999, the NRC will continue to interact with DOE on the Hanford tank waste solidification system at Richland, Washington. This effort was initiated in 1996 by DOE to demonstrate technologies for solidifying highly radioactive tank waste at the Hanford site through the design of a pilot-scale facility (Phase 1). The NRC is participating he thb effort to acquire sufficient knowledge and understanding of the Hanford tank wut: and the processes, technology, and hazards to: (1) assist DOE in performing technical reviews of the pilot scale operations in a manner consistent with NRC's regulatory approach; and (2) be prepared to develop an effective and efficient regulatory program for the possible future licensing of DOE contractor-owned and contractor-operated full-scale facilities that will process waste at Hanford during Phase Il pendi..; resolution of certain statutory and regulatory issues. In FY 1999, the NRC will continue to develop an overall review strategy for Phase I activities including review of design, construction, and operation of pilot-scale facilities in preparation for the proposed NRC licensing of the Phase 11 operations. To assist in this effort, the NRC on-site representative will continue to interface with DOE and to provide NRC coordination and support.
DOE is responsible for establishing the capability to produce tritium by the end of CY 2005, in accordance with a Presidential decision directive. One of the options being considered by DOE i:: to irradiate tritium producing burnable absorber rods in a commercial light water-reactor, in FY 1999, the NRC will continue its review of the tritium production core topical report. The NRC will assist DOE in assessing and resolving safety, technical, and licensing 87
NUCI.RAR MATERI AI.E EAFETY issues (including physical security, security clearance, and environmental issues). The production of tritium under an existing commercial license will likely require DOE to develop mechanisms to ensure that national defense production requirements will not adversely affect public health and safety and may require change to existing legislation. The NRC will evaluate any necessary licensing requests in accordance with applicable statutes and regulations to implement DOE's option of producing tritium in commercial reactors.
The DOE and the NRC have established a pilot program to test regulatory concepts at a series of selected pilot DOE sites / facilities. This program provides experience in the NRC regulation of DOE facilities for both agencies. - This pilot program is in response to the Advisory Committee on External Regulation of DOE Nuclear Safety's report, which recommended that essentially all aspects of the safety of DOE's nuclear facilities should be externally reguinted.
In FY 1998, NRC is conducting a pilot program to test program regulatory concepts at three DOE pilot sites / facilities and in FY 1999, plans are to add additional pilot sites / facilities to the program. Each of these pilots, and the experience gained, will allow both DOE and the NRC to decide wether to seek legislation to give NRC authority to regulate a class of, or all.
DOE non-defense-related nuclear facilities.
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l l
e a
NUCLEAR WASTE SAFETY 4 Je 5
NUCLEAR WASTE SAFETY (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 1999 Estimate.......................................... $29,147,000 FY 1999 Estimate FY 1997 FY 1998 Change from Enseted Estimate Request FY 1998 Budget Authority by Function ($K)
Salaries and Benefits 9.798 9,678 11.413 1.735 s
Contract Support 10,892 13,847 17.150 3,303 Travel 585 599 584 15 Total 21,275 24.124 29,147 5,023 Budget Authority by Program ($K)
Spent Fuel Storage and Transportation Licensing and Inspection 7.715 7,536 8,608 1,072 High Level Waste Repository Regulation 11,000 15,000 18,500 3,500 Regulation of Low. Level Waste 2,560 1,
2,039 451 Total 21,275 24.124 29,147 5,023 Full Tiu e Equivalent Employment by Program Spent Fuel Storage and Transportation Licensing and Inspection 54 54 57 3
High Level Waste Repository Regulation 43 44 50 6
Regulation of Low Level Waste 15 10 13 3
Total 112 108 120 12 l
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NUCLEAR WASTE SAFETY EXPLANATION OF RESOURCE CHANGES BY PROGRAM Spent Fuel Storage and Transportation Licenstne and Inspection. Resources increase in FY 1999 to support the review of an increase in the number of spent fuel storage and transportation license applications received.
fligh-Level Waste Repositorv Regulation. Resources increase in FY 1999 to keep pace with the national High Level Waste program. This resource level allows NRC to continue werk on resolution of the ten key technical issues (KTIs) most important to repository performanse, which hiclude conducting a review of the technical elements of DOE's Viability Assessment (VA), providing feedback to DOE on concerns important to preparing a license application, and beginning to develop the Standard Review Plan (SRP).
Regalation o Low-Level Waste. In FY 1999, resources are restored to provide support to r
Agreement States and licensees in resolving specific technical issues concerning low-level waste storage and disposal.
Df1CRIPTION OF STRATEGIC ARENA Nuclear waste is a byproduct of the use of radioactive materials. High-Level radioactive waste results primarily from the fuel used by reactors to produce energy. 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 Nuclear Waste Safety strategic arena encompasses the NRC's high level wate regulatory activities associated with high-level waste disposal at Yucca Mountain as mandated by the Neclear Waste Policy Act of 1982, the Nuclear Waste Policy Amendments Act of 1987, and the Energy Policy Act of 1992. This arena also encompasses the NRC's low-level radioactive waste activities associated with the disposal of waste in accordance with the Low Level Radioactive Waste Policy Act of 1980, amended in 1985.
Nuclear Waste Safety is comprised of the following three programs: Spent Fuel Storage and Transportation Licensing and Inspection; High-Level Waste Repository Regulation; and Regulation of' ow-Level Waste. The contract support funds are allocated for work done by DOE contractors, commercial contractors, small business entities, nonprofit oiganizations (e.g., universities and foundations), and grantees. The narrative that follows describes these programs and addresses the reasons why the resources are needed.
91
ECIE AR WASTE SAFEW Snent Fuel Storner and Transnortation Licensine and Inspect'on
- Approximately 3 million shipments of radioactive materials are made each year in the United States Regulating the safety and security of these shipments is a responsibility shared by a 1
number of different Federal agencies including the NRC. To carry out its regulatory responsibilities for spent fuel and non spent fuel storage and transportation, the NRC certifies transport container package designs, and licenses and inspects interim storage of spent fuel both at and away from reactor sites to ensure 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. NRC's transportation activities are closely coordinated with those of the Department of Transportation and, as appropriate, with the DOE and the Federal Emergency Management Agency. NRC's transportation activities also include reviewing transportation plans, performing route approvals and surveys for shipments of nuclear material, and relaying Department of Transportation notifications from licensees and carriers of planned import, export, or domestic shipment of nuclear material.
i In the course of its regulatory, licensing, and inspection activities during FY 1999, the NRC will complete the review of approximately 50 storage and transport cask design and storage facility applications associated with spent fuel (new licenses, topical reports, and license amendments and renewals) and the review of approximately 95 applications submitted by the Departments of Energy and Transportation and by commercial vendors for non-spent fuel transport container designs. Of the 50 spent fuel-related applications, approximately 25 are expected to be for commercial spent fuci transport designs; 5 for DOT / DOE spent fuel transport designs; 5 for commercial spent fuel stcrage designs; and 15 for interim storage of spent fuel, including 10 independent spent fuel r,torage installations,1 of which will be a privately owned away from-reactor interim spent fuel storage facility. The NRC will complete 35 quality assurance reviews of users', suppliers', and fabricators' quality assurance programs for fabrication and use of transportation packages in FY 1999. In addition to these activities, the NRC will conduct approximately 20 safety inspections to ensure that safety measures are L
correctly implemented by users, suppliers and fabricators of NRC-certified spent fuel storage systems and transport packages. The NRC will also perform on-site inspections of concrete o
vaults and casks at reactors.
l l
The industry's spent fuel storage activities require detailed health, safety, and environmental reviews and inspections of licensee and vendor procedures end facilities to ensure safe operations. Licensed utilities are responsible for the interim storage of their spent fuel until a Federal repositcry or centralized interim storage facility is available. All utilities have ei:her
- installed or are planning to install high-density racks in their existing spent fuel pools.
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--,,-v-%w,,
.m-..
.+.-r-.+.
-. -+
EUCIEAR WASTE SAFETY However, even with these modifications, pools are reaching capacity. To provide for " full-core" reserve, many utilities are constructing independent spent fuel storage installations, which generally consist of a passive storage system using dry cask technology.
In FY 1999, the NRC will continue its review of the Department of Energy's application to license an interim storage facility to store fuel from the Three Mile Island Unit 2 reactos at the Idaho National Environmental and Engineering Laboratory.-
To ensure that staff reviewers are thoroughly prepared to perform their technical reviews, the.
NRC will issue a final standard review plan on transponation packages for spent nuclear fuel in FY 1999. The NRC will also continue efforts to revise transportation (10 CFR Part 71) and storage (10 CFR Part 72) regulationa in FY 1999 including final changes to the regulation effecting Oreater Than Class C Waste. The NRC will _ continue to update the " Final Environmental Statement on the Transportation of Radioactive Material By Air and Other Modes"(NUREO-0170). This activity will support the general license for transportation given the changes in U.S. spent fuel management strategies since NUREG 0170 was published in 1977. Changes to NUREO 0170 will need to be made to incorporate the planned use of dual-purpose casks and centralized interim storage and to reflect the United States policy for a once-through spent fuel practice.. In FY 1998, the NRC will initiate an update of the survey -
of unclassified radioactive material shipments in the United States. The last survey was published in 1985 using shipment information from 1981 and 1982. The survey estimated that 2.79 million packages, containing approximately 8.97 million curies of radioactive material, were shipped annually (the results do not include spent fuel shipments). NRC's update for both efforts will continue through FY 1999.
The NRC will continue to maintain awareness of any potential delays in DOE's waste disposal program and will closely monitor the DOE system for inventory and forecast of spent fuel and nigh-level radioactive waste generation to provide early warning of capacity problems and facilitate timely and adequate waste management regulatory action.
' High-Level Waste Repository Regulation High-Level Waste Licensing-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 L
approach for the long-range undertaking of high-level waste disposal, with the Department of Energy having operational responsibility and the NRC having regulatory responsibility. The Nuclear Waste Policy Amendments Act directs the Depetment of Energy to characterize only 93 1
NUCfJAR WASTE SAFETY one candidate site, the Yucca Mountain site in the State of Nevada. Likewise, NRC's activities are also focused on Yucca Mountain.
~ FY 1999 resources will allow the-NRC to fulfill its own statutory responsibilitier by conducting the following activities.
NRC will continue its rulemaking activities consistent with the Energy Policy Act which requires the NRC to develop implementing regulations within one year after promulgation of the final Environmental Protection Agency (EPA) standards. NRC's goal is to publish a final NRC rulemaking which is consistent with EPA high level waste standards.
During early FY 1999, NRC's goal is to complete a review of the technical information in DOE's viability assessment related to licensing. NRC will focus its review on the 10 key technical issues most important to licensing. Work toward resolution of these issues, including early feedback to DOE, has been the focus of NRC's program during FY 1996-1998 in preparation for the viability assessment review, Results of the review and recommended actions will be given to the Commission early in FY 1999 to be prepared to respond to Administration and Congressional questions concerning potential licensing vulnerabilities and their significance. Furthermore, as part of NRC's ongoing issue resolution process, feedback resuhing from NRC's review will be provided to DOE in FY 1999 as guidance for preparing a license application.
NRC will continue to monitor new DOE data and analyses and information from other parties related to the key technical issues and update the status of resolution as needed. To assist in this effort the NRC on site representatives will cominue to observe ongoing DOE testing to 4
keep NRC headquarters updated on testing progress and results pertinent to each key technical issue.
Another activity will be to conduct observation audits of DOE's quality assurance program to -
-evaluate both the effectiveness of DOE's auditing as well as the overall implementation of the program. Observation audits will primarily consist of both quality assurance and technical staff and will be focused to support technical areas within the key technical issues. NRC's goal is to conduct eight observation audits in FY 1999.
The NRC will also begin developing a standard review plan in FY 1999, which will be used as guidance for NRC's review of DOE's draft license application beginning in FY 2000 and eventually the license application submitted by DOE in 2002. The Standard Review Plan (SRP) will be the key document to make the NRC's review procedures and acceptance criteria for a license application transparent for DOE and interested parties, in FY 1999 NRC's goal 94
NUCLEAR WASTE SAFETY will be to begin the post-closure standard review plan so that it can be completed in FY 2001.
The SRP will be based upon acceptance criteria for the key technical issues developed in FY 1997-1998, the results of reviewing the viability assessment, and the implementing rulemaking.
The other critical component of NRC's review capability consists of its independent total system perfonnance assessments. During FY 1999 NRC plans to upgrade the patclosure total system performance assessment code developed during FY 1996-1998 and conduct updated analyses of base case, disruptive events, as well as sensitivity analyses using any new data and assumptions about the Yucce Mountain site and design options. Lessons learned from applying the code during the viability assessment review will also identify areas where upgrades to the code are needed. Results of analyses will be used to focus the development of the standard review plan on the issues most important to repository performance and support reviews of data sufficiency.
Also during FY 1999 NRC's goal is to begin a limited review of DOE's draft Environmental Impact Statement (EIS) for the Yucca Mnuntain site. These reviews will support feedback to DOE in early FY 2000 to resolve any EIS issues necessary to provide a basis for NRC to eventually be able to adopt DOE's final EIS as required by the Nuclear Waste Policy Act.
NRC plans to evaluate the existing Waste Confidence findings for the repository and make recommendations to the Commission in FY 1999. This will support the Commis; ion's Waste Confidence Proceeding in FY 2000 as required by the previous Waste Confidence Proceeding in 1990.
Another component of the national high-level waste program is centralized interim storage.
In May 1997, NRC received DOE's Central Interim Storage Facility (CISF) topical report application and will continue its review during FY 1998.
Finally, NRC will continue the contract management and administrative activities of the CNMA in accordance with all applicable laws and regulations and the provision of the NRC co wt. This includes, but is not limited to the quality assurance function which ensures CNWRA compliance with NRC's quality assurance requirements in 10 CFR Part 50, Appendix B, selection, recruitment, and/or retention of high quality technical skills; implementation of management procedures and administrative practices; planning activities; maintaining staff capabilities; providing appropriate computer support and associated security systems; and production of periodic CNWRA management and fiscal reports.
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NUCLEAR WASTE SAFETY Licensing Support System /High Level Waste--NRC will keep pace with the national high-level waste program at Yucca Mountain. This activity provides support to establish a process to provide shared document discovery and facilitate electronic motions practice for the hearings on a license application, ensuring that all documents relevant to the licensing are made equally accessible in a timely manner to all parties and potential parties.
NRC will continue to raaintain the NRC Web site for the Licensing Support System to keep the system current with periodic software and hardware changes. The Web site will provide rapid and thorough access for the NRC and Center for Nuclear Waste Regulatory Analyses (CNWRA) technical staff, DOE, and the general public to the technical documents and data which are the bases of the staffs standard review plan and all prelicensing reviews.
Eventually, this Web site's information will evolve into supporting NRC's license application review, resulting safety evaluation report, and licensing. In addition, during FY 1999, loading of a significant number of documents will begin.
General Counsel /High-Level Waste--The OGC will provide legal advice and assistance relating to storage, transportation and disposal of HLW. In FY 1999, this includes providing legal advice and assistance on proposed amendments to regulations on the transportation (10 CFR Part 71) and storage (10 CFR Part 72) of HLW and spent fuel, on the final standard review plan on transportation packages for spent nuclear fuel, and on the updating of NUREG 0170, which supports the general license for transportation of radioactive materials, including HLW and spent fuel, in 10 CFR Part 71. It will also include legal advice and assistance on the NRC's FY 1999 regulatory, licensing and inspection activities concerning spent fuel transportation and storage including legal review of licenses, amendments, certificates, environmental documents and inspection reports. OGC will also provide legal advice and assistance on the rulemaking to develop implementing regulations after promulgation of final EPA standards, on NRC issue resolution status reports, on NRC review of DOE's siting guidelines, its viability assessment and its draft EIS for the Yucca Mountain site, on development of a repository licensing standard review plan, and on the Commission's periodic review of its Waste Confidence proceeding. It will also represent the NRC in all proceedings on the HLW repository license application, including the review of material generated by the NRC and by contacts with persons and entities outside the NRC.
Advisory Committee on Nuclear Waste /High-Level Waste--In FY 1999, the Advisory Committee on Nuclear Waste will focus on NRC staff review of the Department of Energy's approach and efforts to reach a viability assessment determination for the Yucca Mountain project, the waste isolation and containment strategy, and the license application plan. The Committee will continue to focus on NRC's efforts to resolve those issues most significant to high-level waste licensing, including the new high-level waste standards and NRC high 96
l NUCISAR WASTE SAFETY level waste regulations. The ACNW will review international programs and strategies for lessons applicable to domestic high-level waste disposal. As requested by the Commission, the Advisory Committee on Nuclear Waste will review plans for an interim and retrievable spent fuel storage facility. The Committee will provide the Commission with periodic reviews on the status of NRC research.
Atomic Safety and Licensing Board Panel /High-Level Waste--The ASLBP must prepare for and conduct adjudicatory hearings regarding the high level waste (HLW) repository, interim storage, and for all HLW safety cases assigned by the Commission, consistent with the due process rights of all participants. ASLBP advises and participates in preparing rules governing these proceedings and the Licensing Support System they will require.
Regulation ofLow-Level Waste The classification of nuclear waste depends on its origin, level of radioactivity, and potential hazard. Low-level waste, which results from many commercial, medical, and industrial processes, typically contains a small amount of radioactivity dispersed in a large amount of material and poses little potential hazard. However, because it is radioactive, disposing ofit requires special handling to avoid the health and environmental hazards associated with radiation. To adequately protect against these hazards, the NRC regulates the management, l
storage, and disposal oflow level radioactive waste.
The Low-Level Radioactive Waste Policy Act of 1980, amended in 1985, made States responsible 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, l
and several 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. In fact, the
- Midwest Compact has voted to cease development of a regional disposal facility in Ohio and the Southeast Compact recently called for the State of North Carolina to scale back spending on development ofits regional disposal facility. The NRC plans to maintain its capability to do low-level waste performance assessment modeling through technical reviews associated
.with the Site Decommissioning Management Program. This will ensure that NRC is prepared to respond to any application for a low-level waste disposal facility from a non-Agreement
- State.
NRC and its 30 Agreement States who, through agreements with the NRC, have accepted responsibility for the licensing of radioactive materials within their State, oversee licensees' l
97
NUCLEAR WASTE SAFETY management and disposal of low-level radioactive waste products. The three operating disposal facilities are located in Agreement States, and all of the States with near-term plans to license a new disposal facility are also Agreement States. In addition, NRC's goal will be to provide technical assistance to the States, as requested, to resolve specific technical issues concerning low level waste storage and disposal. NRC will also provide information and support to the States through the Department of Energy's National Low-Level Waste Program and other appropriate fomms. In support of State efforts and potential future NRC licensing activities, NRC will continue to review and update its guidance on low-level waste storage and disposal. NRC will continue its support ofintemational low-level waste programs through its review ofInternational Atomic Energy Agency safety standards and guides and hosting visits and technical exchanges with counterparts from foreign countries.
Because of the costs associated with off-site disposal, some licensees have chosen to store waste on-site pending the development of new di:posal facilities. Others allow their waste to decay in storage or store waste while awaiting processing and shipment for disposal. NRC will address technical issues related to such storage practices as they arise. In addition, NRC receives several requests each year for on site disposal. NRC will conduct safety and environmental reviews of these requests as received.
The NRC will continue to operate the Advanced Computer System to assist the NRC staffin the review of applicant site characterization activities and engineered facilities and in performance assessments for licensing decisions.
98
COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT
COMMON DEFENSE AND SECURITY I
AND INTERNATIONAL INVOLVEMENT (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 1999 Estimate........................................... $9,732,000 FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Budget Authority by Function ($K)
Salaries and Benefits 7,097 7.253 7,082
-171 Contract Support 1,892 1,645 2.153 508 Travel 397 387 497 110 Total 9,386 9,285 9,732 447 Budget Authority by Psogram ($K)
)
Fuel Facilities Licensing and Inspection Safeguards 4.330 4.228 5,023 795 Participation in International Activities 4.685 4.581 4.217 364 Import / Export Licensing Reviews 371 476 492 16 Total 9,386 9,285 9.732 447 Full-Time Equivalent Employment by Program Fuel."acilities Licensing and Inspection Safeguards 29 30 30 0
Participation in International Activities 46 43 39 4
Import / Export Licensing Reviews 4
5 5
0 Total 79 78 74 4
100
a COMM,pXDEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT _,
s EXPLANATION OF RESOURCE CHANGES BY PROGRAM Fuel Facilities Licenstny and Inspection-Safeguards. The resource increase in FY 1999 reflects additional costs in support of the Nuclear Materials Management Safeguards System (NMMSS). Funding for NMMSS incr:ases because the NRC must pay the NMMSS costs
($500,000) previously paid by the United States Enrichment Corporation (USEC). NRC assumed regulatory oversight of USEC in 1997. NRC must also pay the NMMSS costs associated with implementation of bilateral and multilateral treaties signed with other countries and the International Atomic Energy Agency.
Particination in International Activities. The resource decrease in FY 1999 reflects a reduction in nuclear safety assistance efforts and not scheduling an IAEA Operational Safety Assessment Review Team (OSART) exercise. OSART exercises are budgeted every three years; resources for an OSART were included in the FY 1998 budget.
ImportMrport IIcensing Reviews. There are no significant resource changes.
DESCRIPTION OF STRATEGIC ARENA Common Defense and Security and International InvWement encompasses NRC international activities, some of which sapport the agency's domestic mission and many of which support broader U.S. national interests. These activities include international policy formulation, export-import licensing of nuclear matrdals and equipment, treaty implementation, international information exchange activines, and international safety and safeguards assistance. NRC's 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 threat situations.
Domestic safeguards activities are conducted primarily by the Office of Nuclear Material Safety and Safeguards (NMSS), while the Office ofInternational Programs takes the lead in the international arena with the support of other NRC offices including NMSS, Nuclear Reactor Regulation, Nuclear Regulatory Research, Administration, Analysis and Evaluation of Operational Data, the General Counsel, and the Executive Director for Operations.
Common Defense and Security and International Involvement comprise the following three programs: Fuel Facilities Licensing and Inspec* ion-Safe guards; Participation in International Activities; and Import / Export Licensing Reviews. The contract support funds are allocated 101
COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVic VEMENT for work done by DOE contrWrs, commercial contractors, small business entities, nonprofit organizations (e.g., universities and foundations), and grantees. The narrative that follows describes these programs and addresses the reasons why the resources we needed.
Fuel Facilities Licensing and Inspection-Safeguards
,x NRC's domestic safeguards responsibility is to establish requirements for the control of and accounting for nuclear materials, the protection of nuclear materials to prevent theft or diversion, contingency plans for responding to threat situations, and trained armed response personnel at all facilities regulated by the NRC. This responsibility is applicable to all commercial nuclear fuel facilities involved in the processing and fabrication of uranium ore into reactor fuel as part of the agency's nuclear fuel cycle safety and safeguards mission. The NRC conducts detailed safeguards-related licensing reviews and inspections of licensee programs, procedures, operations, and facilities to ensure safe operations and to assess licensee performance. Each of the 25 fuel facilities must have a licence that specifies the materials the licensee may possess, sets restric+iws on how the materials may be used, and establishes additional licensec responsibilities es appropriate. In FY 1999, the NRC plans to accomplish the following tasks: complete the safeguards-related review and evaluation of approximately 35 license applica+ ions (amendments, and reviews) for nuclear fuel cycle facilities and initiate the review of 80 ccent of the safeguards-related licensing actions within 45 days of receipt.
I This will contribute to t e womplishment of NRC's goal for timely review of safeguards-h related licensing actiotz Routinely scheduled safeguards inspections of approximately 15 fuel cycle facilities or sites are conducted each year to provide reasonable assurance that adverse conditions relating to regulatory violations, if they arise, are identified with appropriate follow up; and that nuclear materials are properly controlled. In addition, safeguards inspections ensure that licensees comply with NRC requirements pertaining to the control and accounting c' nuclear material, the protection of nuclear raaterial to prevent theft or diversion, cor,tia.ency plans for responding to threat situati.ns, and trained armed response personnel. TM NRC's goal is to conduct timely safeguards-related inspections at these facilities. The target for FY 1999 is to complete 90 percent of the safeguards inspections in accordance with the schedules set forth in the Fuel Cycle Master Inspection Plan.
To review the adequacy of safeguards and to assess licensee performance, the NRC will conduct a program of scheduled saf.: guards inspections carried out by headquarters and regional inspectors with specialized technical expertise in areas such as material control and accounting and physical protection.
102
~
i l-COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT As part of its mission to ensure the protection of public health and safety, the NRC must maintain the ability to ensure that licensed nuclear activities are properly protected against
- radiological sabotage and theft of m. clear materials or malevolent use 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 and intentions and capabilities of terrorist groups; and any relevant domestic or foreign events of a nuclear or nonnuclear nature. Beginning in FY 1999, the NRC will begin to rely solely on the Federal Bureau ofInvestigations to assess the credibility of all communicated threats against licensed nuclear facilities or activities.
The NRC will work with the International Atomic Energy Agency (IAEA), the European Atomic Energy Community (EURATOM), and other foreign countries on the tracking and reporting of nuclear materials transfers. The NRC, in conjunction with DOE, will continue to support the operation and maintenance of the Nuclear Materials Management and Safeguards System used to track the movement of domestic and foreign nuclear materials under the safeguards control and special accounting procedures of the U.S. Government.
Rr:x m o nerated by this system are used to confirm material transactions, physical in renbra and shipper-receiver difference evaluations in the domestic arena, and to satisfy
- the w of U.SdIAEA safeguards agreements and certain bilateral and multi-lateral cooperative international agreements.
Participation in International Activities The NRC also participates in a wide range of mutually beneficial programs involving information exchange with counterparts in the international community. This interaction serves as a means to provide health and safety information and assistance to other countries as they develop or improve their regulatory organizations and overall nuclear safety.
- NRC currently participates in 34 arrangements with the regulatory authorities of the following countries or areas: Argentina, Armenia, Belgium, Brazil, Canada, China, the Czech Republic, Egypt, Finland, France, Greece, Germany, Hungary, Indonesia, Israel, Italy, Japan, Kazakhstan, the Republic of Koica, Lithuania, Mexico, the Netherlands, Peru, the Phillippines, Russia, the Slovak Republic, Slovenia, South Africa, Spain, Sweden, Switzerland, Ukraine, the United Kingdom, and Taiwan. These arrangements provide communications channels that ensure the prompt reciprocal notification of power reactor safety problems that could affect both U.S. and foreign plants. They encourage the identification of possible precursor events warranting further investigation. They reposent the building blocks for bilateral cooperation '
in nuclear safety, physical security, materials control and accounting, waste management, 103
COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT o
environmental protection, and other areas to which the parties agree. Finally, they establish the means through which NRC provides health and safety information and assistance to other countries developing or improving their regulatory organizations and their overall nuclear safety cultures. In addition to its extensive program of bilateral cooperation with other countries, the NRC also works closely in the area of nuclear safety and international organizations such as the International Atomic Energy Agency (IAEA) in Vienna, and the Nuclear Energy Agency (NEA) of the Organization for Economic Cooperation and Development (OECD) in Paris.
In FY 1999, the NRC will coordinate one meeting of the International Nuclear Regulators A 'sociation, participate in one IAEA General Conference, and negotiate / review five bilateral exchange arrangements between NRC and appropriate foreign counterparts to ensure that an effective framework for NRC's international exchange is in place. Six new or renewed I
bilateral agreements were completed in FY 1997. The NRC may also initiate nuclear safety cooperation agreements with several countries in the early stages of establishing a nuclear power program that might use U.S. nucler.: technology to ensure that it is being used in a safe manner.
The Nuclear Safety Attache at the U.S. Mission to UN Systems Organization in Vienna, a position provided by the NRC, represents U.S. Government views on nuclear safety and radiation protection issues at the IAEA and with other diplomatic missions in Vienna and helps provide both programmatic and policy oversight ofIAEA's nuclear safety program.
The NRC will also continue to participate as a member ofinteragency 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 deterring nuclear proliferation. It will assist IAEA in inspection activities at selected U.S.
nuclear facilities, as required. It will continue to participate in the management and direction ofinteragency groups supporting the strengthening and implementation of IAEA safeguards.
The NRC will also continue to assist the regulators in Russia, Ukraine, and Kazakhstan, in developing and implementing national systems for accounting and control of nuclear material and physical protection. 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.
The NRC provides a carefully selected range of safety and safeguards assistance to develop and strengthen foreign nuclear regulatory authorities, especially those in the New Independent States of the former Soviet Union (FSU), and countries of Central and Eastern Europe (CEE).
104 I
COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT l
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In fact, funding for NRC's contractual support and travel costs associated with the assistance to the FSU and CEE is provided by AID.
In addition, the NRC reimbursable work policy is that the NRC will pursue reimbursement from Federa! agencies and other outside organizations for the full costs of activities that are i
not a part of its statutory mission and for which the NRC has not received appropriations.
Consequently, the NRC is currently renegotiating its reimbursable agreements with the Agency for International Development (AID) to seek full recovery of NRC costs for the 18 FTE providing nuclear safety assistance to countries of the Former Soviet Union (FSU) and Central.
and Eastern Europe (CEE).
In FY 1999, NRC anticipates providing training for 10 foreign assignees, as well as continuing the training of personnel from the Czech State Office of Nuclear Safety (SONS) on how to perform a regulatory safety review of the Westinghouse backfitted Temelin Nuclear Power Plant. In FY 1997,14 foreign assignees,7 long term and 7 short term, were trained at the
- NRC, NRC participation in U.S. initiatives at Presidential Summits, the Gore-Mbeki Binational Commission, and the Gore-Chernomyrdin Commission could result in additional requests for safety assistance to the New Independent States (NIS) of the former Soviet Union, CEE, South Africa, China and other countries. International nuclear safety assistance and cooperation are expected to expand in the Pacific Rim countries with rapid growth in their economies and electric energy sectors. These activities will require a continued and focused commitment of staff resources.
The International Convention on Nuclear Safety (CNS) entered into force October 24,1996.
Assuming
'.S. Senate ratification of the CNS, the Commission will be required to implement several of its major elements, including preparation of the U.S. report and participation in preparatory, organization, and review meetings--all of which will require sustained commitment of staff resources.
Two additional international conventions on wasts management and liability have been negotiated. They are undergoing Executive Branch review and will likely be forwarded by the President to the Senate for its advice and consent for ratification in calendar year 1998. Assuming the U.S. Senate ratifies these conventions, the Commission will be required to implement seversi of their major elements, including preparation of national reports and participation in review meetings-all of which will require sustained commitment of stafT resources.
The NRC and the Russian Federal Authority on Nuclear and Radiation Safety (GAN) as well as the Ukraine Ministry of Environmental Protection and Nuclear Safety (MEPNS) have been 105
COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT cooperating under the Lisbon Initiative Protocol on developing and implementing assistance programs in implementing and applying analytical tools to support their independent regulatory analyses. Four priorities have hen established in order to 1) provide technical assistance in analytical methodology, compuer codes and safety analysis to GAN and MEPNS and,2) work together with these organizations to provide support in performing a Probabilistic Risk Assessment (PRA) on VVER-type Nuclear Power Plant (NPP) designs. Two Nuclear Power Plants: Kalinin Unit 1 (VVER-1000) in Russia and Rovno Unit 1 (VVER-440) in Ukraine have been selected for the PRA studies. Research support includes, but is not limited to program development; program management and coordination with the regulatory agencies, as well as with the many organizations in Russia that are involved with the Kalinin PRA study; the development of procedure guides for specific PRA activities; the review of the milestones / deliverables; and program oversight. These programs are conducted with NRC contractors and are funded by USAID.
The Office of the General Counsel assists in the drafting of regulations and policy guidance, and provides legal interpretations of existing requirements. The Office also represents the agency in meetings with other Federni agencies pertaining to the drafting of international nuclear agreements and any necessary implementing legislation. The Office of the General Counsel provides legal assistance to countries seeking to develop _ or improve their nuclear regulatory framework, such as countries of the Eastern Europe and the New Independent States of the former Soviet Union.
Additionally, the Office of Administration will continue to provide administrative services in support of the agency's international activities.
This includes providing contract administration for sponsoring offices, and translation services in support of NRC's arrangements with international regulatory organizations, and joint international research agreements.
ImvortMxoort Licensine Reviews Und.r the Atomic Energy Act of 1954, as amended, the NRC is responsible for licensing the export and import of nuclear-related materials and equipment to ensure that these items are used for peaceful purposes.
While 95 import / export licensing cases were completed in FY 1997, approximately 100 NRC licensing cases will be completed in FY 1999, following required reviews and determinations, j
including safeguards, legal, policy, and physical security evaluations by the NRC staff. Under l
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COMMON DEFENSE AND SECURITY AND INTERNATIONAL INVOLVEMENT formal interagency procedures, the NRC obtains the reviews and recommendations of other U.S. agencies and departments in its prelicensing reviews.
The NRC also provides its views, under Nuclear Non-Proliferation Act procedures, to the Department of State, Energy and Commerce on nuclear-related export policy proposals / agreements and on specific nuclear-related export authorizations under their jurisdiction. Approximately 20 formal consultations will be completed in FY 1999.
107
PROTECTING THE ENVIRONMENT
PROTECTING THE ENVIRONMENT l
(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 1999 Estimate........................................ $14,901,000 FY 1999 Estimate FY 1997 FY 1998 Change from Enneted Estimate Request FY 1998 Badget Authority by Function ($K)
Salaries and Benefits 8.280 7.362 7.107 445 Contract Support 6,698 5.137 6.870 1.733 Travel 258 216 224 8
Total 15.236 12.715 14,901 2.186 Budget Authority by Program (Sk1 5
Reactor Environmental Monitoring 1.515 0
0 0
Regulation of Decommissioning 7.591 7.396 8.943 1.547 Decommissioning Research and Regulation Development 6.130 5.319 5,958 639 E
Total 15.236 12.715 l
14.901 2.186 Full-Tire Equivalent Employment by Program Reactor Environmental Monitoring 4
0 0
0 Regulation of Decommissioning 65 57 59 2
Decommissioning Research and Regulation Development 23 22 22 0
Total 92 79 81 2
IThe independent State environmental monitoring program will be sunset in FY 1998.
I10 1
PROTECTING THE ENVIRONMENT EXPLANATION OF RESOURCE CHANGES BY PROGRAM Reculation ofDecommissioning. Resources increase in FY 1999 to support decommissioning activities for additicaal power reactors that have spent fuel removed from the spent fuel pool, to support oversight associated with the Department of Energy (DOE) West Valley Demonstration Project, to support rulemaking and guidance development, and to develop and implement a plan to improve existing practices and evaluate innovative approaches to accelerate licensee decommissioning efforts.
Decommissionine Research and Regulation Development. Resources increase in FY 1999 to allow additional work needed to complete transport process investigations related to source tenn, pathway, and engineered barrier use.
DESCRIPTION OF STRATEGIC ARENA Protecting the environment encompasses the NRC's activities related to protecting the environment from potential hazards associated with the civilian use of source, byproduct, and special nuclear materials and involves actions to mitigate environmental impacts, both during the conduct oflicensed activities and afterward. These NRC activities ensure that potential environmental impacts of such licensed activities are assessed and overseen, prior and during licensing, consistent with the requirements of the National Environmental Policy Act as implemented by applicable NRC regulations. NRC regulatory and oversight activities also encompass decommissioning, which 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 required to be taken by a licensee before termination of the license; in some cases, non-licensed facilities may also be required to reduce or stabilize contamination before sites are released.
These efforts are primarily conducted by the OfTice of Nuclear Material Safety and Safeguards, the Office of Nuclear Regulatory Research, and the Office of Nuclear Reactor Regulation.
The Protecting the Environment strategic arena comprises the following two programs:
Regulation of Decommissioning and Decommissioning Research and Regulation Development.
The contract support funds are allocated for work done by DOE contractors, commercial contractors, small business entities, nonprofit organizations (e.g., universities and foundations),
and grantees. The narrative that follows describes these programs and addresses the reasons why the resources are needed.
111
PROTECTING THE ENVIRONMENT Reculation of Decommissionine 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, in some cases, non-licensed facilities may also be required to reduce or stabilize contamination before sites are released. This activity comprises NRC's integrated requirements for the decontamination and decommissioning of facilities and sites associated with NRC-licensed activities, including the technical interface with the Environmental Protection Agency to resolve issues of mutual interest in accordance with the March 1992 General Memorandum of Understanding and research and rulemaking efforts.
The NRC will continue to manage a program for materials facility decommissioning to review submittals resulting from implementation of the decommissioning rule, which specifies time periods for decommissioning unused portions of operating facilities and for decommissioning sites upon termination of operation. Each year, the NRC reviews approximately 50 to 60 financial assurance certifications and funding plans as part of new, amendment, and renewal license requests.
The NRC will also increase decommissioning oversight activities related to DOE's West Valley facility in accordance with the West Valley Demonstration Project Act.
The NRC encourages timely cleanup of approximately 40 known materials and fuel facility sites through the implementation ofits Site Decommissioning Management Program (SDMP).
At these sites, buildings, former disposal areas, piles of tailings, groundwater, and soil are contaminated with low levels of uranium, thorium (source material), or other radionuclides.
Consequently, they present varying degrees of radiological hazard, cleanup complexity, and associated costs. This program covers the full range of activities including the review of decontamination and decommissioning plans, license termination, environmental reviews, and development and implementation of an inspection program.
In FY 1999, the NRC will continue a decommissioning pilot program for materials and fuel facility sites aimed at streamlining the decommissioning process by identifying new and different approaches and conducting workshops with licensees who are technically and financially capable of pursuing expedited decommissioning of their inactive facilities.
The NRC has implemented a graded approach (i.e., one that matches the safety hazards) for reviewing decommissioning activities at licensed materials facilities. This approach relies on a series of assessments to determine whether additional characterization, remediation, and 112
PROTECTING THE ENVIRONMENT confirmatory surveys are necessary. In addition, the NRC maintains a licensing and inspection program, inspection procedures, and regional laboratories to evaluate whether sites have been adequately decommissioned. Included in this review hic sh% rom the SDMP and other f
routine and non-routine materials facilities.
Compliance with the " timeliness in decommissioning" rule, which was promulgated in 1994, is also assessed. The rule established specific time periods for decommissioning unused portions of operating nuclear materials facilities and for decommissioning the entire site upon termination of operations. The rule is intended to reduce the potential risk to the environment or public health and safety from radioactive material remaining for long periods of time at such facilities after licensed operations have ceased. In FY 1999, the NRC's goal is to remove three sites from the SDMP list after satisfactory cleanup.
In FY 1999, the NRC's goal is to complete its review and assessment of all files of licenses that have been terminated and conduct followup activities to ensure that facilities were properly decontaminated and that radioactive materials were properly disposed of, and to identify any significant contamination requiring remediation. This effort is expected to identify additional contaminated sites that will be considered for inclusion in the SDMP.
The NRC will continue to interact with the Environmental Protection Agency in FY 1999 to resolve issues of mutual concern that relate to the regulation of radionuclides in the environment to avoid unnecessary duplication of regulatory requirements. These issues include harmonization of risk goals and assessment methods, and implementation of NRC decommissioning criteria, effluent limits, waste management activities, standards for disposal of low-level and high-level waste, and standards for recycling.
In FY 1999, the NRC will increase decommissioning activities for 18 commercial power reactors (up from 13 in FY 1997). The 18 reactors include Maine Yankee, Haddam Neck, Big Rock Point, Indian Point 1, Saxton, TMI-2, Yankee Rowe, Dresden, Lacrosse, Humbolt Bay, Rancho Seco, San Onofre 1, Trojan, GE VBWR, Fermi, Peach Bottom 1, and Zion 1 and 2.
Decommissioning activities include the review of proposed license amendments; exemption requests; post shutdown decommissioning activity reports; and the preparation of safety evaluation reprts; environmental assessments, and license termination orders. The NRC also performs project management and technical review activities, including emergency preparedness and radiation protection inspections, for the decommissioning of power reactors.
The NRC completed a rulemaking in FY 1996 that redefined the power reactor decommissioning process. As a result of this rulemaking, burdens on licensees were reduced, NRC resources were reduced, and information on decommissioning activities was made more accessible to the general public. The NRC will continue to support decommissioning-related 113 l
PROTECTING THE ENVIRONMENT rulemaking and guidance development, including areas such as fire protection, maintenance, quality assurance, final safety analysis report maintenance, standard technical specifications, physical protection of spent fuel storage and financial protection requirements. The NRC will also evaluate innovative approaches to accelerate licensee decommissioning efforts and other suggested improvements in its existing decommissioning practices.
Decommissioning Research and Regulation Develonment This activity supports development of a performance assessment capability to assess the movement of radionuclides in the environment and consequent dose to the public from NRC licensed facilities. Topics of concern within the context of performance assessment include source term, engineered barriers, flow and transport processes, pathway analysis, and calculation of doses. It also supports development of rules and regulatory guidance to address decommissioning issues.
The NRC also conducts research in the area of radionuclide transport and behavior in the environment to provide technical bases for independent regulatory actions. Because of the diversity of contaminated and disposal sites, therc i.$ an increased potential for large collective radiological exposure of the public if cleanup or stabilization of released facilities is not adequately managed, particularly at sites with complex source terms or hydrological conditions. The NRC must make reliable and timely decisions on license termination for sites where cleanup, waste disposal, or reclamation has taken place and where, in many cases, complex radionuclide transport issues remain. Research in this area addresses issues related to radionuclide inventories and source terms for site decommissioning, management of radioactive waste, and mill tailing stabilization; flow and transport models and monitoring strategies for groundwater and airborne contamination; strategies for stabilizing and isolating contaminants including monitoring and remedial techniques; long-term materials integrity of spent fuel storage containers; and general performance assessment methodology to support licensing decisions for decommissioning, mill tailing stabilization, spent fuel storage, and management of radioactive waste. Much of the work is conducted using a combination of (1) studies of existing models and data; (2) contracts with universities and national laboratories for appropriate laboratory and field investigations; (3) partnerships with other Federal agencies, research institutes, and universities; and (4) international cooperative agreements.
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In FY 1999, the NRC will continue to monitor and document cost data needed to update addenda to NUREG-1307, " Nuclear Power Reactor Decommissioning Costs." These addenda y
ensure licensees have the latest waste burial costs corrected for inflation and provide the basis for reactor licensees to commit sufficient, bta not excessive, funds for safe decommissioning.
114 1
I
PROTECTING THE ENVIRONMENT This program provides information necessary to meet the generic requirement for prediction cf concentrations and doses for radionuclides released from NRC regulated facilities. The work includes the development of a code capability to assess compliance with criteria for regulating radionuclides in the environment; guidance to licensees on data acquisition and survey techniques for implementing regulation; and. guidance to licensees on monitoring performance confirmation of decommissioned sites. Decommissioning of contaminated sites, radioactive, waste disposal, and uranium recovery activities are all-potential areas of application of the prodw ts of this program. Waste stream specific studies ofinventories and source terms are it.;iuded in the list of uncertainties to be addressed.
In FY 1999 the NRC will continue and accelerate work to develop realistic source terms for use in performance assessment that reflect the quantities, species, and chemical forms of radionuclides at various sites; will continue to test (and modify, if appropriate) models for the analysis of the performance of engineered barriers (earthen covers, geosynthetics, concrete structures) in performance assessment calculations; will continue to test (and modify, if apprcpriate) models to represent environmental systems and transport processes in performance assessment analyses; will conduct work to identify and characterize critical pathways as appropriate categories of licensed facilities; will integrate new or alternative models of subsystems into the performance assessment process to evaluate the sensitivity of dose to discipline specific models and parameters; and will continue to develop arrangements with other agencies for sharing of information and joint development of research on topics of common interest. The NRC will also continue to participate in international projects addressing important issues, and continue to develop information exchange agreements with countries facing similar problems.
J The NRC is evaluating analytical methods that provide the technical bases for reviewing site decommissioning plans. During FY 1998 through FY 1999, the NRC will provide data and models to support development of clear, stable guidance, including specific radiological criteria, to improve the precess of decommissioning. In FY 1999, the NRC will also continue 4
to model radionuclide source term releases from SDMP slags and from low-level waste sites to assess the safety performance of these facilities. Data and inormation from this ongoing research will be used in the Sandia Environmental Decision Support System, currently being developed, which will automate and validate the low-level waste performance assessments.
1 The NRC also conducts research work to support decommissioning and environmental efforts.
This work includes the development of decommissioning and environmental protection regulations and guidance for the decommissioning of facilities and sites associated with NRC-licensed activities, the establishment of criteria for releasing former materials and reactor sites 115
PROTECTING THE ENVIRONMENT for unrestricted use, and the evaluation of potential pathways and doses, and risks from public r
exposure to radioactive materials.
In FY 1999, the NRC expects to complete one to two petitions for decommissioning rulemaking, conduct two to three individual decommissioning rulemakings, and develop four to five decommissioning rulemaking plans applicable to materials licensees, and develop one to three decommissioning regulatory guides where applicable. During this period, these efforts will encompass (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 of the appropriateness of criteria for releasing areas containing buried radioactive materials.
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MANAGEMENT AND SUPPORT (Dollar amounts in tables represent thousands of dollars ($K). In text, whole dollar a nounts are used. Staff numbers represent full-time equivalents (FTEs).)
Total FY 1999 Estimate......................................, $169,269,000 FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Budget Authority by Function ($K)
Salaries and Benefits 68,405 69,245 71.526 2,281 Contract Support 89.995 93,135 96,572 3,437 Travel 1,145 1,204 1,171 33 Total 159,545 163,584 169,26's 5,685 Budget Authority by Program (SK)
Management Services 66,815 68,175 69,454 1,279 Chief information Officer 50,288 52,224 52,662 438 Chief Financial Officer 19.554 19,899 22,687 2,788 Policy Support 22,888 23,286 24,466 1,180 Total 159,545 163,584 169.269 5,685 Full-Time Equivaler.t Employment by Program Management Services 329 328 322
-6 Chiefinformation Officer 191 176 176 0
B Chief Financial Officer 104 103 110 7
Policy Support 219 204 205 1
Total 843 811 813 2
l 118 1
E MANAGEMENT AND SUPPORT EXPLANATION OF RESOURCE CHANGES BY PROGRAM Management Services. The resource increase in FY 1999 primarily results from increased costs for rent, and increased personnel costs (pay raises, within-grade increases, and benefits costs increases). These increases are partially offset by savings associated with reductions in contract management and recruitment activities.
Chie/Information Of&er. The resource increase in FY 1999 primarily results from increased personnel costs (pay raises, within-grade increases, and benefits costs increases).
Chic / Financial O/ncer. The resource increase in FY 1999 is primarily required for continued development and initial operation of a new integrated resource management system which will allow the agency to link planning, budget formulation and budget execution; and to provide the program analysis and studies needed to support strategic planning, performance planning, and performance reporting.
Poller Suvvort. The resource increase in FY 1999 is primarily aqwred for efforts associated with improving effectiveness and efficiency, including the agency's regulatory excellence program and implementing an electronic hearing docket. These increases are offset by savings associated with decreased adjudicatory hearings.
DESCRIPTION OF STRATEGIC ARENA The Management and Support Strategic Arena encompssses NRC central policy direction, legal advice for the Commission, analysis of long-term policy issues,- administrative proceedings 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.
The Management and Support Strategic Arena comprises the following four programs:
Management Services, ChiefInformation Officer, Chief Financial Officer, and Policy Support.
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 narrative that follows describes these programs and addresses the reasons why the resources are needed.
119 l
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_ MANAGEMENT AND SUPPORT Management Services FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Sudget Authority by Funct!9n ($K)
Salaries and Benefits 24,967 26,271 26,587 316 Contract Support 41,658 41,734 42,697 963 Travel 190 170 170 0
Total 66,815 68,175 69,454 1,279 Budget Authority by Activity (SK)
Administration 35,327 35,570 36,210 640 Human Resources 9,547 9,879 10,089 210 Small Business and Civil Rights 1,091 1,049 1,113 64 Region Management and Support Services 20,850 21,677 22,042 365 Total 66,815 68,175 69,454 1,279 Full-Time Equivalent Employment by Activity Administration 125 125 121
-4 Human Resources 63 62 60 2
Small Business and Civil Rights 7
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0 Region Management and Support Services 134 134 134 0
Total 329 328 322
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MANAGEMENT AND SUPPORT: Management Services Administration The Administration activity includes responsibility for rent and facility management, administrative services, contract management, and security. These functions are in direct support of the staffin carrying out the mission of the agency.
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Rent and Facility Management--In FY 1999, headquarters rent payments to the General Services Administration (GSA) and facilities management costs will total approximately
$20 million which represents 56 percent of the costs for this activity. Rent payments to GSA are for the two-building White Flint North complex, the warehouse, the Public Document Room in Washington, D.C., and other ancillary space. The day-to-day oversight of office and support space at headquarters is conducted within the Administration activity. This includes establishing policies, standards and procedures for space and building acquisition and utilization, administering the terms of the GSA delegation program applicable to 'hr. White Flint Complex, operating and maintaining buildings and grounds at White Flint, and nmnagus,,
the agency's conservation and recycling programs. During FY 1999, renovation of four floors of the One White Flint North building will be completed as part of a project to refurbist-the interior of this Government-owned building.
To reduce costs in this area, the NRC is curtailing certain facilities management activities, in the amount of $350,000 beginning in FY 1998, and is eliminating on-site elevator 121 l
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MANAGEMENT AND SUPPORT: Management Services maintenance services for one of the two White Flint North buildings resulting in a savings of
$315,000 annually beginning in FY 1999.
Administrative Services--An efficient and effective administrative support infrastructure is essential in supporting the programmatic efforts of the agency. Management oversight is provided for transportation services, including management of the motor vehicles from commercial vendors and government motor pools; traffic mitigation including subsidies for public transit, and shipping services. The agency's management and control of supplies, office equipment, furniture, postage, mail and messenger services, translations, and audiovisual services fall within this activity. During FY 1999, the staff will manage 23 vehicles, stock and dispense 550 types of supply items from a central supply store, respond to 180 office equipment maintenance calls, maintain accountability for all NRC equipment, currently estimated at 30,000 items of property, process approximately 600,000 pieces of outgoing mail, and provide logistical support for all Commission meetings.
Contract Management-In support of the agency's contract management, this activity ensures that procurement processes and agencywide contracting policies, procedures and practices are conducted in compliance with the Federal Acquisition Regu'.ation. NRC/ Department of Energy (DOE) work orders are monitored to ensure that sound contracting principles are applied to DOE laboratory agreements, and assistance is provided to agency program offices in cost negotiation and administration of laboratory agreements.
To identify opportunities for improvement in these activities, the staff will develop and pre-test a survey instrument with the client offices in FY 1998. In FY 1999, the staff will use the results of the survey to establish a baseline, and then establish a target for improvement.
The NRC will reduce contract management staffing by 3 FTEs beginning in FY 1999 through continued implementation of streamlining measures under its procurement reinvention laboratory.
Security--Safeguarding the NRC's personnel, property, and information requires a comprehensive security program. The safeguarding of restricted data and national security information at contractors', licensees', certificate holders', and other facilities are conducted within this activity.
Also included are the requesting and adjudicating of security investigations / reinvestigations, operation of the NRC secure communications center, administering the NRC drug testing program for employees and applicants, and administering the NRC intelligence support program. In FY 1999, approximately 590 investigations /
reinvestigations, and 900 random drug tests will be conducted.
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MANAGEMENT AND SUPPORT: Manmoement Services Human Resources Human Resources Advisory Products and Services to Managers and Employets-In managing the agency's human resources, a variety of activities are conducted in the area of recruitment, organization, placement, utilization, and development of agency employees. Also included under this activity is the administration of the NRC-wide occupational health and safety, employee assistance, and alcohol and drug training programs; management of the agency's health unit, child development center, and fitness center.
To reduce costs in this area, the NRC will cancel Headquarters' contractual temporary secretarial services, beginning in FY 1998, to save $345,000 each year.
Non-Technical Training-To maintain the skills proficiency of the staff, training opportunities are provided to meet the skill needs of the agency (other than reactor technology and associated technical training under the purview of the Technical Training Cer.ter). Included under this activity are in-house and external training in the areas of information technology, management and supervision, and communication skills.
In FY 1999, approximately 600 instructor-led course sessions and 450 self-study courses will be provided to employees.
High Quality, Culturally Diverse Applicant Pool / Replacement Hiring-To meet the agency's skills needs, Human Resources recruits highly qualified individuals by attending career fairs, professional meetings, and advertising in the printed media. In FY 1999, the agency will recruit for an estimated 150 vacancies, and maintain a high quality, culturally diverse applicant pool with at least 75 percent diversity representation as compared to availability for each demographic category.
Small Businw and Civil Rights The Office of Small Business and Civil Rights provides policy guidance, direction, and assistance in the areas of Small Business, Civil Rights, Affirmative Action, and the Historical Black Colleges and Universities Program. It engages in outreach efforts to identify small, minority, and women-owned businesses and stimulates their interest in doing business with the NRC. The office develops the Agency's ^"irmative Program Plan, and manages the Equal Employment Opportunity complaint pre It also monitors Agency human resource processes and systems, and provides input to aese systems to facilitate equal opportunity for all employees, including minorities, females, and handicap employees. It also assists Historical Black Colleges and Universities in developing expertise in science, engineering and other NRC-mission-related activities.
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l MANAGEMENT AND SUPPORT: Management Services Management of these programs includes evaluating the programs' success in facilitating fair opportunity for all NRC employees and applicants for employment. It also includes a semi-annual briefimg of the Commission on the status and success of the overall Agency EEO Program. The office also plans and sponsors observances to broaden and enhance NRC employees' cultural awareness.
Recion Management and Support Services This activity provides for management and support services for the four Regional Offices including rent, administrative services, and information technology. The Walnut Creek Field Office will be closed in FY 1999.
In FY 1999, regional rent payments to the General Services Administration (GSA) will total approximately $6 million, which represents 27 percent of this activity.
An efficient and effective administrative support infrastructure is essential to support the programmatic efforts of the Regions. Management oversight is provided for the transportation of persons and things, including the rental or lease of motor vehicles, and freight and express mail services. The Regions' management and control of supplies, materials, postage, office equipment and maintenance, and employee health services are required to meet the general office needs of the Regions.
To meet the Regional information processing and access requirements, a variety of goods and services are necessary. End-user support services include the acquisition of miscellaneous computer hardware and software and related support. Technology infrastructure includes network development and support, telecommunications services (e.g., voice, paging, cellular; and related support services. Systems development and integration includes development of regional applications, selected data entry, and system maintenance.
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MANAGEMENT AND SUPPORT Chief Information Officer FY 1999 Estimate FY 1997 FY 1998 Change from Enneted Estimate Request FY 1998 Budget Authority by Function (SK)
Salaries and Benefits 14,932 13,904 14,337 433 Contract Support 35,289 38,220 38,225 5
Travel 67 100 100 0
Total 50,288 52,224 52,662 438 Budget Authority by Activity ($K)
Information Technology 34,900 37,021 36,816
-205 Information Management 15,388 15,203 15,846 643 Total 50,288 52,224 52,662 438 Full-Time Equivalent Employment by Activity Information Technology 89 81 81 0
Informat!cn Ma::sgement 102 95 95 0
Total 191 176 176 0
ChiefInformation Officer The Office of the Chief Information Officer (OCIO) plans, directs, and oversees the NRC's information resources, including information technology infrastructure, applications systems, and delivery ofinformation management services, to meet the mission and goals of the agency, The OCIO ensures that information technology resources are acquired and information resources are managed consistent with Federal Information Resources Management laws and regulations, including implementation of the Clinger-Cohen Act of 1996, 125 L
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Mmme a Pmomm se suu Information Technoloey Planning and Program Support--This activity is the focal point for information resource planning and implementation of the Clinger-Cohen Act of 1996. This includes management of agency technology planning; development and implementation ofinformation technology (IT) architectures; management of the agency's IT Capital Planning and Investment Control process; development of agency IT and information management (IM) policy; and management of administrative, acquisition, personnel and financial matters for the information resources management program. This activity also includes the NRC's computer security program, which
-implements administrative, technical, and physical security measures for the protection of NRC's information, automated information systems, and information technology infrastructure.
The computer security program encompasses special safeguards to protect classified information, unclassified safeguards information, and sensitive unclassified information that is proce:; sed, stored, or produced in all types of automated information systems.
In FY 1999, as part of the NRC program to develop and maintain an IT architecture, the staff will evaluate the cost and quality of automation of two NRC business areas and complete the development of a high-level model of the data that supports two NRC business areas. The agency's Technical Reference Model will be updated to provide standards for implementation of 32-bit operating systems require i for the Agencywide Document Access and Management System (ADAMS). As part of the FY 1999 computer security program, the NRC will provide computer security awareness training to all employees. The staff will continue its program to detect and prevent virus attacks with a goal of preventing any virus infections of the NRC network.
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MANAGEMENT AND SUPPORT: ChiefInformation Officer Information Technology Infrastructure-This activity provides the development, operations,
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and support of a reliable and robust IT infrastructure which is critical for supporting NRC's mission requirements. The infrastructure supports NRC's ability to communicate internally and, exteinally, with 104 nuclear reactor sites, the public, and other government agencies.
3 Through this activity, the OCIO provides NRC with comprehensive integrated voice and data communications, networking, connectivity, and computer services. The infrastructure provides the hardware, software, and telecommunications equipment and associated services to support NRC business requirements for developing, maintaining, and operating programmatic and administrative applications systems.
By the end of FY 1999, 80 percent of NRC resident inspector sites will hau a direct connection to the agencywide network for access to agencywide applications and network resources. Also, approximately 93 percent of the agency's microcomputers wil! 'oe upgraded to Pentium class computers.
Applications Development--This activity covers the development and maintenance of the agency's information systems. All agency systems are developed within the structure of a systems development life cycle to ensure adherence to standards, proper documentation, and use of a consistent methodology for project planning and management. Permanent teams are assigned to develop, maintain, and support the NRC applications for each major business area to ensure integrated planning and implementation and increase data sharing. Activities associated with addressing the Year 2000 computer problem will continue to focus on repairing all mission and business critical systems in line with the milestones established by the Office of Management and Budget. The majority of the effort to renovate these systems will take place in FY 1998. Most of the effort in FY 1999 will be directed to the final validation that the systems are corrected and the implementation of repaired systems.
Recognizing that NRC's regulatory functions require the preparation, review, receipt, and distribution of large quantities of information and its effective management, the agency continues to develop and implement a core document management system (ADAMS) that is critical to NRC's mission. ADAMS will ensure the integrity of NRC's document repository for recordkeeping, legal uses, and staff retrieval by capturing documents once, at their source, as they are electronically created or received by the agency. This project will put in place a document system and infrastructure that is critical to providing ready access to regulatory information and will ensure the completeness of the agency's document and records collections.
In FY 1999, for those systems meeting the criteria for inclusion in NRC's Information Technology Capital Planning and Investment Control process, the staff will prevent any significant deviations (as defined in the Clinger-Cohen Act) from system development targets.
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MANAGEMENT AND SUPPORT: ChiefInformation Officer By March 31,1999, all maintained application systems that are identified as mission-critical or business-essential will be able to process dates beyond January 1,2000.
Information Management Publications Services--This activity provides centralized, agencywide publications control and aut.aated reports processing, word processing, scanning services, and technint writing and 3
editing services. It also provides centralized support for professional design and graphics services. To enhance communications with and make information available to the public, j
NRC is utilizing World Wide Web technologies for significant documents such as NRC Regulations, the NRC Annual Report, the Information Digest, Standard Review Plans, and NUREG-series reports in downloadable files.
Records Management--This activity ensures that NRC records and other documents are managed as agency resources, are retained in accordance with government regulations, and are complete and accurate and accessible. This activity includes management and operation of an automated, centralized agency document system. In order to prepare for the transition to electronic recordkeeping, the staff will submit a comprehensive records disposition schedule in January 1999 needed to gain National Archives and Records Administration approval of ADAMS as the agency's official electronic recordkeeping system.
In FY 1999, the staff will develop and implement an approach for voluntary electronic submission of documents to the NRC that is flexible (accommodates a large variety of electronic formats) and provides for appropriate surety and safeguards (appropriate levels of authentication, verification, and security for various types of document submittals).
Information Services--This activity provides for the search, retrieval, and dissemination of information to the NRC staff and the public, and includes operating and managing the Public Document Room (PDR), coordinating local public document room activities, managing the Freedom ofInformation Act program, and providing essential library services.
In FY 1999, the staff, through the PDR, will attain an average response time for written requests of 2.5 working days, and will answer 85 percent of onsite and phone requests by the close of business the following working day. The stuT annually coordinates the response to approximately 500 to 550 information requests from the public in accordance with the Freedom ofInfornwion Act with a goal of responding to these requests within 30 working-days.
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MANAGEMENT AND SUPPORT Chief Financial Officer FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Budget Authority by Function ($K)
Salaries and Benefits 7,500 7,785 8,579 794 Contract Suppo.t 12,034 12,095 14,088 1,993 i Travel 20 19 20 1
Total 19,554 19,899 22,687 2,788 Budget Authority by Activity ($K)
Chief Financial Omccr 13,157 14,195 16,737 2,542 Permanent Change of Station 6,397 5,704 5,950 246 Total 19,554 19,899 22,687 2,788 Full-Time Equivalent Employment 104 103 110 7
Chief Financial Omcer The Office of the Chief Financial Officer provides for the overall financial management of the agency through activities that are traditionally associated with the budget and accounting functions, and it sets and interprets financial management standards as established by regulation and general practices.
Accounting activities include the maintenance of a general ledger accounting system; the financial reporting required by other federal agencies; payments to vendors for goods and services received, with a FY 1999 target of 100 percent of vendor payments accomplished by electronic funds transfer (EFT), and a 94 percent on-time payment rate; and an annual, audited financial statement, in FY 1997, F^,ercent of vendor payments were accomplished by EFT and 95 percent of vendor payments subject to the Prompt Payment Act were made on time.
The FY 1998 financial statement will be published by March 1999. During FY 1999 and 129
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MANAGEMENT AND SUPPORT: Chief Financial Officer FY 2000, NRC will move its core accounting system to a new integrated agencywide resource management system.
The office performs the required functions for budget planning, development, and oversight of budget execution. This includes managing the agency planning process, including updating the agency Strategic Plan and developing the annual Performance Plan and annual Performance Report, as required by the Government Performance and Results Act of 1993. NRC plans to provide the FY 2000 Performance Plan to Congress and the public by early February 1999 and the FY 2001 Plan to OMB in miil-September 1999. Annual performance reports are due to the President and the Congress within 6 months of the close of the fiscal year. The office administers the NRC's authorization and appropriation legislation, manages the administrative contidt of appropriated and non-appropriated funds, and approves and issues allowances and financial plans to users of agency funds.
The NRC is required to recover approximately 100 percent of the agency's budget authority through license and annual fees. In FY 1999, NRC's target is to recover at least 98 percent of the total projected fees and to have not more than 5 million dollars in accounts receivable due at the end of the fiscal year. In FY 1997,99 percent of the projected fees were collected.
Activities necessary to meet this requirement include developing and issuing rules that reflect fee to offset the budget authority each year; providing policy, processing applications, and analyzing fee-related data; issuing approximately 7,000 annt.al fee bills and 2,200 full cost licensing and inspection invoices per year; pursuing collection action; and responding to congressional constituent and licensee correspondence regarding fee billings. The office also provides services directly to employees, such as temporary duty travel services and change of station travel, as well as the traditional functions of payroll services that ensure that disbursements are accurate and timely.
Permanent Change ofStation This activity is carried out to ensure that NRC personnel who are required to change duty stations are afforded the required relocation services and expenses related to permanent change of station services and moves, such as expenses incurred in connection with the sale and purchase of a residence, transportation of household goods, and subsistence while occupying temporary quarters and other miscellaneous moving expenses.
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MANAGEMENT AND SUPPORT i
Policy Support FY 1999 Estimate FY 1997 FY 1998 Change from Enacted Estimate Request FY 1998 Budget Authority by Function (5K)
Salaries and Benefit:
21,006 21,285 22,023 738 Contract Support 1,014 1,086 1,562 476 Travel 868 915 881 34 Tc:al 22,888 23,286 24,466 1,180 Dudget Authctity by Activity ($K)
- Commiss, 4,708 5,208 5,344 136 Commission Appellate Ad.judication 591 442 463 21 Congressional Affairs 897 996 1,026 30 Oct.eral Counsel 5,242 4,879 5,028 149 Public Affairs 1,410 1,457 1,607 150 Secretariat 1,730 1,775 2,036 261 geytive Director for Operstbns 2,147 2.626 3.242 616 Advisory Committees on Reactor Safeguard / Nuclear Waste 3,336 3,341 3,440 99 s
f, Atomic Safety Licensing Board Panel 2,827 2,562 2,280 282 g I
Total 22,884 23,286 24,466 1,180 131
MANAGEMENT AND SUPPORTt Polley Support i
F; 399 Estimate FY 1997 FY 1998 Chtssge from Enacted Estimatt Request FY 1998 Full Time Equivalent Employment by Activity Commission 45 45 45 0
Commission Appellate Adjudication 6
4 4
0 Cong tssional Affairs 9
9 9
0 General Counsel 53 45 44
-1 Public Affairs 14 13 14 1
Secretariat 17 16 17 1
Executive Director for Opcrations 21 23 26 3
i Advisory Committees on Reactor Safeguards / Nuclear Waste 31 29 29 0
Atomic Safety Licensing Board Panel 23 20 17 3
Total 219 204 203 I
The Commission is the governing body of the Nuclear Regulatory Commission. It is responsible for determining the fundamental policy and for guiding staff offices to ensure that the civilian use of nuclear energy is regulated in a mannn consistent with public health and safety, environmental quality, national security, and antitrust laws.
The following Commission-level offices provide support to the Commission.
Commission Appellate Ad/udication a.'sists the Commission in its disposition of appeals of licensing board decisions and other adjudicatory matters coming before the Commission and monitors pending board cases.
Concressional Affairs serves as the principal point of contact between the Commission ar.d Congress. The primary objectives of this activity are to casure that Congress is kept fully and currently informed about agency activities, to coordinate appearances by the Commission and other NRC officials before Congress, to track Congressional actions and keep the Commission apprised of legislative activities likely to affect the agency, and to help ensure that Congressional requests are responded to in a timely manner.
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MANAGEMENT AND SUPPORTr Pau-v Sunnart The General Comasalis the Commission's chieflegal advisor and advises the Commission on
' adjudicatory matters requiring the Commission's decision; represents the Commission in Federal court of appeals proceedings to review Commission orders and rules; and, in -
cGGP,a. don with the Department of Justice, represents the Commission in court procedings affecting NRC's programs in the Federal district courts and the Supreme Court.
The General Counsel also provides advice and assistance to the Commission and NRC offices on mauers involving interagency agreements, legislation, procurement, intellectual property, budget, security, and administrative functions, and represents the NRC in public rulemaking and administrative hearings involving procurement, personnel, personnel security, labor relations, and equal employment opportonity matters. The General Counsel is the designated agency official and provides advice to the Commission and OGC staff on all matters related to ethics and conflict of interest, and b responsible for admmistering the ethics program prescribed by the Office of Government Ethics.
PuMic 4&lrs (OPA) assists the Chairman in carrying out responsibilities as principal spokesman for the NRC. It assists the Commission and senior NRC staff by managing and directing the agency's public affairs program. This includes keeping top management informed of public interest in and media coverage of NRC's regulatory activities, advising the Commission on a public affairs strategy that can be implemented effectively, and advising management on conducting public meetings. Public Affairs keeps the public and media informed of NRC policies, programs, and activities; works with civic groups; and administers a small cooperative program with schools. The office distributes press releases, speeches t.ad other key docur ents. It responds to inquiries from reporters and the public by electronic mail, telephon, facsimile, and letter, obtaining information requested and setting up technical interviews as needed, and maintains regular dialog with reporters who follow NRC to help them get accurate, contextual infounation,- to gain advance knowledge of what is being reported, and to notify reporters about major agency actions and release of key documents when they are about to occur.
In_FY 1999. OPA expects an increase in the use ofIntemet and to distribute more information through electronic mail, including i,000 Internet docurrents and 400 electronic mail queries,
. and to respond to 10,000 telephone and facsimile requests for information within 5 working days of receipt of the query, as well as respond to 500 mail queries.
The Secretariat (SECY) provides executive management services to support the Commission and to implement Commirsion decisions including the planning and scheduling of Commission business and preparing the Commission's meeting agenda, managing the Commission's decisionmaking process, codifying Commission decisions in memoranda directing staff action,
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MANAGEMENT AND SUPPORT Pallev S u - ri and monitoring staff compliance of pending issues and commitments.' SECY maintains the Commission's adjudicatory and rulemaking dockets, processes and controls Con"nission correspondence, maintains the Commission's omclal records, and administers the NRC historical program. During FY 1999, SECY will begin implementation of an Electronic Hearirig Docket (EHD) which will enhance the processes for handling the Commission's t
adjudicatory activities.
1 The Erneurive Dirnetor for Operations (EDO) is the chief operational and administrative officer of the Commission, 2nd is authorized and directed to discharge such licensing, regulatory, and administrative functions of the NRC and to take actions as are necessary for j
day-to-day operations of the agency.
The omce supervises and coordinates policy development and operational activities of the EDO staff and program offices and implements Commission policy directives pertaining to these offices.
The Advisarv Com=frene on Reactor L/, guards (ACRS) is independent of the NRC staff and is statutorily mandated by the Atomic Energy Act of 1954, as amended, it performs independent reviews and provides advice to the Commission on proposed or exisiing reactor facilities and t e adequacy of proposed rules and standards. The ACRS relies on highly h
qualified members, specialized consultants, and a cadre of technical and administrative support personnel.
In FY 1999, the ACRS will provide the Commission with independent advice on matters that
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are referred to it by the Commission. It will review and report on safety studies, hazards of existing reactor facilities, and reactor safety standards and will review, on its own initiative, generic matters or reactor safety-related items. These reviews will include safety issues associated with operating reactors; NRC technical training programs; human performance and reliability; resolution of generic safety Issues; risk-informed and performance based approaches to the regulatory process; steam generator integrity; fire protection; development of new or modified NRC thermal-hydraulic codes; technical issues associated with plant license renewal; age-related degradation of plant systems, structures, and components; behavior of high-burnup fuel under accident conditions; onsite dry cask storage of fuel at production and utilization facilities; and electric utility deregulation and restructuring.
i The ACRS will also independently review the NRC reactor research program and provide its views in an annual report to Congress. This review will address both the adequacy of the NRC program and the broader question of whether the information needed for future NRC N;ulatory decisions will be available. In FY 1999, the ACRS review will include the International Cooperative Research Program. The ACRS will also provide the Commission i
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MANAGEMENT AND SUPPORT: Polley Support with independent advice on the need, scope, and balance of the Reactor Safety Research program.
The Advisory Committee on Nuclear Waste (ACNW) performs independent technical reviews nd provides advice to the Commission on the disposal of radioactive nuclear waste and related matters. The Committee relles on highly qualified members, a cadre of technical and administrative support personnel, and consultants with technical expertise in certain areas who conduct studies and report on specific areas of concern associated with all facets of radioactive waste disposal as referred to it by the Commission. The ACNW will review issues associated with oversight of Department of Energy facilities and the privatization of operations involving the decommissioning of Department of Energy facilities. The Committee also reviews waste disposal issues associated with the generic topic of decommi:isioning. The Committee provides advice on issues related to low-level waste research.
The Atomic Safety and Licensing Board Panel (ASLDP), a statutory office of the NRC, conducts adjudicatory hearings, usually at or near the site where the dispute arose, 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. ASLBP's administrative judges sit alone and in three-member boards.
ASLBP judges hear and decide petitions for hearing by intervenors and licensees concerning public health safety and environmental issues arising out of the grant, suspension, revocation, or amendment of licenses to operate and decommission nuclear power plants. They also address issues involving civil penalties, antitrust, e.nd emergency planning.
ASLBP judges also hear and decide requests to grant, suspend, revoke, or amend nuclear materials licenses that address issues involving health, safety, and the environment and may preside over enforcement matters, antitrust activities, and emergency planning.
The ASLBP provides advice on adjudicatory matters, other proceedings, and other regulatory and administrative matters as requested and will review and make suggestions for amending regulations to expedite the hearing process and make it more understandable and easier to use.
The Commission may also direct ASLBP to preside over rulemaking hearings in either reactor or materials programs.
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INSPECTOR GENERAL 4
7.
INSPECTOR GENERAL (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 1999 Estimate.......................................... $5,300,000 FY 1999 Estimate FY 1997 FY 1998 Change from Enseted Estimate Request FY 1998 Budget Authority by Function ($K)
Salaries and Benefits 4.125 4.199 4.601 41 Contract Support 635 360 459 99 Travel 240 241 240
-1 Total 5.000 4.800 5.300 500 Full-Time Equivalent Employment investigations 14 16 16 0
Audits 15 16 16 0
Management, and Operational Support 14 11 12 1
Total 43 43 44 1
EXPLANATION OF RESOURCE CHANGES Tbc resource increase in FY 1999 primarily results from increased costs for information technology, and personnel
+c (pay raises, within grade increases, and benefits costs increases).
I DESCRIPTION OF PROGRAM Q,
O The NRC's Office of Inspector Geneml (010) was established in April 1989 to independently evaluate the agency's programs and operations to ensure their efficiency and effectiveness, and investigate allegations of fraud, waste and abuse. The OIG accomplishes its mission by 138
INSPECTOR CENFRAL performing audits, investigations,'special evaluations, event inquiries, and other reviews. In addition, OIO reviews the agency's policies and programs to ensure they meet specific legislative mandates. -
The NRC and the OIO each have complimentary unique responsibilities in support of the
- egency's mission. lThe NRC's 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 010, therefore, plays a critical role by assessing and reporting on the efforts of the NRC to ensure that its safety-related programs are operating effectively.
Similarly, the NRC is responsible for ensuring that individuals who identify nuclear safety concems regarding the use of nuclear materials do not suffer adverse job actions resulting from
- such activities. The O10 continually assesses the NRC's efforts to combat this type of unlawful discrimination.-
A more detailed description of the major 010 activities follows.
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 O10 cudit staff conducts performance and financial audits. Performance audits focus on the NRC's -
administrative and program operations. Financial audita focus on the NRC's internal control systems, transaction processing, and financial systems.
In FY 1999, the OIO will conduct 16 to 18 audits. The audits planned for this period are -
based on a comprehensive annual audit plan that includes input from the various elements of
'the NRC, Cong,ress, the General Accounting Office (OAO), the Office of Management and Budget (OMB), the Department of Energy (DOE), and the nuclear industry, as well as from
- the OIO staff. The plan identifies key, high-risk, high-cost programs for audit, including the
-NRC's inspection, research, waste management, international activities, and information resources management programs.
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 issues, including the annual audit of the NRC's financial statements as mandated by the Chief Financial Officers Act. The staff plus to complete the FY 1998 Financial Statements Audit Report by March 1999.
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INSPECTOR GENERAL The NRC is required by the Omnibus Budget Reconciliation Act of 1990 to recover approximately 100 percent of its budget authority, in FY 1999, the NRC will collect approximately $467 million in fees from the industries that it regulates. Therefore, the agency must utilize sound financial practices to comply fully with its legislative mandates. The 010 assists the agency in meeting these objectives by conducting financial audits.
Additionally, in FY 1999, the 010 will assess and report on the NRC's response to recommendations made by the 010 and other audit entities, such as the GAO, concerning NRC programs.
Investleations Consistent with the Inspector General Act of 1978, the 010 receives and investigates 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 investigative activities related to the integrity of the NRC's programs and operations.
The majority of investigative activities are reactive. However, proactive investigations may also be conducted where indications of potentially systemic violations, such as theft of government property, or contract fraud have been raised. in addition, the 010 periodically performs root cause analyses and implements other preventive initiatives such as integrity awareness training. 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 OlG received 483 allegations in FY 1997;111 investigations and event inquiries were opened and 74 were closed. It is anticipated that a like or increased number of cases will be opened and closed during this planning period. In addition, investigators may participate in agency task forces that exarnine ways to strengthen agency operations.
Ahmacement and Overational Suoport The Inspector General's nianagement and operational support staff consists of senior managers, administrative support and legal counsel.
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INRPFPTOR CENrn AL The OIO senior managers lead a diverse program and provide policy direction and guidance in the conduct and supervision of audits and investigations, as well as provide leadership and coordination in recommending policies to prevent and detect fraud and abuse in agency programs and operations.
The OIO administrative staff formulates and executes the OIO budget; prepares the OIO's semiannual report to Congress; operates an 1%t personnel program; manages the 010 contract audit program; authorizes 010 travel; provides information technology, space planning, security management, quality assurance and procurement support to the 010; and serves as the liaison and point of contact for activities of the President's Council for Integrity and Efficiency.
The 010 Legal Counsel provides independent advice on issues concerning criminal law and procedures, evidence, and constitutional law as these relate to the OIO's investigative program.
The OIO Legal Counsel develops legal interpretations of appropriations law, financial management statutes and regulations, and procurement and funding rules in support of the OIO's auditing program.
The O10 Legal Counsel furnishes litigation support to the Dep i...cr.t of Justice and others as necessary, and advises on matters concerning personnel, labor law, and Privacy Act and Freedom ofInformation Act issues. The OIO Legal Counsel also reviews in depth and comments on existing and proposed legislation, regulations, directives, and policy issues that affect agency programs and operations.
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APPENDIX
APPENDIX This appendix contains the following:
Legislative Program Projections, which summarizes the NRC's budget authority and outlays by appropriation for FY 1996 through FY 2003.
A report on drug testing, required by 31 U.S.C. I105(a), which describes the NRC's drug testing activities conducted in accordance with Executive Order 12564.
A report on the Status of Pilot Program of Simulated Regulation of Cettain DOE Nuclear Facilities.
A summary of the NRC's reimbursable work agreements including the source and amount of funding, a project description, a justification for the NRC's involvement in each project, and a description of the billing procedures and the extent of full-cost recovery.
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APPENDIX U. S. NUCLEAR REGULATORY COMMISSION LEGISLATIVE PROGRAM PROJECTIONS (Dollars are in millions.)
SALARIES AND EXPENSES INSPECTOR GENERAL APPROPRIATION APPROPRIATION Budget Budget Budget Budget Authority Outlays Authority Outlays FY 1998 Enacted 468.0 469.0 4.8 4.8 FY 1999 Estimate 483.3 479.5 5.3 5.2 FY 2000 Estimate 497.5 494.0 5.5 5.5 FY 2001 Estimate 512.8 509.0 5.6 5.6 FY 2002 Estimate 528.2 524.4 5.8 5.8 FY 2003 Estimate 542.4 538.9 5.9 5.9 146
APPENDIX U.S. NUCLEAR REGULATORY COMMISSION REPORT TO CONGRESS ON DRUG TESTING The Nuclear Regulatory Commission's (NRC's) Drug Testing Plan was initially approved in August 1988 and updated in November 1997. NRC drug testing requirements on the nuclear industry through regulations are separate from this program and are not covered by this report.
The NRC's Drug Testing Program under Executive Order (E.O.) 12564 includes random, applicant, voluntary, followup, reasonable suspicion, and accident related drug testing.
Testing was ini!!ated 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.
'Ihe NRC positions meeting the following criteria are considered testing-designated positions, and the employees filling these positions are subject to random testing: (1) regional and headquarters employees who have unescorted access to vital or protected 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 1,725 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 1,091 tests of all types were conducted between October 1,1996, and September 30,1997. 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 this year, and subsequently retired. One employee is in followup testing and continues to be subject to random testing.
Internal quality control reviews 7re completed during the past year to ensure NRC's program continues to be administered in a fair, confidential, and effective manner.
The NRC's Drug Testing Program !* based on the principles and guidance provided through E.O.12364, Public Law 100-71, Department of Health and Human Services guidelines, and Commission decisions.
147
APPENDIX U. 5. NUCLEAR REGULATORY COMMISSION REPORT TO CONGRESS ON STATUS OF PILOT PROGRAM OF BIMULATED REGULATION OF CERTAIN DOE NUCLEAR FACILITIES
Background
In 1994, legislation was introduced in the House of Rep:esentatives that would have subjected new U.S. Department of Energy (DOE) facilities to immediate oh regulation by the U.S.
Nuclear Regu! story Commission (NRC) and would have created a Congressional Commission to study possible external regulation of existing facilities. As an alternative to such a Commission, Hazel O' Leary, then Secretary of Energy, created the Advisory Committee on External Regulation of DOE Nuclear Safety (Advisory Committee) in January 1995. The Advisory Committee was charged with pmviding advice and recommendations on whether and how new and existing DOE facilities and operations might be regulated to ensure nuclear safety.
In its December 1995 report, improving Regulation ofSafety at DOE Nuclear Facilities, the Advisory Committee recommended that essentially all aspects of safety at DOE's nuclear facilities should be externally regulated. Secretuy O' Leary accepted and endorsed the Advisory Committee's report; further she created the DOE Working Group on External Regulation (Working Group) to provide her with recommendations on implementing the Advisory Committee report. The recommendations made by the Working Group in its December 1996 report were: (1) NRC should be the external nuclear safety regulator, and (2) the move to external regulation should be phased-in over several years. Both the Advisory Committee and the Working Group concluded that the transition to NRC regulation would involve significant legal, financial, technical and procedural adjustments for both agencies.
In September 1996, NRC published for comment a series of Direction Setting Issue (DSI)
Papers under the Strategic Assessment and Rebaselining initiative. One of the issue papers, DSI 2, addressed options for NRC's position on the regulation of DOE facilities. In March 1997, after considering public comments, as well as the December 1996 DOE hision to seek transfer of oversight to NRC, the Commission endorsed seeking the trarafer to NRC of responsibility for the regulatory oversight of certain DOE nuclear facilities, contingent on adequate funding, staffing and a clear delineation of the authority NRC would exercise over these facilities. In addition, the Commission directed the staff to convene a high-level NRC Task Force to identify, in conjunction with DOE, the policy and regulatory issues needing analysis and resolution.
148 l
l
i-APPENDIYr Eta *== af DOE Pilot Praer=== -
L l
l At a meeting in June 1997, both DOE Secretary Pena and NRC Chairman Jackson, rerresenting the Commission, agreed to pursue NRC regulation of DOE n'; lear facilities on a pilot program basis.
+
internennev Aaronment
. An Interagency Agreement for reimbursement of NRC's fiscal year (FY) 1997 costs associated with preparing the Memorandum of Understanding (MOU) and creating a pilot program plan was signed on September 25, 1997. Under the Interagency Agreement, NRC recovered approximately $227,000 fmm DOE. Reimbursement under the Interagency Agreement is not applicable for FY 1998 since Congress appropriated funds directly to NRC for NRC's activities associated with the pilot program.
Memoranam of Understanding The-MOU was signed by Chairman -Jackson and transmitted to Secretary Pena on November 21,1997 and focuses on a pilot program of simulated regulation. The overall objectives of the pilot program, as stated in the MOU, are to determine the desirability of NRC regulatory oversight of DOE nuclear facilities and to support a decision on whether to seek legislation to authorize NRC regulation of certain DOE nuclear facilities. Further, the pilot program is designed to test regulatory concepts at certain DOE nuclear facilities, through simulated regulation, by evaluating a facility and its standards, requirements, procedures, practices, and activities against the standards that NRC believes would be appropriate to
- ensure safety at that pilot facility.
In addition, there are eight specific objectives rtated in the MOU:
Determine the value added by NRC regulatory oversight of activities at a pilot set of DOE nuclear facilities.
Test regulatory approaches that could be used by NRC in overseeing activities at a pilot set of DOE nuclear facilities.
Determine the status of a set of DOE pilot facilities, with respect to meeting existing I
NRC requirements, or acceptable alternatives, and identifying any sigreficant safety issues.
149
h i
APPENDIXr Status of DOE PHat Pronrann Determine the costs (to DOE and NRC) related to NRC regulation of the pilot facilities-and other DOE facilities that might be in a similar class and condition.
Evaluate alternative regulatory relationships between NRC, DOE, and DOE contractors at the pilot facilities. Identify DOE contract changes that would be needed to provide j
for NRC oversight of contractor operations.
t Identify issues and potential solutions associated with a transition to NRC oversight of
- DOE nuclear facilities.
Identify legislative and regulatory changes necessary or appropriate to provide for NRC
[
regulatory oversight of DOE nuclear facilities.
Evaluate how stakeholders should be involved if the NRC assumes broad external regulatory authority over DOE nuclear facilities.
Implementation details for each pilot facility are being negotiated by DOE, NRC, and DOE
.. contract 3rs in individual work plans. Each plan will contain a consistent set of core questions
'and issues that need to.be addressed for all facilities to make the broader decision on whether to seek regulatory jurisdiction over DOE nuclear activities. The MOU calls for conducting pilot projects of simulated regulation at 6-10 facilities by the end of FY 1999. Depending on the results of the 3 pilot projects conducted in FY 1998, the FY 1999 level of activity could range from 1 additional pilot (with continued examination of the first 3 pilot projects to detcrmine the adequacy of follow through on commitments by the pilot facilities) to a few additional pilot projects. For FY 1998, three facilities have been identified for review under the pilot program, t
Lawrence Berkelev National Laboratory (LBNL) Pilot Profect r
The LBNL Pilot Project is currently underway and the staff has completed two site visits to -
LBNL. A Work Plan to conduct the pilot project was developed with NRC, DOE, and LBNL
-staff. During site visits, NRC staffinteracted with DOE, the State of California, the LBNL contractors, and the University of California (UC).
This included pre-licensing and l:
~ " inspection"-like visits to each major facility identified at LBNL previously, as well as preliminary work on a mock NRC license application, to identify issues related to implementation'of external regulation of DOE. The team's review included a review of the L
LBNL site organization, the management of the radiation safety program - including the role of the radiation safety committee and radiation safety of11cer--and the implementation of the 150 y
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APPENDIX: Status of DOE Pilot Program radiation safety program. The team examined the training of facility users and radiation protection staff; the receipt, transfer, and inventory of radioactive materials; personnel radiation protection --including personnel monitoring, radiation surveys, laboratory and survey instrumentation, and the as low as is reasonably achievable (ALARA) program, radioactive waste management, effluents and legacy issues; the implementation of radiation safety procedures and requirements; the transportation of radioactive materials; environmental monitoring; and emergency preparedness. No safety issues requiring immediate corrective actions were identified.
The team also met with DOE and LBNL staffs and discussed issues that might be affected by external regulation, such as the terms of the DOE /UC contract, the existing applicable Work Smart Standards, LBNL Integrated Safety Management Systems, DOE's oversight role and practices, and the baseline operational costs of radiation protection at LBNL. NRC and the State of California Department ofIlealth Services provided LBNL with relevant documents and guidance for the preparation of radioactive materials licenses. The State of California also provided documents and guidance pertaining to the registration of radiation generating machines. The final report for the LBNL pilot is scheduled for April 1998.
{lak Ridee National Laboratorv Radiochemical Eneineerine Development Center Pilot Project The Radiochemical Engineering Development Center (REDC) Pilot Project is scheduled to begin in January 1998. Three site visits are expected to be complete by late March 1998, llowever, REDC is currently in the process ofimplementing the Work Smart Standards as part of the Integrated Management System and it would prefer that Phase 1 not begin until May 1998. The staff will continue to negotiate with REDC to have Phase 1 occur as soon as meaningfully possible.
Savannah River Site Independent Spent Fuel Storace Installation Pilot Project DOE has recently proposed this site. The advantages ofincluding the Independent Spent Fuel Storage Installation include:
lt is a new construction project that will have to be designed in accordance with NRC
=
standards, consistent with the FY 1998 Energy and Water Development Appropriation Act Conference Report.
151
l APPENDIX Status of DOE Pilot Program It will permit us to test the flexibility of the NRC program in new situations (e.g., aluminum clad fuels).
The facility will eventually be privatized.
It is representative of a class of facilities.
It is an environmental management facility.
In addition, it meets the criteria established for selection of pila projects:
It falls within the planned limit of three pilot facilities for FY 1998.
It represents a facility that is similar to those that NRC currently licenses.
There is a strong possibility that the existing NRC regulatory program can be applied.
It is anticipated to operate for a long period (e.g.,10 years or more).
The facility is willing to participate.
Future Activities:
The Conunission has requested that the NRC staff, in consultation with DOE, prepare a revised MOU that would incorporate lessons teamed during the pilot program, and would allow DOE and NRC to promptly seek legislation, if agreed, for NRC regulatory authority for a specific pilot and each successive pilot in the pilot program. After the two-year pilot program ends, DOE and NRC staffs will prepare and provide to the Secretary of DOE and the Commission a report on the advantages and disadvantages of NRC regulating certain DOE nuclear facilities based on the pilot program experiences. The report will include a recommendation on which DOE nuclear facilities or which classes of DOE nuclear facilities should be regulated by the NRC.
152
APPENDIX l
U. S. NUCLEAR REGULATORY COMMISSION
SUMMARY
OF REIMBURSABLE WORK AGREEMENTS (New Budget Authority)
FY 1997 FY 1998 FY 1999 (Estimate)
(Estimate)
INTERNATIONAL ASSISTANCE TO FOREIGN GOVERNMENTS AND ORGANIZATIONS Core Conversion Project
$0
$407,000
$478,000 InternationalinvitationalTravel
$53,221
$55,000
$55,000 Nuclear Safety Initiatives for the New Independent States
$2,650,000
$4,300,000
$3,000,000 Regional Energy Efriciency Project
$568,000
$650,000
$800,000 ADMINISTRATIVE AGREEPIENTS Criminalliistory Program
$925,152
$1,200,000
$ 1,200,000 Information Access Authorization Program
$134
$10,000
$10,000 Material Access Authorization Program
$?o7,400
$290,000
$290,000 OTHER AGREEMENTS Almninum Based Research Reactor Spent Nuclear Fuel
$250,000
$0
$0 Cassini and Mars Pathfinder Mission
$372,000
$100,000
$0 Closure of HLW Storage Tanks at Savannah River Site
$250,000
$0
$0 Fissile Materials Disposition
$0
$350,000
$520,000 Foreign Cooperative Research Agreements
$1,540,356
$2,000,000
$1,000,000 High Flux Beam Reactor Spent Fuel Pool Liner
$35,000
$88,000
$27,000 Navy Porting Reviews
$15,000
$12,000
$12,000 Pilot Program on External Regulation of DOE
$250,000
$0
$0 Privatization of U.S. Enrichment Corporation
$0
$550,000
$0 Safety Evaluation at Brookhaven National Laboratory
$225,000
$0
$0 TOTAL
$7,431,263
$10,012,000
$7,392,000
'iS3
APPENDIX: Reimburnable Work Agreements
SUMMARY
OF REIMBURSABLE WORK AGREEMENTS 1.
Core Conversion Project Source: Department of Defense (DoD)
Der,cription of Work: The NRC will provide technical assistance to the Russian reactor regulator, Gosatomnadzor (GAN), in support of its review and approval of core conversion activities at Russia's three weapons grade plutonium production reactors. The reimbursable FTE requirement for this agreement is approximately 2 in FY 1998.
Justification for NRC Involvement: DoD has the lead in a US Russian project to alter the core design of the three Russian reactors referred to above. NRC was assigned by the Gore-Chernomydin Commission to provide to GAN assistance in the safety review and licensing of the conversion designs. The NRC and GAN have signed a Statement ofIntent to cooperate in this assistance program tnd DoD is issuing an Interagency Cost Reimbursement Order (IACRO) to NRC defining the assistance and providing the funding.
Reimbursement Procedures: DoD will provide budget authority in advance for the full cost of NRC's assistance. The NRC will bill DoD quarterly for all direct staff hours and contractual support expended for work specified in the reimbursable agreement. The hourly rate charged to DoD for NRC direct staff time is established in 10 CFR Part 170. This agreement will be entered into pursuant to the authority of the Economy Act,31 U.S.C.1535 and 1536.
2.
International Invitational Travel Source: International Atomic Energy Agency (IAEA), various foreign governments, and other international organizations.
Description of Work: IAEA and various foreign governments reimburu NRC *~ /
costs pertaining to the organization's or government's work.
Justification for NRC Involvement: The NRC is assisting IAEA, other international organizations, and foreign governments by providing support in the area of nuclear safety because of the NRC's specialized expertise in the regulation of the uses of nuclear energy and materials. The NRC is authorized by its annual appropriation legislation to retain and use funds for services rendered to foreign governments and international organizations.
154 l
1
l l
APPENDIX Reimburnable Work Anreements l
~
Reimbursement Procedures: The NRC initially funds the travel cost and is then reimbursed, generally by check, by the organization or country that sponsored the travel.
l' 3.
Nuclear Safety Initiatives for the New Independent States (NISs):
i Energy Efficiency and Market Reform Project Source: U.S. Agency for International Development (AID)
Description of Work: The purpose of this AID initiative is to continue to implement nuclear safety initiatives in Russia, Ukraine, Armenia, and Kazakhstan. 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 drah regulatory legislation, Justification for NRC Involvement: The NRC is assisting AID in providing support to the NISs in the area of nuclear safety because of the NRC's specialized expertise in the regulation of civilian uses of nuclear energy and materials.
Reimbursement Procedures: AlD transfers budget authority to the NRC for travel, contractor support, and administrative expenses (e.g., interpreters). Salary costs for NRC employees working under this agreement are not currently reimbursed by AID. As costs are incurred by the NRC, the costs are charged to NRC's AIP transfer allocation account. In addition, the NRC reimbursable work policy is that the NRC will pursue reimbursement from Federal agencies and other outside organizations for the full costs of activities that are not a part of its statutory mission and for which the NRC has not received appropriations.
Consequently, the NRC is currently renegotiating its reimbursable agreements with the AID to seek full recovery of NRC costs for the 18 FTE providing nuclear safety assistance to countries of the Former Snviet Union (FSU) and Central and Eastern Europe (CEE).
4.
Regional Energy Efficiency Project Source: U.S. Agency for International Development (AID)
Description of Work: The purpose of this AID initiative, started in 1991, is to assist the countries of Central and Eastern Europe (Czech Republic, Slovak Republic, Lithuania, Bulgaria, and Hungary) develop effective regulatory organizations, advance safety culture awareness and practices, strengthen the legal framework and regulatory capability, improve analytic capabilities for performing safety analyses (by providing computer code membership),
155 i
i
i APPENDIX: Reimbursable Work Agreements strengthen inspectorates through intensive training in NRC regulatory inspection philosophy, procedures and techniques and respond quickly to changing assistance priorities. The NRC has continually emphasized a regional approach by including representatives from all the Central and Eastern European countries so that when AID assistance comes to an end, technical experts in each country will be familiar with and can help their counterparts in adjacent countries.
Justification for NRC Involvement: The NRC is assisting AID in providing support to the countries of Eastern and Central Europe in the area of nuclear safety because of the NRC's specialized expertise in the regulation of civilian uses of nuclear energy and materials.
Reimbursement Procedures: AlD provides budget authority in advance to the NRC for travel, contractor support, and administrative expenses (e.g., interpreters). Salary costs for NRC employees working under this agreement are not currently reimbursed by AID. As costs are incurred by the NRC, AlD is billed via the Department of Treasury's on-line payment and collecten system, in addition, the NRC reimbursable work policy is that the NRC will pursue reimbursement from Federal agencies and other outside organizations for the full costs of activities that are not a part ofits statutory mission and for which the NRC has not received appropriations. Consequently, the NRC is currently renegotiating its reimbursable agreements with the AlD to seek full recovery of NRC costs for the 18 FTE providing nuclear safety assistance to countries of the FSU and CEE.
5.
Criminal IIIstory Program (CIIP)
Source: NRC licensees Description of Work: The NRC has entered into a written agreement with the Federal Bureau ofInvestigation's ( FBI's) Identification /Information Management Division to conduct user fee non-criminal justice fingerprint card checks for which the FBI provides criminal history records for applicants if such exist in FBI files and/or databases.
Justification for NRC Involvement: Title 10 of the Code of Federal Regulations, Part 25, issued under the authority of the AEA to protect public health and safety and provide for common defense and security.
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 system. Salary costs for NRC employees administering this program are not reimbursed by the requestor.
156
APPENDIX: Reimbursable Work Anreements 6.
Information Access Authorization Program (IAAP)
Source: NRC licensees Description of Work: Licensee personnel with access to classified national security information and h6ricted data are subject to personnel security background investigations conducted by the Office of Personnel Management (OPM) at the NRC's request to ensure their eligibility for such access. This background investigation is necessary under the Atomic Energy Act (AEA) and Executive Order 12968 to determine their cligibility for access to classified information.
Justification for NRC Involvement:
Title 10 of the Code of Federal Regulations, Part 25, issued under the authority of the AEA to protect 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 and collection system. Salary costs for NRC employees administering this program are not reimbursed by the requestor.
7.
Material Access Authorization Program (MAAP)
Source: NRC licensees Description of Work: Licensee personnel with access to, or control of, formula quantities of special nuclear material are subject to personnel security background investigations conducted by the Office of Personnel Management (OPM) at the NRC's request to ensure their eligibility for such access. Such screening is necessary to protect against the theft or diversion of special nuclear material or acts of sabotage.
Justification for NRC Involvement: Title 10 of the Code of Federal negulations, Part 11, issued under the authority of the Atomic Energy Act to protect 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 and collection system. Salary costs for NRC employees administering this program are not reimbur ed by the requestor.
157
APPENDIX: Reimbursable Work Agreements 8.
Aluminum-Based Research Reactor Spent Nuclear Fuel Samsg: Department-of Energy (DOE)
Description of Work: The NRC provides technical assistance to DOE in connection with DOE's identification of potential issues relating to the ultimate disposition, in a geologic repository, of aluminum-based research reactor spent nu<: lear fuel (SNF) from both foreign and domestic research reactors.
The reimbursable FTE requirement for this agreement is approximately less than 1 FTE in FY 1998 and 1 FTE in FY 1999.
Justification for NRC Involvement: DOE has developed a technical strategy regarding the interim management and eventual ultimate disposition of aluminum based research reactor SNF. This strategy calls for technology development effort:. :o be conducted which will allow DOE to make a decision by the year 2000 on one or more disposition approaches for aluminum based research reactor SNF DOE seeks NRC's technical support to assist DOE's Savannah River Operations Office (DOE-SR) in identifying issues relating to NRC disposal requirements that may be applicable to the ultimate disposition of the aluminum-based SNF.
Reimbursement Procedures 1. ROE provides budget authority in advance to the NRC for the full cost of NRC assistance. The NRC bills DOE for all direct staff hours expended for work specified in the reimbursable agreement, as well as contract support costs, via the Department of the Treasury's on-line payment and collection system. The hourly rate charged to DOE for NRC direct staff time is established in 10 CFR Part 170. This agreement was entered into pursuant to the authority of the Economy Act,31 U.S.C.1535 and 1536.
9.
Cassini and Mars Pathfinder Missions Source: National Aeronautics and Space Administration (NASA)
Description of Work: The Interagency Nuclear Safety Review Panel (INSRP) was formed by a presidential security directive. The purpose of the panel is to perform an independent review of the safety oflaunches of space v:hicles carrying nuclear material (small quantities are exempt). The NRC staff assists the INSRP as technical cdvisor. In this role the NRC staff (1) attend significant meetings of the panel; (2) participate in drafting and sign significant correspondence of the panel; (3) support selected subpanel meetings and other technical meetings (e.g., Biological and Environmental Effects, Meteorology, Uncertainty Working Group); (4) participate in the drafting of the safety evaluation report for the Cassini Mission and other missions, as required; (5) participate in producing independent calculations estimating the risks from the launch of nuclear materials, if necessary; (6) review major safety-158
APPENDIX: Reimbursable Work Agreements related mission documents and provide comments as appropriate; and (7) participate in periodic briefings of the Office of Science and Technology Policy. The reimbursable FTE requirement for this agreement is approximately less than 1 FTE in FY 1998.
Justification for NRC Involvement: NRC involvement was requested by the President's Science Advisor, Director of the Office of Science and Technology Policy, in a letter to the Chairman, NRC. The tJRC accepted participation in INSRP as technical advisor in a letter to Dr. Gibbons from the Director, Office of Nuclear Material Safety and Safeguards (NMSS),
dated November 28,1994.
Reimbursement Procedures: NASA provides budget authority in advance to the NRC for the full cost of NRC assistance. NASA is billed quarterly for all direct staff hours expended for work specified in the reimbursable agreement via the Department of Treasury's on-line payment and collection system. The hourly rate charged to NASA for NRC direct staff time is established in 10 CFR Part 170. This agreement is entered into pursuant to the authority of the Economy Act,31 U.S.C.1535 and 1536.
10.
Closure of High-Level Waste Tanks at Savannah River Source: Department of Energy (DOE)
Description of Work: The NRC is reviewing the methodology established by DOE-Savannah River for closure of high-level waste (HLW) tanks end will consider DOE-Savannah River's proposed approach for classification of residual waste in the tanks as " incidental" waste. NRC will advise DOE-Savannah River of the results of the review. The reimbursable FTE requirement for this agreement is approximately less than 1 FTE in FY 1998.
Justification for NRC Involvement: DOE's Savannah River Operations Office has established a HLW tank closure program for the 51 HLW tanks at the Savannah River Site.
Consistent with Section 202 of the Energy Reorganization Act of 1974, which gives NRC licensing and related regulatory authority over DOE HLW disposal facilities, closure of HLW tanks without the need for licensing by the NRC is predicated on the classification of the residual waste in the tanks as " incidental" waste. DOE-Savannah River seeks NRC technical assistance in reviewing DOE-Savannah River's methodology for classification of the residual waste in the tanks, after waste removal operations, as " incidental" waste.
Reimbursement Procedures: DOE provides budget authority in advance to the NRC for the full cost of NRC assistance. The NRC bills DOE for all direct staff hours expended for work specified in the reimbursable agreement, as well as contract support costs, via the 159
APPENDIX: Reimbursable Work Agreements Department of the Treasury's on-line payment and collection system. The hourly rate charged to DOE for NRC direct r,taff time is established in 10 CFR Part 170. This agreement was entered into pursuant to the authority of the Economy Act,31 U.S.C.1535 and 1536.
11.
Fissile Materials Disposition Source: Department of Energy (DOE)
Descriotion of Work: The NRC provides review and advice to DOB on licensing and permitting strategies and plans being developed by DOE addressing the implementation of technologies selected for disposition of surplus fissile materials. This includes NRC comments on DOE strategies and plans with the principal technical effort being NRC's review of informatioa provided by DOE and interactions between NRC and DOE / DOE contractors to discuss regulatory strategies and associated plans and schedules. The reimbursable FTE requirement for this agreement is approximately 2 FTE in FY 1998 and 3 FTE in FY 1999.
Justification for NRC Involvement: NRC's review and advice to DOE on licensing and permitting strategies and plans being developed to address the implementation of technologies selected for disposition of surplus fissile materials is needed to assure that the information being developed to support DOE's plans for implementation is correct and that the licensing strategies being considered by DOE have the potential to succeed.
Reimbursement Procedures: DOE provides budget authority in advance to the NRC for the full cost of NRC assistance. The NRC bills DOE for all direct staff hours expended for work specified in the reimbursable agreement via the Department of the Treasury's on line payment and collection system. The hourly rate charged to DOE for NRC direct staff time is established in 10 CFR Part 170. This agreemut was entered into pursuam to the authority of the Economy Act,31 U.S.C.1535 and 1536.
12.
Foreign Cooperative Research Agreements (FCRAs)
Source: Various foreign entities Descriotion 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 organizations concemed 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 I
160 l
t APPENDIL 2mimbaranMa Work Aer**=ests
_ 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 retum for access to information that has been developed and continues to arise from L the NRC research programs before final publication and release to the public domain. These contributions support broad safety research programs and also allow the foreign entity direct prticipation in the ' execution of the research 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.
- Raimbursement Procedures: The foreign entity provides en advance of funds to the NRC using the Fedwire Deposit System (i.e., electronic funds transfer) or by check or money.
order.-
13.
High Flus Beam Reactor Spent Fuel Pool Liner J
Source: Department of EnArgy (DOE)
Descrintion of Work: The NRC is reviewing Brookhaven High Flux Beam Reactor 1
- Spent Fuel Liner Redesign.' The reimbursable FTE requirement for this agreement is-approximately less than 1 FTE in both FY 1998 and in FY 1999.
Justification for NRC Involvement: The NRC provides technical assistan6 to the Department of Energy.(DOE)_on significant projects and activities. DOE requested technical.
j assistance in the evaluation of the design, fabrication, and installation of a liner for its spent fuel canal at the High Flux Beam Reactor located at the Brookhaven National Laboratory in Upton, New York. The spent fu::1 storage pool was identified.as the most likely source of tritium contr.mination in the local ground water. DOE felt that it was prudent to install a liner in the pool. NRC expertise with spent fuel pool liners and associated leakage detection systems will assist DOE in this project.
Reimbursement Procedsca: DOE provides budget authority in advance to the NRC for the full cost of NRC assistance. The NRC bills DOE for all direct staff hours expended for work specified in the reimbursable agreement via the Department of the Treasury's on-line-payment and collection system. The hourly rate charged to DOE for NRC direct staff time is
- established in 10 CFR Part 170. This agreement was entered into pursuant to the authority of the Economy Act,31 U.S.C.1535 and 1536.
161 s
APPENDIX: Reimbursable Work Agreements 14.
Navy Porting Reviews Saumn: United States Navy (USN)
Description of Work: The NRC conducts porting reviews for the United States Navy.
The reimbursable FTE requirement for this agreement is approximately less than 1 FTE in both FY 1998 and FY 1999.
Justincation for NRC Involvement: The NRC provides technical advice to the United States Navy on health and safety matters concerning the Navy's nuclear propulsion reactors.
These reactors and the special nuclear material used therein are held by the Department of Defense pursuant to directives of the President under Section 91b. of the Atomic Energy Act of 1954. As such, neither these reactors nor the special nuclear material is licensed under that act. From the beginning of the nuclear Navy program in 1946 until the present, such technical advice has been furnished by the NRC or its predecessors when requested.
Reimbursement Proceduas: The United States Navy provides budget authority in advance for the full costs of NRC services at the beginning of each fiscal year. The NRC charges a flat rate for each service performed. The flat rate is based on the hourly rate for NRC direct staff time, which is established in 10 CFR Part 170. The NRL will evaluate this rate annually and inform the United States Navy of any changes required to the service charges.
The adjusted service charges will be an appendix to the memorandum of understanding. The NRC will bill the United States Navy at the end of each quarter for services performed. This agreement is entered into pursuant to the authority of the Economy Act,31 U.S.C.1535 and 1536.
4 Pilot Program on 2xternal Regulatin of POE Source: Department of Energy (DOE)
Description of Work: The NRC provided review and advice to DOE on plans and strategies associated with a joint effort by DOE and NRC to conduct a Pilot Program on External Regulation. NRC will " simulate regulatiors' under the Pilot Program on a series of pilot facilities to help both agencies gain experience related to NRC regulation of DOE facilities. This will include NRC c ansideration of technical and regulatory issues related 'to external regulation of DOE and the potential methods of regulating DOE.
Justification for NRC Involvament: In January 1995, the Secretary of Energy created the Advisory Com.nittee on External Regulation of DOE Nuclear Safety. The Conunittee was 162
APPENDIX: Reimbursable Work Acreements charged with providing advice and recommendations on whether and how new and existing DOE facilities and operations might be regulated to ensure nuclear safety. In December 1995, the committee recommended that essentially all aspects of safety at DOE's nuclear facilities be externally regulated. The DOE Working Group on Exte al Regulation was created to l
provide the Secretary of Energy recommendations on how to implement the advisory committee's recommendations. The recommendations made by the Working Group in December 1996 were that NRC should be the external nuclear safety regulator and that the transition to extemal regulation should be phased. In March 1997, the Commission endorsed seeking the transfer to NRC of responsibility for the regulatary oversight of certain DOE nuclear facilities and convening a task force to identify, with DOE, the policy and regulatory issues needing analysis and resolution. Also, NRC and DOE have agreed to pursue NRC regulation of DOE facilities through a pilot program.
Reimbursement Procedures: For FY 1997, DOE provided budget authority in advance to the NRC for the full cost of NRC assistance. The NRC bills DOE f)r all direc^ staff hours expended for work specified in the reimbursable agreement via the Department of the Treasury's on-line payment and collection system. The hourly rate charged to DOE for NRC direct staff time is established in 10 CFR Part 170. This agreement was entered into pursuant to the authority of the Economy Act,31 U.S.C.1535 and 1536. NRC received a direct appropriation for FY 1998 costs.
16.
Privatization of the U.S. Enrichment Corporation Source: The United States Enrichment Corporation (USEC)
Description of Work: The NRC must determine that the privatized entity that operates the gaseous diffusion plants is not foreign owned, controlled, or dominated, and that certification wil! not be inimical to common defense and security nor to the maintenance of an economical and reliable source of domestic enrichment.
Justification for NRC Involvement: The U.S. Enriclunent Corporation Privatization Act (Public Law 104-134, signed into law April 26,1996) and other applicable law, ine'ading the Atomic Enerry Act of 1954, as amended requires that the NRC perform the activities stated above. Section 3104 of Public Law 104-134 states," Expenses of privatization shall be paid from Corporation revenue accounts in the U.S. Treasury."
Reimbursement Procedures: On a quarterly basis, the NRC will prepare an invoice which details actual costs incurred related to the scope of activities described in the proposed Interagency Agreement between NRC and USEC. Payment by check will be made to NRC 163
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APPENDIX Reimbursable Work Agreements by USEC. The NRC will bill USEC for all direct staff hours expended for work specified in the reimbursable agreement.- The hourly rate proposed to be charged to USEC for NRC direct staff time is established in 10 CFR Part 170.
i 17.
Safety Evaluation at Brookhaven National Laboratory
)
Source: Department of Energy (DOE)
Descrintion of Work: The NRC will perform a safety assessment of the Brookhaven National Laboratory's (BNL) High Flux Beam Reactor (HFBR) operation at 60 megawatts, i
conduct a review to assess the extent of compliance with existing DOE safety requirements at the HFBR, and develop an inventory of potential issues associated with regulatory oversight of BNL by entities other than DOE. The reimbursable FTE requirement for this agreement is approximately 1 FTE 'in FY 1998.
Justification for NRC Involvement: NRC involvement is requested in order to provide independent review and assessment of the various safety and regulatory issues associated with the tritium leak at BNL's-HFBR by an entity other than DOE-as requested by U.S.
Representative McDade in a letter dated June 19,1997, to Secretary of Energy, Fredrico Pena.
j Reimbursement Procedure: DOE advanced $225,000 to NRC on September 25,1997, via the U.S. Treasury's on-line payment and collection system. These funds have been carried i
over into FY 1998 to support NRC's full costs of conducting the safety assessment. The NRC bills DOE for all direct staff hours expended for work specified in the agreed upon scope of work via the Department of the Treasury's on-line payment and collection system. The hourly rate charged to DOE for NRC direct staff time is established in 10 CFR Part 170. This agreement was entered into pursuant to the authority of the Economy Act,31 U.S.C.1535 and 1536.
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NRC FORM 333 u.S. NUCLEAR REGULATORY COMMisslON
- 1. REPORT HuMBEa (24m (Ase%ned by NRC, Add Vel, supp., Rev NRCM 1102, and Addendum Nunders,it any.)
" 22 CCLIOGRAPHIC DATA SHEET
'8""'*""**"""**"''
- 2. TITLE AND SUBTITLE Volume 14 Budget Estimates FiscalYear 1999 3.
DATE REPORT PUBLISHED l
MONTH YEAR February 1998
- s. AUTHOR (S)
- 6. TYPE OF REPORT CongressionalBudget Submission
- 7. PERIOO COVERED (indusve Dates) 10/1/28-9/30/99 8 PERFORMING ORGANIZATION. NAME AND ADDRESS (vNRc, prowoe Dwsoi, omes or Repon. U S. Nucsear Reguranary comnvason, and memng adrkess, ycontrodor prowde nome and meeng edeesa)
Division of Budget and Analysis Office of the Chief Financial Officer U.S. Nuclear Regulatory Commission W:shington, DC 20555-0001
- 9. SPONSORING ORGANIZATION NAME AND ADDRESS (if NRC, type *Same as above', ycontractor, prowde NRC Dwson, OMce or Repon. U.S Nuc# ear Asguwory Comrmsson, and madog ad*ess)
Division of Budget and Analysis Office of the Chief Financial Officer U.S. Nuclear Regulatory Commission W:shington, DC 20555-0001
- 10. SUPPLEMENTARY NOTES
- 11. ABSTRACT (200 words or aoss; This report contains the fiscal year budget justification to Con ress. The budget provides estimates for salaries and expenses cnd for the Office of the Inspector General for fiscal year 199
- 12. KEY WORDS/DESCRIPTORS (ust words or pareios met we esmat researeners e socoong me report) 11 AVA8'A8'uTv STATEMENT Budget unlimited Congressional Budget Submittal 14 SECURrrY CLASSIFICATION Fiscal Year 1999 p,s pag,3 unclassified (Thos Report) unclassified
- 15. NUMBER OF PAGES
- 16. price NRC FOHM 334 440
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APPENDIX
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