ML20205F306

Chapter 0124, Organization & Functions Office of Nuclear Material Safety & Safeguards

ML20205F306
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Issue date:	10/27/1989
From:	NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS)
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ML20205F266	List: ML20205F261 ML20205F296 ML20205F306 ML20205F319
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0124, 124, NUDOCS 9904060178
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U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: .0000 General Administration Part : 0100 Organization NMSS l

CHAPTER 0124 ORGANIZATION AND FUNCTIONS l OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS 0124-01 -SUPERVISION Under the rupervision of a Director.who reports to, and is under the supervisic1 of, the Deputy Executive Director for Nuclear Materials Safety, Safeguards and Operations Support.

0124-0? FUNCTIONS Responsible for the licensing, inspection,, environmental review, and quality assurance of all activities regulated by the Nuclear Regulatory Commission (NRC), excluding-all research and test reactors and excluding power reactors before approval of a decommissioning plan cnd issuance of a possession-only license, as well as for the development of broad safeguards policies and programs for all licensed activities. Office responsibilities include planning, development, evaluation, and implementation of NRC policy for -

licensing and inspection of.the above activities except for international programs. Also responsible for direct oversight of safeguards programs for all activities other than research and test reactors and power reactors not having an approved decossissioning plan and a possession-only license.

Consults and. coordinates with international, Federal, State, and local agencies, as appropriate, and identifies and takes action to control safety and safeguards issues for activities under its responsibility. Specifically, tha Office:

021 Develops, implements, and evaluates NRC licensing and inspection policy for the use and handling of licensed nuclear materials; fuel I fabrication and safeguards activities; transportation of nuclear materials, including certification of transport containers; out-of-reactor spent fuel storage; safe management and disposal of low-level and high-level radioactive wastes; uranium recovery; and related decommissioning activities.

022 Develops and maintains NRC Headquarters Emergency Response Plans, participates in operational readiness exercises, and evaluates the plans to maintain and improve operational readiness for response to safety and safeguards events associated with activities under NMSS responsibility. .

1 023 Reviews licensee performance to establish licensing and inspection priorities and develops and issues letters, Bulletins, and Information Notices to ensure uniformity, consistency, and accuracy in resolving technical and policy issues associated with NMSS responsibilities.

99J4060g g26 Approved: October 27, 198' CORRESPONDENCE PDR MDho(abt g _ ._ _

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ORGANIZATION AND FUNCTIONS OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS NRC-0124-024 024 Provides guidance for Regional activities to establish and clarify technical and policy positions and to resolve issues relating to licensing, inspection, and quality assurance matters under NMSS responsibility. Exercises oversight and furnishes programmatic direction to ensure adequacy and consistency of program implementation.

025 Identifies, generates, and recommends research requirements for resolving technical issues and for providing' technical bases for regulatory development.

026 Performs functions and analyzes issues preliminary to rule and guidance development. l 027 Reviews existing and proposed rules, guidance, and standards to ensure program internal consistency, technical completeness, and,; accuracy, and that the products satisfy program needs. . ., a 028 Interacts with other NRC Offices and with internationalg Federal, andStateorganizations,IndianTribes,andlocaljurisdictionsdas appropriate, to ensure an ongoing understanding of NMSS prograus g to identify and resolve concerns in a timely manner, to develop consistent criteria, and to provide technical assistance. ev 029' Develops and maintains memorandums of understanding with other NRC '

Offices and Federal Agencies to identify functional interfacespestablish procedures for information flow, and delineate respective resporisibilities so as to ensure program coherence and efficiency.

0210 Assesses, advises, and develops options and recommendations on technical aspects of international safeguards and physical security matters  ;

for Cosenission consideration in accordance with NMSS/GPA (IP) Interface Agreement.

0211 Processes allegations received concerning activities under NMSS responsibility in accordance with Chapter NRC-0517, processes investigation requests, and coordinates investigation matters with the Office of Investigations (0I).

0212 Issues subpoenas under Section 161c of the Atomic Energy Act of 1954, as amended, where necessary or appropriate for the conduct of inspections or investigations into matters within the functions of the Office.

0213 Coordinates and processes clearances for information collection with the Office of Management and Budget (OMB) in accordance with Chapter hRC-0230 and the Paperwork Reduction Act of 1980(44U.S.C.3501etseq.).

Approved: Occ'ober 27, 1989

ORGANIZATION AND FUNCTIONS OFFICE OF NUCLEAR. MATERIAL SAFETY AND SAFEGUARDS NRC-0124-0214 0214 Analyzes, characterizes, and reviews threat environment to establish and ensure adequate basis for safeguards policy relating to all licensed materials and activities; and provides safeguards technical ~ oversight for transportation activities, export and import of special nuclear material, and all domestic licensed materials and facilities, except reactors.

0215 Maintains a safeguards threat analysis capability to identify and evaluate changes and trends in the foreign and domestic threat environments, to determine threat capabilities and attributes of current or emerging a non-nuclear and nuclear threats, to review and analyze information from 1 diverse sources relating to threats, and to identify in a timely manner )

significant changes to the threat environment that might affect current j safeguards regulations, requirements, and policy for all licensed facilities. j l

J 0216 Chairs NRC Information Assessment Team which assesses coinnunicated threats affecting safeguarded facilities and activities. -

0217 Maintains a safeguards operational data analysis system which identifies characteristics, performance indicators, and implications of trends in safeguards events which may be generic or could impact safeguards policy.

NMSS will provide event data .in support of the Office of Nuclear. Reactor Regulation (NRR). ..

0210 Ser/es as NRC representative on official visits to foreign countries to evaluate safeguards programs as to their capabilities against. identifiable threats. Represents NRC in international forums and interagency groups in matters relating to international safeguards and foreign physical protection.

0219 In coordination with other NRC Offices, chairs intra-agency group responsible for implementation of the US/IAEA Safeguards Agreement, including reporting of data to the IAEA.

0220 Serves as agency. lead in transportation activities. Performs and i manages safety and quality analyses and approvals of containers under agency jurisdiction. Pursuent to 10 CFR.Part 71, issues approval for shipping container designs for radioactive material.

0221 Reviews the technical aspects of all international safeguards and physical protection of export / import licensing and retransfer requests.

Coordinates implementation of the US/IAEA Safeguards Agreement, and participates in U.S. efforts to strengthen IAEA safeguards.

0222 Pursuant to Section 204 of the Energy Reorganization Act of 1974, i monitors, tests, and recommends upgrading of internal accounting systems for nuclear materials licensed under the Atomic Energy Act of 1954, as amended.

Approved: October 27, 1989

ORGANIZATION AND FUNCTIONS l

OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS l NRC-0124-0223 0223 Develops safeguards contingency plans and interagency agreements for dealing with thefts and radiological sabotage relating to licensed special nuclear material, nuclear facilities, transportation activities, and high-level radioactive wastes resulting from all activities under the Atomic Energy Act of 1954, as amended.

0224 Directs and administers implementation of the regulatory requirements for the protection of unclassified Safeguards Information.

0225 Directs the NRC's principal licensing, inspection, and regulatory activities associated with the processing and handling of nuclear materials, and involving health physics and radiation safety review and analysis of the front-end of the fuel cycle; the use of licensed material in medicine, research, industry, and other purposes; and the back-end of the fuel cycle.

0226 Develops criteria for clean-up and/or remedial action at contaminated sites, and assesses the adequacy of actions taken.

0227 Performs criticality safety and radiological contingency planning license reviews for all NMSS licensed facilities.

0228 Conducts safety analyses for containers for independent irradiated fuel storage and interim storage of low-level waste (LLW) at reactor sites.

0229 Conducts safety and safeguards analyses and reviews of DOE activities for the West Valley Demonstration Project. l 0230 Directs and administers development programs related to upgrading safety and preservation of environmental values for fuel cycle facilities and materials. Assesses evolving technology for improvement of safety and protection of environmental values. Determines the validity, scope, and cost effectiveness of current and proposed standards in the context of existing and emerging technology.

0231 Directs the NRC's program for licensing, inspection, and regulation to ensure the safety and quality of the management, treatment, and disposal of nuclear waste, uranium recovery activities including mill tailings management, and related deconnissioning.

0232 Coordinates and develops a comprehensive national program for addressing nuclear waste management and related decommissioning, including an integrated framework of regulations, standards, and guides, for management and disposal of all nuclear wastes under NRC jurisdiction.

0233 Provides management direction and oversight for the operation of the Center for Nuclear Waste Regulatory Analyses, with full authority and accountability.

Approved: October 27, 1989

ORGANIZATION AND FUNCTIONS OFFICE OF NUCLEAR MATERIAL SAFETY NRC-0124-0234 AND SAFEGUARDS 0234 Performs safety and environmental analyses, licensing, inspections, quality assurance audits, and follow-up reviews for operations directly associated with the disposal of nuclear waste and related decommissioning as defined in appropriate regulation, excluding authority delegated to NRC Regional Offices.

0235 Serves as Agency lead for review of DOE's Remedial Action Plans for inactive mill tailings sites.

0236 As Program Area Manager, implements agency responsibilities for actions required by the Nuclear Waste Policy Act of 1982, the Uranium Mill Tailings _ Radiation Control Act of 1978, and the Low-Level Radioactive Waste PolicyAmendmentsActof1985(LLRWPAA),includingresponsibilitiesforState and Tribal participation and interactions. i 0237 Ensures NRC capability to perform licensing reviews, quality assurance audits, and inspections, and to make licensing decisions on proposed waste management and decommissioning systems.

0238 Provides technical assistance to States and compacts consistent with the LLRWPAA in their regulation of LLW disposal facilities under their jurisdiction. ..

0239 Supervises, directs, coordinates, and approves the activities, including administrative functions, of the various organizational units within the Office.

0240 Coordinates, agency-wide, policies for groundwater protection.

1 0241 Serves as agency monitor for all onsite disposals under 20.302.

0242Plansanddirectstheprogram.forfinancialassurance(otherthan Price-Anderson) and for decosmissioning of nonreactor materials licensees.

0243 Represents NRC in international forums in matters related to waste disposal and associated decomunissioning.

0244 For power reactors prior to transfer from HRR, reviews and recommends action on all decommissioning plans and prepares all necessary supporting documentation, excluding financial assurance aspects.

0245 For power reactors with an approved decomunissioning plan and a possession-only license, performs all Agency licensing and inspection functions.

Approved: october 27, 1989

l ORGANIZATION AND FUNCTION OFFICE OF NUCLEAR MATERIAL SAFET NRC-0124-0246 AND SAFEGUARD 0246 T / power reactors transferreo from NRR, oversees implementation of decommiss w ing plans and ensures appropriate criteria are established and me for unrestricted use prior to license termination. Ensures adequate financia assurance arrangements for decommissioning are established and maintained.

0247 Serves as Agency lead for all aspects of decommissioning. This includes establishing appropriate generic unrestricted use criteria, providin technical assistance to the States, and ensuring technical competence through current knowledge of both domestic and international decommissioning programs and technology.

0248 Performs such other functions as are assigned by the Connission, th Executive Director for Operations, or the Deputy Executive Director for Nuclear Materials Safety, Safeguards and Operations Support.

0124-03 DELEGATION OF AUTHORITY The Director is authorized and directed to:

ep ~il Take action, as necessary, to carry out the functions assigned by this vapter or other official directives or communications,' subject to the limitations prescribed herein.

032 Issue, renew, and amend licenses for (a) construction and operation of production facilities, other than reactors, designed or used primarily for the formation of plutonium or uranium-233 (hereinafter, " production i facilities") defined by the Atomic Energy Act of 1954, as amended (AE Act);

(b)operatorsofsuchlicensedproductionfacilities;and(c) source, byproduct, and special nuclear materials defined by the AE Act, and Sections 202 (3 and 4) of the Energy Reorganization Act of 1974, as amended (ER Act).

This includes the imposition of license conditions except where the decision rests with an Administrative Law Judge, an Atomic Safety and Licensing Board, the Atomic Safety and Licensing Appeal Panel, or the Commission after a 1 hearing pursuant to 10 CFR Part 2. l 033 Administer programs authorized under the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, the National Environmental Policy Act of 1969, the Uranium Mill Tailings Radiation Control Act of 1978, the Low Level Radioactive Waste Policy Amendments Act of 1985, and the Nuclear Waste Policy Act of 1982 as NRC lead office for an integratec program including '.icensing, inspection, quality assurance, and assessing regulatory effectiveness for high-level waste, low-level nuclear waste,  ;

uranium recovery, mill tailings, and related decossissioning programs; the l transportation program; the fuel cycle and material safety program; and the licensed safeguards program (except reactors) and safeguards policy for all licensed activities.

Approved: Occober 27, 1989

I ORGANIZATION AND FUNCTIONS OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS NRC-0124-034 034 Take such actions as may be required to ensure technical efficiency and program consistency nationwide in the conduct of licensing, inspection, and regulatory activities for programs under NMSS cognizance that have bean regionalized.

035 Issue, pursuant to 10 CFR Part 2, notices of the denial or the proposed denial of applications for production facility licenses; applications for production facility operator licenses; applications for source, byproduct, and special nuclear material licenses; and applications for amendment or renewal of such licenses and amendment of possession only licenses for power reactors with approved decommission plans.

1 036' Issue amendments changing the technical specification for 1 production facilities and power reactors with possession only license and app' roved decommissioned plans, and authorizing changes in these facilities j or facility procedures, or the conduct of tests and experiments, in accordance  !

with 10 CFR Part 50.

037 Take necessary or appropriate action in accordance with decisions of an Administrative Law Judge, an Atomic Safety and Licensing Board, the Atomic  ;

Safety and Licensing Appeal Panel, or the Commission after a hearing pursuant )

to 10 CFR Part 2.

038 Pursuant to 10 CFR Part 71, issue approval for shipping container designs for radioactive material.

039 Prescribe license conditions and recommend wies and regulations for safety, material accounting, and physical securi+y measures within U.S.

jurisdiction.

0310 Amend, modify, and terminate possession-only licenses for. power reactors with approved decommission plan.

0311 Consistent with NRC regulations, grant exemptions from NRC regulations or impose special conditions on licensees of production facilities, power reactors with approved decommission plans and possession only license, and source, byproduct, and special nuclear material.

0312 Take such actions as may be required to carry out the functions assigned pursuant to Sections 2.202, 2.204, and 2.206 of 10 CFR Part 2 pertaining to production facilities; power reactors with possession only license and approved decommission plan; or source, byproduct, or special nuclear material; other than actions related to any alleged violation of the Atomic Energy Act of 1954, as amended, the regulations in Title 10, Chapter 1 of the Code of Federal Regulations, and any orders or conditions of licenses for production facilities or material licenses issued pursuant thereto.

Approved: october 27, 1989

1 ORGANIZATION AND FUNCTION OFFICE OF NUCLEAR MATERIAL SAFET NRC-0124-0313 AND SAFEGUARD

! 0313 With respect to the authority to issue subpoenas pursuant to paragraph 0212 above, prior to issuing.such a subpoena the Director must receiveconcurrencefromtheOfficeofGeneralCounsel(OGC)andconsultwith theOfficeofInvestigations(01).

l 0314 Issue orders, notices, or. letters to licensees with respect to I activities that may affect er have the potential for affecting safety and safeguards of operations, and provide policy ard procedures to Regional Offices concerning these matters.

, 0315 Consistent with NRC policy, evaluate the fitness-for-duty programs as implemented by licensees under NMSS cognizance. .

0316 Based upon safeguards considerations, approve routes for shipment o radioactive material and issue orders to stop shipments, as necessary.

0317 Request interagency support on special safety and safeguards I matters. l 1

0318 Request activation of the NRC Executive Management Team dealing wit i l

, safety or ~ safeguards situations under NMSS areas of responsibility.

0319 Communicate directly with State and local jurisdictions in matters dealing with response support for safety and safeguards contingencies, and in matters dealing with transportation of radioactive materials. 1 0320 Issue, renew, and amend licenses to ensure decommissioning in an efficient, cost effective manner consistent with protection of the public  ;

health and safety.

0321 Pursuant to Section 204 of the Energy Reorganization Act of 1974, a amended monitor, test, and recommend upgrading of internal accounting systen fornuclearmaterialslicensedundertheAtomicEnergyActof1954,as amended.

0322 Communicate directly with Gove nors and legislators of all affectec States and affected Indian Tribes in mat ers dealing with their participatior in the characterization and licensing of a high-level waste disposal site, pursuant to 10 CFR Part 60, and/or low-level waste disposal sites, pursuant t 10 CFR Part 61.

0323 Develop, in consultation and coordination with other pertinent agencies, safeguards contingency plans, and interagency agreements for dealir '

with threats, thefts, ano sabotage relating to special nuclear material, nuclear facilities, and high-level radioactive wastes resulting from all activities' licensed under the Atomic Energy Act of 1954, as amended.

Approved: October 27, 1989

O

' ORGANIZATION AND FUNCTIONS OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS NRC-0124-0324 0324 Make "significant change" determinations under Section 105c(2) of theAtomicEnergyActof1954,asamended,42U.S.C.2135c(2),toobtainthe Attorney General's advice, pursuant to Section 105(c)(1) of that Act, to the e

Director, NMSS, for production facilities, in connection with the revised Operating License Antitrust Review Procedures.

0325 As NRC Program Director for the Center for Nuclear Waste Regulatory Analyses, provide management direction and oversight, and assume full authority and accountability for the Center's operations.

0326 Formulate NRC policy on groundwater protection activities and articulate Agency position to othe, government crganizati,ons.

0327 Issue appropriate Federal Legister notices in connection with the actions delegated under this chapter, including notices which offer als opportunity for public hearing in connection with the action proposed to be taken or taken whether or not required by statute or the Cossiission's regulations.

0328 Enter into, extend, modify, and terminate orders and agreements with other agencies, as appropriate, and settle terminations thereof.

A p0124-04 DELEGATION OF AUTHORITY TO THE DEPUTY DIRECTOR The Depttty Director is authorized and directed to act in the stead of the Direc e during the absence of the Director.

0124-05 REDELEGATION OF AUTHORITY BY THE DIRECTOR The Director may, except where expressly prohibited, redelegate to others authority delegated by this or other official directives or communications, subject to the limit'ations stated below ar.d such other stipulations as are deemed necessary.

051 Such redelegations must be in writing, with copies to the Office of the Executive Director for Operrtions Office of the Secretary, Office of the General Counse% and Office of h.rsonnel.

052 The Director ,Jst stipulate any ifmitation on further redelegation of authority.

r/ek/ QT3 0124-06 ORGANIZATION STRUCTURE AND INTERNAL ASSIGINENTS An organization chart showinq internal organization of the Office and a statement of functions of tem subdiv M ons of the Office are shown in Appendix 0124, Parts I and II.

Approved: October 27, '989

DRGANIZATION AND FUNCTIONS E OF NUCLEAR MATERtAL SAFETY AND SAFEGUARDS NRC App:ndix 0124 PARTI ORGANIZATION CHART l

! DIRECTOR DEPUTY DIRECTOR m

Program Management.

Policy Development, and Analysis Staff i M 1 l l '

Program Program Analysis implementation Special lasues.

Branch Branch Group mM M I I DIVISION OF DIVISION OF DIVISION OF DIVISION OF LOW-LEVEL WASTE INDUSTRIAL M WARDS M AND MEDICAL HIGH-LEVEL WASTE MANAGEMENT AND TRANSPORTATION NUCLEAR SAFETY MANAGEMENT DE

,y -

Domestic Safeguards Operations Repoah n h @ Operations

= and Regional Over- "

Branch

- aM QA RW =

Branch alght Branch Directorate Intemational Geosciences Technical Fuel Cycle -

- Safeguards = = and Systems Branch Safety Branch Branch Performance Branch Tran th En i "

= p = Co rnere al Use -

ra Safety Branch I obe"r57,1989

ORGANIZATION AND FUNCTIONS

, OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS NRC Appendix 0124 PART II DISTRIBUTION OF FUNCTIONS A. THE OFFICE OF THE DIRECTOR is responsible for the public health and safety licensing, inspection, and environmental reviews for all activities regulated by the Nuclear Regulatory Commission (NRC), except.

reactors, and for the safeguards technical review of all licensing activities, including export / import of special nuclear material, but excluding reactors. The Office responsibilities include development and implementation of NRC policy for the regulation of activities involving i safety, quality, approval, and inspection of the use and handling of l nuclear and other radioactive materials, such as uranium recovery l activities; fuel fabrication and fuel development; medical, industrial, academic, and commercial uses of radioactive isotopes, safeguards i activities; transportation of nuclear materials, including certification of transportation containers;~ away-from-reactor spent fuel storage; safe l management and disposal of low-level and high-level radioactive wastes; and management of related decommissioning. Safeguards responsibilities include deulopment of overall agency policy, monitoring and assessment ,

of the threat environment, including liaison with intelligence agencies as appropriate, and those licensing and review activities appropriate to deter and protect against threats of radiological sabotage and threats of theft or diversion of special nuclear material at fuel facilities and l during transport. The Office identifies and takes action to control safety and safeguards issues for activities under its responsibility, including censulting and coordinating with international, Federal, State, and local agencios, as appropriate.

B. THE PROGRAM MANAGEMENT. POLICY DEVELOPMENT,AND ANALYSIS STAFF provides focus and management attention on major Office programs and issues.

Assists in the development of Office policy and conducts independent review of staff-developed programs which require policy decisions by the Office Director. Oversees high visibility emergency actions to ensure adequacy, promptness, complett. ness, and fulfillment of Office statutory responsibilities; and tracks and coordinates special projects designated by the Office Director. Provides independent technical review of all Office-initiated policy papers and issues to ensure completeness, promptness, accuracy, and adherence to Agency and Office policy.

Represents the Office in conducting intra- and interagency special projects. Provides Office quality assurance and consistency in responses to external reports and correspondence and in interaction with other Agencies. Executes functions of the NRC Center for Nuclear Waste Regulatory Analyses (CWWRA) Program Manager in accordance with the Delegation of Authority from the Director, NMSS. Oversees the development and coordination of Congressional testimony and Commission papers. Conducts analyses and projects either self-initiated or requested by the Office Director.

1 Approved: October 27, 1989 6

!. )

. 1 ORGANIZATION AND FUNCT10NS NRC Appendix 0124 0FFICE OF NUCLEAR MATERIAL SAFETY Part II AND SAFEGUARDS Establishes priorities, schedules, and resource allocations; performs resource forecasting, strategic and short-range program planning, budget preparation and coordination, and program control. Provides administrative and management support, including personnel management, management studies, management directives, personnel development and training, correspondence and action item control.

1. The Program Analysis Branch manages NHSS strategic and short-range program planning and budget preparation. Develops and maintains data and reports on the schedules and status of all NMSS projects and tasks. Evaluates and reports upon the NMSS performance of projects and tasks to ensure compliance with established NP.C policies, goals, and objectives. Provides independent review of all Office-initiated policy papers and issues to ensure completeness, promptness, accuracy, consistency, and adherence to Agency and Office policy. Develops and implements NMSS policies and procedures for the development and maintenance of automated management information systems. ,

2. The Program Implementation Branch manages NMSS personnel programs and resources through long- and short-range studies and planning.

Provides continuing evaluation of NMSS management effectiveness and makes recommendations on management matters, organizational structure, and staffing. Prepares Requests for Procurement Action and prepares and negotiates Standard Orders for DOE Work. Reviews and analyzes new NRC administrative management policy proposals and proposed modifications of existing NRC administrative management policy, and assesses the impact on NMSS for the Office Director.

Maintains NMSS financial plans and certifies the availability of funds from the HMSS allotment. Develops Office policy that relates to administrative management; prepares guidance documents for NMSS; develops and implements procedures and models for analyzing, projecting, and reporting staff expenditures; manages the NMSS personnel development and training function. Controls and coordinates NMSS principal correspondence; and coordinates space and property management facilities support.

3. The Special Issues Group. continuously reviews Office activities to assist in focusing management attention and resources on appropriate issues. Providesoversightofselectedprojects(e.g.,Sequoyah) which require special attention by the Office Director, and facilitates reporting and tracking of such high-visibility agency activities assigned to NMSS. Assists in executing the CNWRA program management responsibilities.

f C. THE DIRECTOR, DIVISION OF SAFEGUARDS AND TRANSPORTATION, develops overall .

I agency safeguards policy and conducts safeguards licensing, inspection, and regulatory functions applicable to nuclear materials, nonreactor 2

Approved: October 27, 1989

.. l I

ORGANIZATION AND FUNCTIONS

. OFFICE OF NUCLEAR MATERIAL SAFETY NRC Appendix 0124 AND SAFEGUARDS Part II l facilities, teansportation of nuclear materials, and nonreactor inspection activ m es licensed under the Atomic Energy Act of 1954, as )

amended. Develops, implements, and evaluates safeguards policies and the overall NRC safeguards program including monitoring functions preliminary to rule and guidance development; testing, inspection, and j quality assurance activities; and recommending improvements for physical security and nuclear material control and accountability systems.

Reviews protection afforded, weapons-usable material in the licensed and license-exempt sectors to maintain comparability.

Formulates transportation safety and transportation safeguards policy for the Agency. Serves as the Agency lead in transportation activities, and performs and manages safety analyses and appraisals of containers under Agency , jurisdiction. Develops policy and guidance for inspection and quality assurance programs for transportation.

Assesses threat to domestic environment affecting all NRC-licensed activities and reviews adequacy of the design basis threat besed on safeguards events and intelligence information. Analyzes and evaluates domestic and foreign events and incidents to detect patterns and trends and provide a basis for regulatory change and response. Supports NRC contingency and response operations for dealing with threats, theft, and radiological sabotage relating to licensed activities. Coordinates with NRR to ensure consistency in the implementation of Agency safeguards program for reactors. Identifies and takes action to control safeguards and safety issues under its responsibility.

Reviews the technical aspects of all international safeguards and physical protection aspects of export / import licensing and retransfer requests, coordinates implementation of the US/IAEA Safeguards Agreement, and participates in U.S. efforts to strengthen IAEA safeguards.

1. The Domestic Safeguards and Regional Oversight Branch revie s progransnatic activities and develops technical and policy options / policy statements for physical security of nuclear materials in fuel facilities, and for control and accountability of materials during processing and storage. Conducts safeguards technical regulatory reviews relative to nuclear materials, fresh fuel, nuclear fuel facilities, and independent spent fuel storage facilities. Develops licensing criteria, in support of new or revised regulations, that will be used by license reviewers.

Develops and maintains inspection and quality assurance programs for physical security and material control and accountability (MC&A).

Provides technical support to Regions and exercises oversight to ensure consistency and ted.:.ical adequacy of nonreactor licensing functions delegated to Regions. Reviews inspection and evaluation reports to identify Agency safeguards nonreactor issues and takes 3

Approved: October 27, 1989 l

l

ORGANIZATION AND FUNCTIONS j

.NRC Appendix 0124 0FFICE OF NUCLEAR MATERIAL SAFETY '

AND SAFEGUARDS Part II action to control issues under the Division's responsibility.  !

Coordinates to identify problems that could result from nonreactor l I

licensees' safeguards plans and procedures. Performs functions which are preliminary to safeguards rules and regulatory guidance ]

for NRC safeguards activities, including NRC/ DOE coordinatian.

Develops and issues Information Notices and Bulletins.

2. The International Safeguards Branch reviews the safeguards technical and foreign physica; protection aspects of export / import licensing and retransfer requests. Participates in NRC/ DOE /D0D foreign physical protection visits. Implements international safeguards at selected NRC licensed facilities under the US/IAEA Safeguards Agreement. Participates in U.S. efforts to strengthen IAEA safeguards.

Manages utilization of tN nuclear materials mandgement and safeguardssystem(NMMSS). Conducts pattern and trend studies based on analysis of intelligence data and domestic and foreign events.

Assesses threat environment affecting licensed activities based on safeguards events and intelligence information. Plans, coordinates, and manages the NRC's contingency and response activities relating to safeguards events at non-reactor facilities and during transportation and safety events related to transportation.

3. The Transportation Branch formulates transportation safety and transportation safeguards policy for the . Agency. Serves as Agency lead in transportation activities, performs and manages safety and quality analyses and approvals of transport containers under Agency jurisdiction. Coordinates with other jurisdictions and agencies and foreign interests on transportation matters. Manages Agency quality assurance licensing and inspection programs for transportation of nuclear materials. Conducts safety and safeguards technical reviews related to nuclear materials transportation activities. Develops licensing review criteria and licensing positions, and reviews cask certification and transportation physical protection programs.

Develops and issues Information Notices and Bulletins-.

D. THE DIRECTOR, DIVISION OF INDUSTRIAL AND MEDICAL NUCLEAR SAFETY, directs the NRC's prtncipal licensing, inspection, and regulatory activities to  ;

ensure safety and quality associated with the processing and handling of nuclear materials and involving health physics and radiation and nuclear ,

safety review and analysis of the front-end of the fuel cycle after milling; the use of licensed material in medicine, research, industry, and other purposes; and the b3ck-end of the fuel cycle except for commercial low-level waste disposal and high-level waste disposal.

Responsible for the regulation of materials and non-reactor facilities licensed under the Atomic Energy Act of 1954, as amended. Develops, implements, and evaluates nonreactor facilities and materials policies and the overall NRC nuclear fuel cycle and materials programs. Manages Agency program for " exempt" use of radioactive material and for 4

Approved: october 27, 1989

l l

t ORGANIZATION AND FUNCTIONS NRC Appendix 0124 OFFICE OF NUCLEAR MATEPTAL SAFETY AND SAFEGUARDS Part II evaluation of sealed sources and devices. Provides national direction to Regional licensing and inspection activities programs. Provides technical support for ' aining of Regional and Agreement State licensing and inspection staff. Provides technical support and guidance to the Regions on licensing and inspection activities and, upcn request, to the Agreement States. Identifies and takes action to control safety issues and directs NRC contingency and response operations dealing with accidents, events, and incidents under its responsibility. >

1. The Operations Branch provides programmatic control in the material safety and fuel cycle areas. Provides technical and program quality i assurance, incident response coordination and training, and I emergency preparedness policy for nuclear materials and fuel cycle events. Identifies and takes action to control safety issues under the Division's. responsibility. Assesses safety envir0nment stesuiing from foreign events and developments and implements response. Reviews licensee performance to assist in establishing licensing and inspection priorities and policies, and to determine need for Information Notices, Bulletins, and rulemaking. Develops and issues J Information Notices and Bulletins. Resolves generic policy issues (e.g., uranium toxicity and monitoring) . Coordinates problem with other Federal agencies (e.g., OSHA, EPA, DOE, and FEMA) regarding interagency jurisdiction related to responsibilities of the Division. Develops policy and procedures for assessing Regional .

performance of materials and fuel facility licensing and inspection activities. Provides operational computer support functions for the Division (e.g., License Tracking System [LTS), Sealed Source and DeviceSystem[SSDS],ServiceandTrainingInformationSystem

[STIS], General License Data Base [GLDBJ, and Material Safety Regulatory Improvements [MSRI]).

and

2. The Fuel Cycle Safety Branch conducts health physics, radiation,ing; nuclear safety, quality, and other appropriate analyses; licens and follow-up review of natural uranium conversion plants and production plants, uranium enrichment plants, enriched fuel processing and fabrication plants, chemical reprocessing facilities, and advanced fuel fabrication plants. Conducts environmental assessments and prepares environmental impact statements related to licensing actions. Conducts safety and environmental evaluations, licensing, quality assurance, and follow-up review of spent fuel storageinstallations(outsideofreactorbasins),includingDOE's MonitoredRetrievableStorage(MRS) facility. Conducts safety analyses for containers for independent irradiated fuel storage and i

interim storage of low-level waste at reactor sites. Conducts safety analyses and reviews of DOE activities for the West Valley Demonstration Project. Provides oversight and programmatic direction for the respective programs in the Regions related to 5

l Approved: October 27, 1989 i

ORGANIZATION AND FUNCTIONS NRC Appendix 0124 0FFICE OF NUCLEAR MATERIAL SAFETY Part II AND SAFEGUARDS these activities. Develops and directs implementation of policies and programs for inspection of licensees and others subject to NRC jurisdiction. Reviews Regional fuel cycle licensing and inspection programs for technical adequacy and consistency. Provides technical 4 support for training Regional and Agreement State fuel cycle licensing and inspection staff. Provides technical support and guidance to the Regions on fuel cycle licensing and inspection activities and, upon request, to the Agreement States. Reviews programmatic activities and develops technical and policy options for regulations, regulatory guides, and policy statements. Provides technical support for incident and emergency response.

3. The Medical, Academic, and Commercial Use Safety Branch conducts health physics, radiation safety and other appropriate analyses, licensing and follow-up review of byproduct, medical, academic, industrial, and other source and special nuclear materials, including, as necessary, preparation of environmental assessments  ;

and impact statements, determination of quality evaluations of sealed sources and devices, and licensing of exempt distribution of consumer products. Provides oversight and programmatic direction for the respective programs in the Regions related to these activities. Develops and directs implementation of policies:and programs for inspection of licensees and others subject to NRC jurisdiction. Reviews Regional mate:ials licensing and inspection programs for technical adequacy and consistency. Provides technical support for training of Regional and Agreement State materials licensing and inspection staff. Provides technical support and guidance to the Regions on materials licensing and inspection activities, and, upon request, to the Agreement States. Certifies adequacy of design of sealed sources and devices. Reviews programmatic activities and develops technical and policy options for regulations, regulatory guides, and policy statements. Provides technical support for incident and emergency response.

E. THE DIRECTOR, DIVISION OF HIGH-LEVEL WASTE MANAGEMENT, develops and manages the Agency's program for the licensing, inspection, and regulation of the DOE high-level waste (HLW) repository program.

Provides lead for all Agency activities under the Nuclear Waste Policy Ac' (NWPA) of 1982 and describes scope and activities for the Agency to achieve goals and schedules under the NWPA. Develops, implements, and evaluates safety and environmental policies relative to the HLW program, j including programs for licensing, inspection, and quality assurance.

Develops and implements a program of early, active, and continuing interface, including prelicensing interface, with DOE and other entities--Federal, State, Indian Tribes--to ensure an ongoing understanding of the DOE repository program and early identification of regulatory concerns and issues within the program. Develops a program to 6

Approved: October 27, 1989

ORGANIZATION AND FUNCTIONS OFFICE OF NUCLEAR MATERIAL SAFETY NRC Appendix 0124 AND SAFEGUARDS Part II enhance the ability of NRC to reach the statutory deadline of three years for construction permit decision. Develops technical and procedural guidance to ensure program focus on important regulatory matters.

Coordinates on research to ensure regulatory program commitments are achieved. Reviews and consnents on DOE documents, pians, and programs as they are developed. Represents the Agency in international HLW activities. Provides guidance for Regional activities relating to the HLW repository program. Identifies and takes action to control safety issues under its responsibility. Authorities include the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974; the National Environmental Policy Act of 1969; the Nuclear Waste Policy Act of 1982; and the Nuclear Waste Policy Amendments Act of 1987.

1. The Repository Licensing and QA Project Directorate serves as the focal point for implementation of the High-Level Waste (HLW)

Repository Program, including interface with DOE. Provides systems engineering / integration for the High Level Waste Program (respository, MRS, ISFS, and transportation). Responsible for planning and policy analyses for the regulatory program under the Nuclear Waste Policy Act (NWPA). Manages and coordinates the safety and environmental reviews of prelicensing and licensing activities for the HLW repository. Responsible for the review, devel  ; guidance as necessary and audits the DOE implementation of qualti assurance to ensure compliance with regulations. Develops safety ond environmental policy for HLW repository program to ensure coherent direction and focus for licensing, inspection, quality assurance, and other regulatory activities. Manages implementation of the NRC and DOE procedural agreement governing pre-licensing consultation. Manages and coordinates the inspection and audits of repository-related activities toensure compliance with regulations.

Provides the necassary planning to enable meeting statutory schedules and milestones such as the three year construction permit decision. Implements an active interf<ce program, including prelicensing with Federal, State, Indien Tribes and other entities to ensure ongoing understanding of the repository program and to identify and resolve concerns in a timely manner. Provides CNWRA Program Sub-Element Management for Systems Engineering and Special Projects.

2. The Geosciences and Systems Performance Branch is responsible for the technical review and serves as the center for technical expertise in the geosciences (geology, hydrology, and geochemistry) and system performance assessment disciplines as they relate to the HLW repository program. In these areas: (1)developsthetechnical evaluation and assessment methodologies and codes to determine compliance with 10 CFR Part 60 and other regulatory requirements; (2) develops gu.1 dance for the DOE with respect to specific technical information required to demonstrate compliance with regulatory 7

Approved: October 27, 1989

4 ORGANIZATION AND FUNCTIONS NRC Appendix 0124 0FFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS Part II requirements and specific technical strategies or methodologies that would be acceptable to demonstrate compliance; (3) reviews rules and standards to ensure program internal technical consistency, technical completeness and accuracy, and that they satisfy program needs and are implementable; (4) reviews and evaluates NWPA submissions for technical adequacy and compliance with regulatory requirements, including environmental assessments, site characterization plans,-and other relevant prelicensing and licensingdocuments;and(5)participatesininspectionsandaudits of repository-related activities to ensure compliance with regulatory requirements. Serves as the focal point for coordination with the Office of Nuclear Regulatory Research (RES) regarding RES support of the HLW repository program. ProvidesCNWRAProgram/Sub Element Management for Performance Assessment Methodology and the Geologic Setting, including geology, hydrology, geochemistry, and i climatology. l

3. The Engineering Branch is responsible for the technical review and serves as the center for technical expertise in engineering disciplines as they relate to the engineered barrier systems and In these repository) areas: designthe (1 develops of the High-Level technical Waste evaluation repository.

and assessment methodologies and codes to determine compliance with 10 CFR 60 and other regulatory requirements; (2) develops guidance for the DOE with respect to specific technical information required to demonstrate compliance with regulatory requirements and specific technical strategies or methodologies that would be acceptable to demonstratecompliance;(3)reviewsrulesandstandardstoensure program internal technical consistency, technical completeness and accuracy, and that they satisfy program needs and are implementable, (4) reviews and evaluates NWPA submissions for technical adequacy and compliance with regulatory requirements, including environmental assessments,' site characterization plans, and other relevant prelicensing and licensing documents; and (5)participatesin inspections and audits of activities to ensure complia'nce with regulatory requirements. Provides CNWRA Program /Sub-Element j Management for Systems Engineering, Engineered Barrier System, i i

Repository Design (Construction and Operation), and Special Projects. Provides Division lead for efforts to integrate ADP into .

Division work, including contractor work. Serves as the NMSS focal j point for issues, interaction, etc., regarding the Licensing Support System (LSS).

F. THE DIRECTOR. DIVISION OF LOW-LEVEL WASTE MANAGEMENT AND DECOM ISSIONING, directs the NRC's program 1'or licensing, inspection, and regulation to ensure safety and quality associated with the management, treatment, and '

commercial' disposal of low-level nuclear waste (LLW); uranium recovery (UR) activities, including mill tailings management; and related material i

8 Approved: October 27, 1989

' ORGANIZATION AND FUNCTIONS NRC Appendix 0124 OFFICE OF NUCLEAR MATERIAL SAFETY Part 11 AND SAFEGUARDS facility and power reactor decommissioning. Develops, implements, and evaluates safety and environmental policies and long-range goals for low-level waste, uranium recovery activities, and rolated material facility and power reactor decommissioning activities. Identifies and takes action to control safety issues under its responsibility.

Interacts with other NRC Offices and international, Federal, and State organizations and jurisdictions on matters under its cognizance.

Coordinates within NRC so that consistent criteria are developed for acceptable LLW disposal, UR activities, and decommissioning practices.

C.oordinates on research to ensure regulatory program commitments are achieved. Represents the agency in international LLW and UR activities; provides guidance for Regional activities relating to LLW disposal, UR activities, and decommissioning; serves as Agency lead for DOE's Remedial Action Plans. Authorities include the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974; the National Environmental Policy Act of 1969; the Uranium Mill Tailings Radiation Control Low Level ActRadioactive of 1973; the Low Policy Waste Level Amendments Radioactive Waste Policy(LLRWPAA Act of 1985 Act of 1980;)and

. the

1. The Operations Branch serves as NFC focal point for licensing and 1 operational safety activities associated with the management and disposal of LLW and UR activities including mill tailings management and related decommissioning. Plansanddirectstheprogramfor(a) safety and environmental evaluation of applications for licenses for low-levelradioactivewastedisposal;(b)inspectionandquality assurance of existirg facilities; (c) maintenance of information on the status of LLW operation, management, and disposa! for all NRC licenseesandAgreementStatelicensees;(d)NRC'sevaluationofand concurrence in the Department of Energy's Remedial Action Plans for cleanup of ihactive uranium mill tailings sites and contaminated vicinity properties; and (e) oversight end review of Regional Offices' performance for matters under the Division's cognizance.

Provides technical assistance to States and Compacts consistent with LLRWPAA and in their regulation of LLW disposal facilities under their jurisdiction. Identifies and takes action to control safety issues under the Division's responsibility.  ;

2. The Technical Branch directs and manages the program necessary for technical review and evaluation of the acceptability of proposed and operational low-level waste disposal, uranium recovery activities, and decommissioning activities with respect to geology, hydrogeology, geochemistry, facility design, engineered barriers, waste form, and packaging. Identifies specific information needs, .

data-gathering strategies, and methods needed to obtain acceptable licensing, inspection, and enforcement data in these areas. l Develops technical evaluation and assessment codes. Identifies  !

further research and development needs and serves as Division liaison with the Office of Nuclear Regulatory Research in developing and executing programs to fill these needs. Directs technical 9

Approved: October 27, 1989

- ORGANIZATION AND FUNCTIONS NRC Appendix 0124 0FFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS Part II assistance contracts and consultants in support of the above functions. Prepares technical positions and other guidance

' documents. Responsible for the Division's internal quality assurance program.

3. The Regul6 tory Branch manages and directs NRC regulatory development activities under the Uranium Mill Tailings Radiation Control Act of 1978-and the LLRWPAA. Responsible for interagency and international coordination, development of policy and practices and long-range goals, and initiating the development of standards and guides for matters under the Division's cognizance. Conducts special projects and develops policy options for improving regulatory programs for disposal of low-level wastes, uranium mill tailings, and decommissioning of nuclear facilities. Develops regulatory program for management of mixed and greater than Class C wastes, and for quality assurance of low-level waste disposal facilities. Plans and directs the program for financial assurance of licensees (other than Price-Anderson) and decommissioning of power reactor and materials licensees. Reviews and recomends action on decommissioning plans i

for power reactors prior to transfer from NRR to NMSS. except j financial aspects. Plans, directs, and carries out all licensing reviews and actions for power reactors transferred to NMSS, and }

directs and oversees the related assistance for, and plans, directs j and oversees all Regional licensing and inspection activities j related to decommissioning.

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i ORGANIZATION AND FUNCTIONS 0FFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS NRC Appendix 0124 )

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PART III l AGREEMENT ON INTERFACE AND DIVISION OF RESPONSIBILITY j BETWEEN i THE OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS AND i THE OFFICE OF INTERNATIONAL PROGRAMS {

ON l MATTERS RELATING TO FOREIGN PHYSICAL PROTECTION AND INTERNATIONAL SAFEGUARDS The Office of Nuclear Material Safety and Safeguards (NMSS) and the l Office af International Programs (IP) are assigned responsibilities which require both Offices to deal with international safeguards and foreign )

physical protection matters. There are many functions for which the I assignment of responsibility is shared or otherwise requires an interface I between the Offices. The purpose of this memorandum is to document in  !

detail the agreement on the division of responsibility between the offices in those specific areas where interfaces or common responsibilities exist in i the functions assigned to the respective organizations.

i

1. Processing of Export-Import Licenses with Regard to Foreign i Physical Protection and International Safeguards Matters.

When papers on export-import license applications are sent to the Commission by IP, they will be fully coordinated and will contain NMSS conclusions and views (as well as those of the Executive Branch) on the physical protection and international safeguards matters relating to the export or import. Any relevant IP comments will, of course, also be included.

Incoming applications for export and import licenses are received by the Office of International Programs where they are reviewed for completeness and sent to the Executive Branch for review.

Simultaneously, IP sends pertinent

• license applications to NMSS for review of the physical protection and international safeguards matters associated with the license application. NMSS will then

• These applications include: (a) Production and utilization facilities; (2) 15 grams or more of high enriched uranium or plutonium; (3) 1 kilogram or more of 10% to 20% enriched uranium; (4) 1 effective kilogram or more of uranium enriched to less than 10% U235; (5) 500 kilograms or more of source material; (6) 1000 kilograms or more of heavy water or nuclear grade graphite.

I

1 NRC Appondix 0124 ORGANIZATION AND FUNCTIONS Part III 0FFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS (1) begin its review of the adequacy of protection for the export or import and notify IP promptly of any particular physical protection or international safeguards concerns associated with the proposed export or import; and (2) identify any special issues it would like the Executive Branch to address in its threat assessment, including l information pertaining to potential threat situations in recipient countries. Further, NMSS will advise IP at any time, without regard to particular license applications, of any foreign physical protection or international . safeguards concerns that arise with regard to countries receiving U.S. nuclear exports. After consultation between the two offices, if, in the view of either IP or NMSS, further information or actions from the Executive Branch or the ,

proposed recipient country are required, IP conveys official I requests for'such information or actions to the appropriate Executive Branch agency or, if appropriate, to the representatives of - the country concerned (in coordination with the Executive Branch).

After receipt of the Executive Branch analysis in IP, IP promptly sends this information to NMSS, followed by the proposed Commission ,

)

Paper for the export. NMS.S reviews this information promptly and as a result may request IP .to seek additional information from the Executive Branch regarding foreign . physical protection and international safeguards matters, including additional assessments }'

of, or information pertaining to, potential threat situations in recipient countries. If unresolvable differences arise regarding such requests or prompt Commission attention to the application is )

needed, applications are submitted to the Commission with the views of both offices and the Executive Branch set forth. This step is included, for example, to afford the Commission an opportunity to consider the license application where urgency may override the

~

need for additional information,'

2. Participation in Interagency Groups and International Fora Dealing with Foreign Physical Protection and International Safeguards Matters .

In international safeguards and foreign physical protection matters, both NMSS and IP assist the Commission in discharging its export- j import licensing responsibilities and in supporting overall U.S.

efforts for strengthened IAEA safeguards.

NMSS is responsible for evaluating the standards and measures for international safeguards utilized by the 'IAEA, for evaluating the technical performance of the IAEA safeguards program, for ,

i providing technical assistance to the IAEA in safeguards, and for 1 developing review criteria for meeting Part 110 requirements regarding safeguards and physical protection. IP is responsible for l bringing broader considerations to bear regarding the political and l

2

NRC Appendix 0124 ORGANIZATION AND FUNCTIONS

, Part III 0FFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS diplomatic aspects associated with pursuit of these goals and standards at a particular time. IP and NMSS are responsible for interfacing with Executive Branch agencies in these respective areas.

In pursuit of these responsibilities and roles, both IP and NMSS participate in both interagency meetings and necessarily international fora.

When an interagency group is formed, iP is notified and it then contacts NMSS to determine whether ;ither office or both should represent the NRC in the group thus formed. When a meeting appears to be of significance to both offices, each office will participate. In all cases, IP and NMSS will keep each other's office well informed of the issues discussed, the decisions made, and the work assignments rendered in meetings of these groups. Tne two offices will consult before and after meetings of such groups either mutually to determine NRC's staff positions on the issues raised er to establish areas of differences between the offices on which Commission guidance should be sought.

IP serves as the NRC's initial point of contact with international organizations and groups dealing with foreign physical protection and and international safeguards matters . Initial inquiries nonroutine communications from such groups are routed by IP to the appropriate NRC office. Participation in international fora dealing with foreign physical protection and international safeguards matters is determined by close consultation between the two offices concerning the nature of the forum, the issues involved, and the resources available to devote ,to the activity in question. Regardless of which office is chosen to represent the NRC for a particular international meeting, the representative or representatives receive a thorough briefing by both offices regarding the policy / technical matters to be addressed at the meeting and the representative or representatives file a trip report and are thoroughly debriefed by both offices upon return. In general, NMSS and IP representatives the to attend meetings in accordance with '

are selected responsibilities identified above.  !

1

3. Commission Papers Dealing with Foreign Physical Protection and International Safeguare rs.

l Whenever a paper concerning international safeguards or foreign  !

physical protection is initiated by an office, or assigned to an office, that office immediately notifies the other office, following which close ,

consultation takes place, and anv necessary dividing up of drafting j or action responsibilities is agreed upon. This means that in preparing all Commission papers on these subjects the two offices ,

consult closely, as if they in fact worked in the same office, starting !

3 1

NRC Appendix 0124 ORGANIZATION AND FUNCTIONS

. Part III 0FFICE OF NUCLEAR MATERIAL SAFETY ANF SAFEGUARDS at the initial drafting stage. Papers on these subjects will not be forwarded directly to the Commission without the involvement of the other office, and where appropriate, these papers will be jointly signed. Working drafts are clearly demarcated in the consultation process and the provision of staff inputs does not imply final office concurrence. Requests for concurrence by one office from another on papers signify the requesting Office Director's approval of the paper. In cases where the offices have unresolvable differences, the views of the two offices will be reflected in the paper forwarded l

to the Commission.

l

4. Routine Interagency and International Interface for Foreign l.

l Physical Protection and International Safeguards Matters.

IP serves as the NRC point of contact for the routine receipt of l

copies, documents, announcements of meetings, and other communications to the NRC regarding. foreign physical protection and international safeguards matters. IP notifies NMSS when any of these materials and/or communications are received and promptly (immediately when practical) provides NMSS copies . Where the contact is an announcement of a proposed meeting which should l

include NMSS participation, IP promptly (immediately if practical) notifies NMSS of the meeting and NMSS and IP settle on mutually acceptable times and dates before committing NRC to attendance. All responses and/or requested actions require mutual agreement before they are finalized.

5. Physical Protection and International Safeguards Review Criteria for Export-Import Licensing.

The regulations pertinent to export-import licensing are set forth in 10 CFR Part 110. IP is responsible for preparing proposed amendments to Part 110 for Commission consideration, in close consultation with NMSS when physical protection and international safeguards matters are involved. Within the context of these regulations NMSS is NRC's office responsible for developing the review criteria for use in evaluating the adequacy of recipient countries' physical protection and, if appropriate, internatiohal safeguards programs. In applying these criteria to specific export license applications , requests for additional information or indications that additional protection is required are conveyed to the Executive Branch through the procedures set forth in Section 1 of thic Interface Agreement.

6. Establish Physical Protection License Conditions for Specific Import-Export Licenses.

In the course of NMSS' review of each major import and export license application, NMSS identifies physical protection requirements 4

l ORGANIZATION AND FUNCTIONS NRC Appendix 0124 {

OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS Part III j

(

applicable to the nuclear materials while in transport within U.S. l jurisdiction, and in transit to and from foreign countries. IP j i

specifies safeguards license conditions in import and export licenses based on NMSS guidance, including amendments to previously issued licenses. Although physical protection requirements for protecting nuclear material in transport withm U.S. jurisdiction is the responsibility of NMSS, applicable license conditions will generally be incorporated in the import and export license along with any conditions for protecting the material while in transit between the U.S. and the recipient country. In this process IP may provide NMSS its views regarding the matters under question.

7. Effectiveness of Foreign Physical Protection Programs and IAEA Safeguards.

NMSS monitors and evaluates the technical effectiveness of foreign physical protection programs and IAEA safeguards to determine their acceptability for export licensing purposes. This includes (1) NMSS participation in country visits to review the adequacy of foreign physical protection programs to protect nuclear materials in accordance with 10 CFR Part 110 against sub-national threats; and (2) continuing assessment of the effectiveness of IAEA safeguards for detecting diversions of nuclear materials to unauthorized uses.

NMSS' assessment of the technical effectiveness of IAEA safeguards is currently based on interaction with IAEA safeguards staff, review of safeguards implementation reports issued by the IAEA, participation in U.S. interagency efforts to improve the technical effectiveness of IAEA inspection equipment and procedures, participation in IAEA safeguards working groups and participation in U.S. efforts to implement the U.S. Action Plan for strengthening IAEA safeguards.

In this area, IP incorporates NMSS' technical evaluations, as well as political considerations, in making its overall determinations and recommendations regarding the non-inimicality of a proposed export to the common defense and security of the United States and in i recomnending positions for Commission consideration. This determination is based on participation in the activities listed above as well as evaluations of information obtained from other sources.

8. Implementation of US/IAEA Safeguards Agreement.

An intra-agency group is being established to oversee the implementation of the US/IAEA Safeguards Agreement. NMSS will chair this group, consisting of representatives from NMSS, NRR, ELD, IE, and IP. IP will be represented in this group to review any policy issues that may arise in the implementation of the Agreement 5

NRC Appendix 0124 ORGANIZATION AND FUNCTIONS Part III 0FFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS and -to discuss these issues with NMSS for proper disposition and, when necessary, to convey NRC views to the appropriate Executive Branch agencies (i.e. , State, ACDA).

The intra-agency group will be responsible for the routine implementation of the Agreement, including:

a. Obtaining through the use of a " Design Information Questionnaire" (DIQ) the detailed facility information needed to prepare a facility attachment for each facility.

b. Evaluating each DIQ for completeness and accuracy, and obtaining supplemental information from the licensee where necessary.

c. Arranging site visits by IAEA personnel, if desired, to verify information provided in the DIQs and to evaluate the application of containment and surveillance measures.

d. Assisting the IAEA in the preparation of implementatica procedures (Facility Attachments) for each eligible facility.

e. Coordinating with IE inspection of licensed facilities by the IAEA.

f. Providing the IAEA with necessary safeguards reports and other requested information.

For special circumstances involving issues of political and diplomatic significance (e.g. , those issues in which the Department of State becomes involved such as the determination of the acceptability of an inspector) IP, in consultation with NMSS, will serve as the point of contact with Executive Branch agencies. When the Executive Branch requests NRC to deal directly with the IAEA on these issues, IP will perform that role.

9. Intelligence Information Coordination.

All interagency agreements between the NRC and intelligence agencies are concluded by the EDO. Within the context of signed interagency agreements , both using offices are responsible for working with various intelligence agencies to secure any intelligence information necessary to accomplish their office missions. In regard to intelligence matters, NMSS' principal mission is to assess existMg or potential threats to the nuclear industry within the United States and to discharge its responsibilities as contained in Section 1 of this Agreement.

6

ORGANIZATION AND FUNCTIONS NRC Appendix 0124 i Part III O

0FFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS l

IP's principal intelligence mission is to assess proliferation potential abroad and to discharge its responsibilities as contained elsewhere in this Agreement.

In accordance with the mission stated above, NMSS uses intelligence information, including foreign intelligence, in order to maintain an awareness of the current threat to the nuclear industry, to assess the capability, characteristics, and credibility of potencial adversary groups, and to determine trends and changes of significance which may affect the safeguards posture. The results of these efforts support timely response to current threats or actual incidents and provide an ongoing assessment of capabilities and trends to cognizant offices for use in rule making, safeguards assessments, and safeguards systems design. In support of these functions, the NMSS necessarily becomes a consumer of both finished and time sensitive intelligence information.

The Information Assessment Team (made up of'NMSS, NRR, IE and currently chaired by NMSS) is the primary point of contact for levying requests for domestic terrorist threat type information and receiving such information. The IAT concentrates its intelligence liaison work with the FBI and local and state law enforcement l agencies .

IP is responsible for levying NRC requests for intelligence information on U.S. foreign intelligence agenci, (i.e. , CIA and DIA). NMSS is responsible for levying NRC requests for intelligence information on U.S. domestic intelligence agencies (e.g. , the FBI and others).

On an ongoing basis, NMSS and IP provide each other with any intelligence information of an international nature which comes to the other's attention and which would assist in the offices' carrying out their missions. Routine day to day interface with the intelligence community will proceed with close coordination between IP and NMSS; this is not to preclude routine contacts by either office with any of these agencies.

To assure that concerned offices are kept abreast of agency 1 information needs and availability, an Information Coordinating Committee made up of representatives of NMSS, NRR, IE, IP and SEC and chaired by the Deputy Executive Director for Operations j has been established. Among the matters that the Committee focuses on is the recolution of conflicting special requirements and disputes over the distribution of intelligence information. This group is also informed of any contacts with agencies with which an interagency agreement is not in effect.

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- NRC Appendix 0124 ORGANIZATION AND FUNCTIONS Part III 0FFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS Under the guidance of the ICC, NMSS develops and negotiates any agreements between NRC and U.S. domestic intelligence agencies (e.g. , the FBI and others). Under the ICC guidance, IP develops and negotiates any agreements between NRC and U.S. foreign intelligence agencies (i.e. , CIA and DIA). NMSS and IP coordinate with and completely involve each other as well as other pertinent NRC offices in the development of these interagency agreements.

These agreements detail intelligence information requirements and procedures for its handling. Concurrences for these agreements, which are concluded by the EDO, include all pertinent Office Directors.

A M . 7~ . . .

Jampf R. Shea, Director

'd/V. Smi til, Jr. Directo '

(Cliffoy/

Offi n f Nuclear Material . Safety Offpe of International Programs and Safeguards I

JllL 171978 1

8

r 9

- Form NRC 449 (1 76)

U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE I

l CHAPTER NRC-Oll6 ORGANIZATION AND FUNCTIONS

. OFFICE OF GOVERNMENTAL AND PUBLIC AFFAIRS SUPERSEDED: TRANSMITTED:

1 .

I Number Date Number Date TN 0100-86 Chapter NRC-0116 11/21/75 Chapter NRC-0116 9/9/87 NRC-0117 5/27/76 Page NRC-0138 6/21/84 l NRC-0141 12/13/83 Appendit NRC-0138,I,II 6/21/84 Appendix NRC-0116 9/9/87 NRC-0141 12/13/83 l

l REMARKS:

This chapter and appendix reflect the assignment of functions l .to , and structural organization of, the Office of Governmental and Public Affairs, implementing NRC's reorganization plan.

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