ML20211E813
| ML20211E813 | |
| Person / Time | |
|---|---|
| Issue date: | 09/25/1997 |
| From: | Hoyle J NRC |
| To: | Funches J NRC |
| References | |
| REF-10CFR9.7 NUDOCS 9709300277 | |
| Download: ML20211E813 (34) | |
Text
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UNITED STATES 4
8 NUCLEAR REOULATCRY COMMISSION j
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p WASHINGTON. D.C. 20565 0001
- f September 25, 1997 SECRETARY MEMORANDUM TO:
Jesse L. Funches hief Fina cial Officer FROM:
ohn C y1
SUBJECT:
STAFF REQUIREMENTS MEMORANDUM: COMSECY-97-019, NRC's FY 1999 PERFORMANCE PLAN The Commission believes that the NRC's FY 1999 Performance Plan appropriately responds to the statutory requirements of the Government Performance and Results Act and that the draft circulated as COMSECY-97-019 is an acceptable first iteration of the plan.
Consequently, the Commission has approved submission of the NRC's FY 1999 Performance Plan to the Office of Management and Budget, subject to the following guidance.
The FY 1999 Performance Plan is an integral part of the FY 1999 Budget, which was forwarded to OMB on September 8,
.L997, and should be submitted to OMB no later than September 30, 1997.
To the extent possible, staff should revise the FY 1999 Performance Plan to l
incorporate the guidance provided in enclosure 1 and the specific changes noted in enclosure 2, and meet the submission date of September 30, 1997.
(CFO)
(SECY Suspense: 9/30/97)
The revised plan to OMB should be provided to the Commission prior to cubmittal to OMB, along with documentation on the disposition cf Commission comments.
(CFO)
(SECY suspense:
before 9/30/97)
Any changes that could not be accommodated within this timeframe in the FY 1999 Performance Plan should be add-essed in the planning process and the development of the FY 2000 Performance Plan.
(CFO)
(SECY SUSPENSE:
1/31/98)
In future iterations of the Performance Plan, the staff should strive for a clearer nexus between program outputs and the goals N^
they support.
The staff should also consider whether existing goals need to be revised, eliminated, or new goals established, an effort that may require updating the NRC Strategic Plan.
The staff should also consider the use of intermediate goals that are closer to NRC's " operating regime."
For example, based on the last two years of experience and publicity on plant performance, r
y[42 the staff should consider a goal of " Effectively monitoring plant 9709300277 970925 PDR 10CFR pddp,(,$fM/
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[1 performance to provide the Commission with early warning of L'
adverse plant performance."
(CFO)
(SECY SUSPENSE:
1/31/98)
Enclosures:
As stated-cc:
Chairman _ Jackson Commissioner Dicus Commissioner Diaz Commissioner McGaffigan EDO OGC OCA OPA CIO-OIG Office _ Directors, Regions, ACRS, ACNW, ASLBP (by E-mail)
COMMISSION GUIDANCE FOR REVISING FY 1999 PERFORMANCE PLAN e
Performance goals should be based on a. criterion established using the agency mission and_ strategic plan, which would then drive the funding request.
On.
page 5, paragraph three,-this relationship is reversed.
The. text should be-revised appropriately.
e:
The paragraph on Research on page 6 should be deleted as it appears out of place and there are no specific.
output measures associated with it.
e Goal 1.B.1.on page 7 should reference Parts 50.72 and 50.73 and-possibly Part 20.
Goals II.A.1 and II A.1.a. on page 9 should be rewritten to avoid the implication that the NRC is satisfied with maintaining the status quo in the number of significant radiation exposures due-to IcL7 of byproduct, source, and special nuclear materials and in-the amount of such material lost annually.
The performance indicator for goal II.A.1.a. on page 9 should include all sources that are lost, particularly those that enter.the public domain in-an uncontrolled manner and-pose-radiological risks and financial-consequences.
Staff should review the most recent annual data for: reports of losses of licensed material from.this broader perspective and develop an appropriate performance indicator that avoids creating the kind of unspecified standard that averaging with-i previous performance would establish.
e The performance indicator on page 14 for strengthening international nuclear safety and safeguards (Goal IV B)-
should-be revised to specify more clearly the significant program outputs to which the staff is referring.
-e The last. performance indicator on page 16 concerning protecting the environment should be revised:to avoid the possibility that it could be misread to imply that NRC knowingly plans to release sites that do not meet-release criteria.
Revised language should be developed to read along.the following-lines:
The performance _ indicator is the number of sites identified each year that were previously_ released as having met NRC release criteria, but subsequently have been_ determined to have not met applicable release criteria.
The FY 1999 target is zero.
J
(
2.
In'the Public Confidence and Excellence sections on.
e pages 17 and_18, the performance goals are too forward
[
looking and need to be revised to reflect currently i -
tracked activities, e
-The performance indicator for goal VII.B-on page 18 should identify the five major NRC processes, or the criteria for choosing:the five major processes to be reviewed, in order for this indicator to have-any meaning for the reader, and should specify the:"needed-l i'
improvements," if any have been identified, that will'
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be implemented.
i e
In the Support section (pages 19-22), the plan relies too heavily on surveys to establish-primary indicators.
The-staff should revise this section to make lead l
indicators as quantitative as possible, using surveys-
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only as complementary or confirmatory instruments.
The staff should also-reexamine the use of annual surveys, 3
which will be costly in terms of resources and employee time.
+;
e The narrative' text on page 19 suggests that NRC core capabilities are not known.
To the extent possible, j
this impression should be corrected.
The staff should consider whether reliance on contractors for core capabilities is a valid indicator, especially if expressed as a ratio of contract core capabilities to NRC core capabilities.
e On page 21, the performance in'dicator-for the end-of--
year. carryover balance of 5-7 percent of the FY 1999 budget appears to be inconsistent with the continuing emphasis on decreasing NRC's unobligated carryover and i
the views expressed in the transmittal letter to OMB on i
the Blue Book.
The basis-for'the performance indicator i
should be clearly stated.
Moreover, a similar -
performance indicator on carryover balance should be.
developed for the OIG appropriation.
e The staff should-develop a timeliness goal'for i
publishing'the proposed fee rule no later than March
[
31, 1999,- to support Goal VIII.A.3. on page 21.
e
-In Appendix 1 on page 24, the existing' quantitative-output measures associated with licensing actions and operator' exams should be supplemented by some element j
that measures quality as well as_ quantity.
- Moreover, j~
the FY 1999 Blue Book states that NRC has established p
goals to control the size and age of the licensing-action inventory.
These performance goals should be included in Performance Plan.
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3 For the Jeactor Inspection output measures on page 25, e
the staff should determine the minimum number of on-sice inspection hours to fulfill the core inspection program.
In the reactor performance assessment area on page 25, the staff should consider including goals for the Plant Performance Review or Senior Management Meeting processes.
On page 26, in addition to the output measure of the timeliness of licensee event reports, staff should consider other measures of how long it takes to issue an Information Notice, Generic Letters, Bulletins, or NUREGs, starting from the time the issue is first identified.
For the output measure for Reactor Technical Training e
on page 29, the staff should consider a measure that would reflect NRR as well as AEOD input.
For example, it might be appropriate to have NRR provide output data on the percentage of staff meeting or having completed applicable training requirements.
Course quality should also be considered as an output measure and could be expressed as the number of individuals trained versus the number required to be trained, for example.
l l
e Some program elements are workload estimates rather than performance goals.
In the Reactor Enforcement output measure on page 30 and the Materials Program outputs on page 37, the staff's reliance on the number of escalated enforcement actions as the measure of performance is, for all practical purposes and from all appearances, the establishment of a quota for enforcement actions despite disclaimers to the contrary in the Plan.
A better performance measure would reference the quality and timeliness of escalated enforcement actions consistent with the time frames provided in the enforcement manual.
As was also the case in the draft Strategic Plan, tht draft Performance Plan continues to designate Research as the " Responsible Organization" for FY 1999 rulemaking activities on pages 30, 31, 32, 36, and 49 despite the Commission's directive to transfer such activities to the program offices.
This error should be corrected in the plan, and the staff should proceed to implement this Commission decision, The Materials Safety Regulatory Effectiveness section o
beginning on page 35 should utilize the same format as the Reactor Safety Regulatory Ef fectiveness section on
4 page 25 in speaking to reviews of domestic and foreign reports of events, reviews of inspection reports, and emergency response planning and exercises.
In addition, the staff should incorporate on page 35 the first and third paragraphs of the Staff Requirements Memorandum of DSI-7, Materials and Medical Oversight, which addresses interactions with ACMUI on Part 35 issues and focusing of materials activities on higher risk areas in the longer term.
The Commission's directive would also be suitable for inclusion in the section on Excellence on page 53 of Appendix 1.
The staff should also include as a significant output measure the completion of the rulemaking to revise Part 35 on pages 35 and 53 (Appendix I),
The first output measure on page 38 refers to non-spent e
fuel transport container design, while the preceding narrative appears to focus on approval of containers for spent fuel.
The narrative should be clarified to include the "non-spent fuel" container design activity.
Additionally, it may be appropriate to include some output measures related to safety inspections of non-spent fuel transport package licensees, applicants, vendors, and fabricators.
On page 41, the discussion of regulation of low-level waste does not include as an output measure the development of the Branch Technical Position on LLW Disposal Facility Performance Assessment.
Since the staff currently expects to finalize the BTP in FY 1999, it should be an appropriate output measure for the LLW portion of the Plan.
e For the output measures of technical assistance to the Russian Federal Authority on Nuclear Radiation and Safety (GAN) and to the Nuclear Regulatory Authority (NRA) on a variety of technical issues, the FY 1999 targets should be more specific to be able to deteruine whether the goals are achieved.
o Output measures for Import / Export review (page 46),
Regulation of Decommissioning (page 48), and GPRA (page
- 50) are all examples where undefined terms such as
" timeliness" or " quality of product" are used without reference to how they will be judged.
Staff should consider incorporating a range of time or include factors that will be used to judge timeliness and quality.
The output measures on page 48 for regulation of e
decommissioning do not appear to address reactor decommissioning.
This section should be clarified to
5 indicate that reactor decommissioning is addressed elsewhere or include output measures for reactor decommissioning here.
e some strategies in the strategic Plan do not have corresponding output measures in the Performance Plan.
Examples include the followings Reducing inspections for good performers e
NRC should be able to measure success or estah.ish benchmarks for making that kind of determination.
Prioritization/Sunsetting of Non-Mandated Activities This needs to be clarifica and appropriate output measures considered for inclusion in Appendix 1.
e Oversight of DOE Activities Although dependent on Congressional ac'tions not yet taken, the staff should consider whether some goals and output measures should be included in the plan, f
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l The NRC's strategic plan [NUREG 1614 1997] establishes a strategic framework j
that will guide fbture decision-making an will help the NRC continue to meet its responsibil
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for protecting public health and safety, piomoting the common defense and security, and
,.;s.rdag the environment. This performance plan complements the agency's strategic plan j
eetting tenual goals with measurable target twels of performance for W 1999, as required by the Government Performance and Results Act.
1 Within abt months after the close of W 1999, the NRC will submit to the President and the i
Congress a report on program performance for W 1999. This performance report wDI rwiew the success of the agency in achiwing the performance goals established for W 1999. Whers i
those goals have been achiwed, the underlying assumptions and strategies will be examined to ensure that continued applicability is warranted in the future. If any of the W 1999 performance goals are not met, the agency will conduct a thorough analysis of why it did not i
meet the goal and the actions necessary to meet the goal in the future. One result of this analysis will be the documentation of plans and schedules for achieving the established performance goal. If the analysis should indicate that the performance goal is impractical or infeasible, the performance report will document why that is the case and what action is recommended, t
i Together, the strategic plan, the W 1999 performance plan, and the W 1999 annual performance report form the basis for " managing for results," a concept to which the NRC is firmly committed, l
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nationalinterests in the a$r une ofnuclear seaterials medin r,c;+ lif,,.ition e Protect the environmentin connectica Mth cMilan use qfsource, bypro&oct, andspecial nuclear materials through the ingplementation qfthe Atomic Energ Act and the National EmironmentalPolicyAct Rivt24.
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- -.m aruu FY 1999 PERFORMANCE GOALS Strategic Arenas The NRC's strategic plan is organized into strategic arenas. To facilitate the correlation between this performance plan and the strategic plan, this section is orgaaW into the same seven strategic arenas plus a section addressing support activities:
e NuclearReactorSqfety e NuclearMaterialsSqfety
- Nuclear Waste Sqfety Common Defense and Security arulInternationalinvolvement e
Protecting the Environment e
- PublicCorgfidence e Excellence e SupportActivities For each strategic arena that follows we reiterate the general goal from the strategic pir4 provide a briefintroduction to the arena, delineate the performance goals for measuri.ng results l
in FY 1099 toward meeting our general goals, and describe the significant agency program outputs in FY 1999 which support the attainment of the goals. In reviewing the following performance goals, one must be aware that the safe and secure use of nuclear materials for civilian purposes is the responsibility of NRC and Agreement State licensees, and the regulatory oversight oflicensees is the responsibility of NRC and the Agreement States. Thus, to achieve these goals requires the collective efforts of the NRC, the Agreement States, and their Eceasees.
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' 1999 target levels as shown in thl plan e -- _ _ - --+ "!9-d k -d r iffunding requested by the TIRC for FY 1999. A
/ summary of the NRC's FY 1999 funding raquest is shown in Appendix II. For a more detailed discusslon of NRC funding requirements see U.S. Nuclear Regulatory Commission, Budget E.rtimates, Fiscal Fear 1999, NUREG-1100, Volume 14 (February 1998). [Ihis reference is the FY1999 GreenBook]
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General Goal:
Prvvent radiation-related deaths or Blaseses due to dvilian audear reactorgfsoal!)
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A major part of our mission is to ensure that our licensees daign, construct, operata, and da===laaion civilian reactor facilities safely. The Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, provide the foundation for regulating i
the nation's commercial nuclear power industry. NRC regulates the 106 commercial nuclear l
power reactors which are licensed to operata and another 14 that are undergoing decommissioning.
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Reactor safety encompasses all NRC efforts to ensure that civilian nuclear reactor facilities are operated in a manner that provides adequate protection of public health and safety. These efforts include reactor licensing, inspection, performance assessment, identification and 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.
Research provides the information, independent analytical tools and analyses, and some of the technical expertise for making timely regulatoryjudgements, and anticipating problems of potential safety significance. NRC's research includes both short. and long-range components.
The short range component, confirmatory research, delivers a well defined product on a predetermined schedule to assist NRC in making its safety decisions. The long-range component, anticipatory research, focuses on issues of potential regulatory and safety significance.
The M.RFORMANCE GOALS for measuring results in FY 1999 toward meeting the general goal are:
Zero dvilian nudear reactor acddestgGoal LA)
As used in this context, a " nuclear reactor accident" is as dermed in the NRC Severe Accident Policy Statement (50FR32138, August 8,1995), that is, those accidents in which substantial damage is done to the reactor core, whether or not there are serious offsite consequences. The performance indicator is the number of severe reactor accidents annually, ne FY 1999 target is zero, he data to support this indicator are collected through reports from industry pursuant to 10 CFR Parts 50.72 and 50.73, and YGZ.L4h 8 These figures reflect theMahutdown of Haddam Neck, Big Rock Point, and Maine Yankee nuclear power plants, wanam c:nnnurum.wra nye s ht;i-DECISIONAL v
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Congress.
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- Malatala low ty events which could lead to a swore acdd (Goal 1.A.1)
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He performance ladleator is the annual number of wants that could result in a 1/1,000 b l
l probability of ocamence of a swore accident. De FY 1999 target is for no more than N A one such went to occur. De data to suppon thl Indicator are currently goljfunstl W l
through the Accident Sequence Pascursor progran aJn reflected in the annual report, 8
l "Procursors to Potential Severe Core Damageq[gg) Accidents."
i Zero deaths due to radiation or radioactivity releases from dvillas nudear reactors.
(Goal 1.B) i This measure addresses actual deaths due to acute radiation acposure, not statistical 1
deaths. De performance indicator is the number of deaths annually. De FY 1999 j
target is zero. De data to suppon this indicator are currently collected through reports l
from industry pursuant to 10 CFR Pans 50.72 and 50.73, and would be funher described j
in the USNRC annual Abnormal Occurrence Report to Congress, t
-* Zero significant radiation exposures due to dvilian nudear reactors. (Goal 1.B.1) i As used in this context, "algnificant radiation exposures" are those exposures that meet i
the NRC criteria for reporting abnormal occunences to the Congress (see Appendix V, j
Item I.A). This goal encompasses both workers and the general population.
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ne most significant PROGRAM OUTPtrrs in FY 1999 which support the general goal andfelated
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performance goals for this arena are shown in Appendix I.
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8 De Accident Sequence Precursor (ASP) program involves the systematic rwiew and j
waluation of operational wants or conditions that have occurred at licensed U.S. comrsercial power reactors, ne asp program identifies and categorizes precursors that could lead to s
j accident sequences with a potential to cause severe damage to a reactor's core.
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I Nuclear Materials Safety General Goalt Prevent radiation-related deaths or illnesses due to dvilian nse of source, byproduct, and special nudear matedgGoal H)
The nuclear materials program encompasses over 20,000 specific and more than 100,000 general licenses which are regulated by the NRC and the existing 30 Agreement States'. Rose materials range from very low-risk smoke detectors to relatively high-risk irradiators. The Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, provide the foundation for regulating the nation's civilian uses of nuclear materials.
Nuclear materials safety encompasses all NRC efforts to ensure that all NRC-regulated aspects of nuclear fuel cycle facilities, and nuclear materials activities are handled in a manner that -
provides adequate protection of public health and safety. These efforts include licensing, inspection, and related regulatory activities for fuel cycle faellities and nuclear materials users, transportation of nuclear materials, and uranium recovery.
The NATIONWIDE PERFORMANCE GOALE for measuring results in FY 1999 toward meeting the general goal are:
Zero radiation-related deaths due to dvilian noe of source, byproduct, and spedal nudear materials. (GoalII.A) goajl ertains to non-reactor uses of nuctsar materials. Reactors are covered in eral 6ald) This measure addresses actual deaths due to acute radiation exposure, not A
statistical deaths. The performance ind'estor is the number of radiation-related deaths per year. The FY 1999 target is raro. De data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix UI, page 64).
8An/ogreement State is a State that hu signed an agreement with the NRC State to regulate the use of radioactive material, other than use in reactor facilities, within the
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No leeresse is the number of significant radiation exposures due to loss or use of sourcs, byproduct, and special nuclear materials. (GoaJl.A.1)
NM De performance indicator is the number of radi on exposures (aciuding those cawed by medical =ta d-laimations) at or abov level for reponing abnormal occunences to the Congress (see Appendix V, I 1.A). De W 1999 target is that the five year average (W 1995 1999) will not exceed 2 per year. The data to support e d
indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 64).
No increase in the number oflesses oflicensed material as reported to Congress annually. (Goal H.A.I.a)
The performance indicator is the five year average number oflosses ofliccnsed material reported to Congress annually (see Appendix V, !*mn I.C.1). The W 1999 target is that the five-year average (W 1995 1999) will not exceed 2 per year. The 8
i data to support & indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 64).
No accidental criticality involving licensed material. (Goal H.A.I.b)
The performance indies. tor is the number of occurrences of accidental criticality 4
annually (see Appendix V, item 1.D.1). The W 1999 target is zero. The data to support e indicator are currently collected in the Nuclear Material Events Database 3 (see Appendix II, page 2).
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- The target for e goal is being reexamined in light of the new abnormal ce reporting criteria an be revised, if necessary, before the performance olan is finati=d._
8 The target for e goal is being reexamined in light of the new abnormal occurrence reporting criteria and will be revised, if necessary, before the performance plan is finalized.
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No increase in the number of misadal : ration events which cause significant radiation exposures. (GoalILA.2) p i
De performance indicatoris number of mindminletration events which cause radiation exposures at or abovy evel for reponing abnormal occurrences to the Congress (see Appendix V, Item LA). The FY 1999 target is that the five year average (FY 1995-1999) will not exceed 16 per yond. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 64).
The most significant PROGRAM OITTPttrs in FY 1999 which suppo eneral goal an ated performance goals for this arena are shown in Appendix L J
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- The target for this goal is being reexamined in light of the new abnormal occurrence 7 reporting criteria and will be revised, if necessary, before the performance olan is fin *1ind._
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NuclearWaste Safety General Goalt Ensure treatment, storage, and disposal of wastes produced by dvilian use of nuclear material la ways that do not adversely affect this or future generatiopIII)
Nuclear waste is a byproduct of the use of radioactive materials. High level radioactive waste results primarily from the fbal used by reactors to produce energy. I.ow level radioactive waste results from reactor operations, medical, acadanic, industrial, and other commercial uses, and generally contains rotatively limited concentrations of radioactivity.
De 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. De Nuclear Waste Policy Act specifies a detailed approach for the long range undertaking of high level waste disposal, with the Department of Energy (DOE) having operational responsibility and the NRC having regulatory responsibility. De Nuclear Waste Policy Amendments Act directs DOE to characterize only one candidate site, the Yucca Mountain site in the State of Nevada. Likewise, NRC's activities are focused on Yucca Mountain.
The Law 1.evel 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, and several States are proceeding with plans to construct and operate as many as 12 new disposal facilities. However, to data, no new disposal facilities have been opened.y De PT.RFORMANCE, GOALS for measuring results toward meeting the general goal are:
- No significant accidental releases of radioactive material from storage and transportation of high-level waste (including spent fuel) or low-level wastg (GoalIII.A)
He performance indicator is the number of accidental releases of radioactive material that meet the NRC criteria for reporting abnormal occurrences to the Congress (see Attachment V, Items I.B.1 and I.B.2). De FY 1999 target is zero. De data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 64).
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,, n s Establish the regulatory framework for bigb4evel waste disposal, consistent with current national policy, as required by law after the legislatively-required standard is issned. (GoalIII.B)
De performence indicator is conforming 10 CFR Part 60 to the legislatively required environmental standard, b FY 1999 target is to issue a final rule within one year (estimated 7/1/99) after promulgation of the standard.
No offsite release of radioactivity beyond regulatory limits them low 4evel waste disposal sites. (GoalIII.C)
This goal includes sites insulated by the Agreement States but excludes sites under EPA Superfund authority, he performance indicator is the number of offsite releases per year in excess of 10 CFk Part 20.1301 public dose limits. The FY 1999 target is zero.
He data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 64).
he most significant PaocRAM ourmrs in FY 1999 which support the general goal an performance goals for this arena are shown in Appendix I.
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E w""'"' M P c-am..ws e,E/MS Common Defense and Secudty and International involvement General Goal:
Prevent the less or theft of special modear materials regulated by the NRC, and support U.S. national laterests la the safe use of andear materials and la non-proliferation. (Goal IV)
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De NRC pnrforms international activiti support of the agency's domestic mission and)n' 8f{,,
suppeweiU.S.nationalinterests. n tim include international policy and priority formulation, export import licensing for nuclear materials and equipment, treaty implementation, international information schange activities, and international safety and safeguards assistance. Our domestic safeguards responsibility involves the control of and accounting for nuclear materials, the protection of nuclear materials to prevent theft or diversion, and contingency plans for responding to threatming situations. The primary foundation for these activities includes the Atomic Enargy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, the Nuclear Non Proliferation Act of 1978, secutive orders, and treaties and conventions.
The PERFORMANCE GOALA for measuring results in FY 1999 toward meeting the general goal are:
Zero loss or theft of special nuclear materials regulated by the NRC. (Goal IV.A)
This goal was written within the context of the safsguards program which is to prevet theft or diversion of formula quantities of strategic special nuclear material. The safety consequences of the other losses of material are considered under General Goal 2. The performance indicator is the number oflosses or thefts annually which meet the NRC criteria for reporting abnormal occunences to the Congress (see Appendix V, Item 1.C.1). The FY 1999 target is zero thefts or losses. De data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 64).
No substantiated case of attempted theft or stiversion of formula sguantities of strategic special nuclaar material GoalIV The performance indicator is the number of substantistal cases of attempted thefts or diversions annually (see Appendix V, item 1.C.2). The FY 1999 tartet is zero. The data to support this indicator are currently collected in the Nuclear Material Evats Database (see Appendix III, page 64).
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n a m w neau anuun ar><w me sness eat sawansant sme v.s. nm.sw anosawr c, u,.
erI m reiamew,n,
i No substandated breakdown of physical security or material control (i.e., access control, containment, or accountability systems) that significantly weakened the 3
protection against theft or diversion of formula quanddes of strategic special auclear naaterial. (GoalIV.A.2)
He performance indicator is the number of substantiated breakdowns of physical security or material control annually (see Appendix V, Item I.CA). De FY 1999 target is zero. De data to suppon this indicator are marrantly collected in the Nuclear Material Events Databas (see Appendix III, page 64).
Strengtben laternations! nuclear safety and safeguards by participadng in international safety and safeguards exchange activities, by providing assistance through laternational agreementa, and by supporting U.S. non. proliferation interests. (GoalIV.B) t y ne performance indicator is the completion of the significant program outputs which j
are discussed below. De FY 1999 target is to complete those outputs which are 1
scheduled for FY 1999.
He most significant PROGRAM OITrPttrs in FY 1999 which suppen the general goal an related j
performance goals for this strategic arena are shown in Appendix 1.
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?JtE. DECISIONAL
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Protecting the Environinent General Goal:
Protect the enviresuseet is connection with dvilian see of sourca, byproduct, and spedal sudear materials through the implementation of the Atomic Energf Act and the Nadonal Environmental Policy Act.
(Ooal V)
The NRC recognizes a continuir.g obligation to duct its civilian licensing and related l
regulatory Ametions in a manner which is both tsponsive to environmental concerns and consistent with the C==taalon's responsibility as an independent regulatory agency for protecting the radiological health and safety of the public. De Atomic Energy Act of 1954, as amended, the National Environmental Policy Act, and other environmental legislation provide the statutory authority for the NRC's activities in protecting the environment.
Protection of the environment from potential hazards==aaria'ad with the civilian use of source, 1
byprodact, and special nuclear materials involves actions to mitigate environmental impacts both during licensed activities and aherward. Prior to authorizing licensed activities, the NRC ensures that potential environmental impacts of such activities are assessed consistent with the requirements of the National Environmental Policy Act as implemented by applicable NRC regulations. Under NRC regulations, decommissioning involves safely removing a facility ham service and reducing residual radioactivity to a level that permits the property to be released for unrestricted use. This action is taken by a licensee before termination of the license. In some cases, nonlicensed facilities may also be required to reduce or stabilize con +==l==6on before sites are released.
De PERFORMANCE GOAIJ for measuring results in FY 1999 toward meeting the general goal are:
.4 6 Zero offsite releases from operating fadlitiespf radioactive material at have the potential to cause adverse impact on the environment. (Ooal V.A)
The performance indicator is the number of offsite releases annually whi.h most the NRC criteria for reporting abnormal occurrences to the Congress (see Appaadiv V, item I.B.1). De FY 1999 target is zero, ne data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 64).
19F&nanwas.wra are sapasse PRE.DECLtlONAL hseIs -
i rrs m enprmanea sk tr.s. M asinn,o.m.nd m er t= =:e rrIm preremoare na, No increase in the number of offsite releases from opersdns facuides of radioactive material that asened 10 CFR Part 20 limits. (Goal V.A.1) ne performance ledicator is the number of offsite releases per year in excess of 10 CFR Part 20 limits. De W 1999 target is that the flvo-year average (W 1995 1999) will not exceed three'. De data to support this indicator are currently colladed in the Nuclear Material Events Database (see Appendix III, page 64).
Environmental impacts have been ideadfied through the NEPA process before regulatory action is taken. (Goal V.B)
Tht performance indicator is the number of environmental impacts identified by external sources each year and substantiated which were not identified as part of the NSh NEPA process. De W 1999 target is zero.
No sites will be released endl satisfactodly remediated la accordance with NRC release criteria. (Goal V.C)
De performance indicator is the number of released sites identified each year which have not met the applicable release criteria. De W 1999 target is zero.
The most significant PROGRAM otnwrs in W 1999 which support the general goal and ated performance goals for this strategic arena are shown in Appendix 1.
8
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' De target for this gost is being reexamined in light of the new abnormal occurrence n reporting criteria and will be revised, if necessary, before the performance plan is 'i=W*d L
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- hee n PJtE DECISIONAL
i c.nmeaa,s.m,o ss.
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i Public Confidence l
Q co o.1
- i General Goal:
De public, those we regulate, and other stakebolders is the national and baternational commualty, will heIclear and accurate leformation j
about7,a meaningful role la --f x;= S ::f ^^-"'--
'- NRC's j
regulatory program {GoalVf) p, w,r/ A
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e Building and mala +=iala= public trust is critical to carrying out our mission and achieving our I
vision. To be an effective steward for nuclear safety, our actions must be such that the public j
th we regulate, and other stakeholders in the national and international community havM 4)
. utmost pect for and confidence in the NRC. Realizing the importance of this issue, the NRC Lg sed it as part ofits Strategic Assessment and Rebaselining: Direction Setting Issue 14 -
Public Communication Initiatives. In its final decision on DSI 1,4, the Ca==taalon noted that
{
the NRC should place a priority on early identification of public concerns and methods for j
public interaction in making regulatory decisions that are likely to generate substantial public interest or concern.
De Fr.aroRMANCE GOAL for measuring results in FY 1999 toward meeting the general goal 1s.
Implement the Agency's plan to improve how it informs and involves the public, those we regulate, and other stakeholders in NRC's regulatory program. (Goal VI.A)
De NRC Executive Council has established a coordinating group which is developing a plan to implement the Commission's final decision on DSI 14. That plan will include performance goals and measures to assess the effectiveness of the program, consideration of the experience of the private sector and other public agencies, and consideration of the comments received on DSI 14. The plan is scheduled to be provided to the Cn==lasion by December 31,1997. The performance indicators for this goal are the milestones in the plan. The FY 1999 targets are the milestonee which are due to be completed in FY 1999.
He most significant PROGRAM OITTPUTs in FY 1999 which support the general goal an related performance goals for this strategic arena are shown in Appendix L
.44 C9NfrivbJfWDi.WPD Dr$ MMS PJtE-DECISIONAL -
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Excellence Cu MR*N a %kdt -
General Goal:
e NRC regulatory program wine emcienhd "" ^^
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.. _ : e m cooniv113 Striving for regulatory moellence in all NRC fbactions is both desirable and necessary to maintain an effective and efficient regulatory &amework in today's changing evironment. He NRC can improve its internal performance by ensuring that its people and processes function with a goal ofexcellence.
As used in this contat, excellence includes both regulatory effectivmes and emciency, and applies to all NRC fbactions. Regulatory effectiveness dmotes a regulatory hamewont for asuring public health and safety that is clear, cobarent, logical, consistengd technically sound. Emciency connotes a regulatory framework *which is "".o n-- =;
affective for both the NRC and its licensees. As stated in the NRC's Principles of Good Regulation, the American taxpayer, the rate-paying consumer, and licensees are all entitled to the best poulble management and ad=lat tration of regulatory activities. Where several effective alternatives are available, the option which =lal=1 - the use of resources should be adopted.
The PERF030itANCE GOALS for measuring ruults in FY 1999 toward meeting the general goal are:
Implement the agency's plan for regulatory excellence. (Goal VII.A) ne EDO has the lead responsibility for developing a plan for enhancing excellence throughout the Agency. The plan is scheduled to be provided to the Commission by December 31,1997. De performance indicators for this goal are the milestones in the plan. He FY 1999 targets are the milestones which are due to be completed in FY 1999.
a Evaluate and implement needed improvements for five mador NRC processes by July 1,1999. (Goal VII.B) ne performance indicator for this goal is the completion of evaluations for and the implementation ofimprovements for majorNRC processes. He FY 1999 target is to complete evaluations of and implement improvements for five such processes by July 1,1999.
The most significant rnooRAM otnwrs which support the guaral goal an related performance goals for this strategic arena are shown in Appendix 1.
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Support Activities l
Effective management of NRC's four core resources-people, funds, information, and facili es -- g 2
aritical to achieving our mission and goals. De following nAFORMANCE GOALS for FY l support all of the agency's general goals:
i j
Provide support necessary for the NRC to achieve its general goals. (Goal VIII.A) l ne performance ledicators for e goal are the achievement of the goals shown below.
I i
(VIII.A.1-4) l Work P' orc /ustals a dompetent,[otivated.f thical, and[alturally Create and
- e. (Ooal VIII.A.1) h nere are four performance indicators for e goal:
1 The first ladicator is the percat of required core capabilities attained (through hiring and/or contracting) as compared to the core capabilities needed as identified by 1
offices / regions in the Human Resources Action Plan. The FY 1999 target for &
l indicator will be determh.e4 by NRC offices / regions in FY 1998 as a result of reviewing core capabilities data and establishing targets in the course of l
implementing their Human Resources Action Plans.
The second indicator for e goal is the percent ofline managers and employees i
who perceive NRC employees as motivated. His will be determined by a survey of i
NRC employees. During FY 1998, we will develop and pre-test the survey i
instrument. We will then execute the survey to establish a baseline. Finally, we will l
establish a target for improvement in FY 1999. Quit rates (workforce losses other j
than for retirement) will also serve as an indicator for e goal. The FY 1999 target willbe not more than 7%.
i The third ladicator is the percent ofline managers and employees who perceive l
NRC workforce as ethical. This will be de.-=iaW by a survey of NRC employees.
i During FY 1998, we will develop'and pre-test the survey instrument. We will then i
execute the survey to establish a baseline. Finally, we will establish a target for improvement in FY 1999. - In addition, the number of disciplinary actions taken for unethical conduct will serve as an ladicator. De FY 1999 target for this indicator j
will be determined following development of baseline data in FY 1998.
l The fourth indicator is the percent of employees who perceive NRC is supporting j
cultural diversity, nis $Lbe detar=laad by a survey of NRC's employees. During FY 1998, we will develop and pro-test the survey instrument. We will then execute I
l c unrnurwes.wro n#saram PRE DECISIONAL nee 19 i;.-
l i
the survey to establish a baseline. Finally, we will establish a target for i
improvement in FY 1999.
Ensure that acenrate information is available as needed to achieve the agency's strategic goals. (Goal VHl.A.2) nere are four performance ladicators for this goal:
The first Indicator is the twel of satisfaction with the accuracy and availability of l
information in NRC's primary systems, as measured by surveys. Primary systems.
i are those identirmi by business area focus groups as the primary source of i
data / processing for core business processes. In FY 1998 as a prelude to using this j
indicator in FY 1999, we will validate the list of primary systems, decide on the l
population to survey (managers in business areas, users of systems), develop and pre-test the survey instrument, executs the survey to establish a bueline, and establish a target forimprovementin FY 1999.
A second Indicator le the twel of user satisfaction with the availability of the automated information delivery infrastructure (e.g., networks, hardware and software, PCS, etc.) as measured by surveys. In FY 1998 as a prelude to using this indicator in l
s_urvJty_ San.he used), execute the survey to establish FY 1999, we will dwelop and pre-test the survey instrument (some of netwna
- tow g
l for improvement in FY 1999.
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A third indicator is the level ofinternal client satisfaction with the availability of j
information to most their needs when they use NRC information delivery services (such as NRC web sites, the NRC library, and the file center), as measured by j
surveys. In FY 1998 as a prelude to using this indicator in FY 1999, we will dwelop i
and pre-test the survey lastrument, execute the survey to establish a baseline, and l
establish a target for improvement in FY 1999.
The final indicator for this goal is the percent of high lwel data entities in the 4
I agency's primary systems that are entered once for all systems to access. High lwel
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data entities are the people, placea, wants, and things about which the NRC maintains information. Dere are about 100 of these (for example, licensees, employees, reportable wants, reactors). In FY 1998 as a prelude to using this indicatorin FY 1999, we will validate the list of primary systems, identify data entities in the l
primary systems, determine the criteria for systems meeting the measure (single l
database and controlled replication), calculate the baseline of compliant systems, and establish a target for improvement in FY 1999.
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K i m n a k er iiine Obtala sumcleat flaascial resources, and allocate and ase them appropriately to achieve the agency's strategic goals. (Goal VIII.A.3)
As used in e contat, using financial resources appropriately includes expending resources in accordance with applicable laws, and== lata maximum utility from q3 available renowtes (i.e., financial emciency). There are three performance 9
indicators for thir goal:
g, peg The first ladicator is the level of unobligated cwryover (excluding reimbursable 7K-34 $ en work) at the end of the fiscal year. He W 199 target is five to seven percent of the W 1999 budam De data to support 6 indicator are currently collected in the agency accounting system.
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A second indicator is the number of months of un11guidated finding authority at the'1
- 3.*
and of t' e Tscal year. Unliquidated funding authority (UFA)is equal to current year a
unobligated funding plus unllquidated obligations (excluding reimbursable work).
The number of months of funding availabiw is equal to UFA divided by the average monthly expenditure rate. The W 1999 target is five months. The data to support e indicator are currently collected in the agency accounting system.
em The final indicator for e goal is the number of critical programmatic needs which were not met due to inadequate funding or full time equivalent staff authorisation.
He W 1999 target is zero. The data to support e indicator will come from the analysis of the actual accomplishments as compared to the planned achievements for W 1999 as documented in the W 1999 annual performance report. If any of the W 1999 goals fall to be met due to lack of sufficient resources e performance goal will not have been met.
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Gi?WDwtamane su m n sen.uou v.s. Nunee ausmanay com mo n am niemeur non Provide a phy:Ical work environment and sumcient tools which enable all NRC employees to accomplish the agency salssion. (Goal VIII.AA)
There are two performance indicators for this goal:
The first Indicator is the number of reported incidents (including injuries, altercations, thefts, and security infractions) during the fiscal year. The FY 1999 target is 125. The five year average for FY 1992 1996 is 127 per year. The data to support this indicator are currently collected and analyzed by the Offices of p
Administration and Personnel.
g) 6tI I
The second indicator is the level of satisfaction with NRC facilities and equ pment g
as measured by an employee sury. The survey will measure such things a9 clean and comfortable fadesiiit.ies, an equacy of equipment to do thejob. In FY 1998 as a prelude to using this indicato in FY 1999, we will develop and pre test the survey instrument, execute the ey to establish a baseline, and establish a target forimprovement in FY 1999.
l The most significant PROGRAM Otn?tTTS hich underpin support activities are shown in Appendix 1.
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e APPENDIX I FY 1999 PROGRAM OUTPUTS y(
The most signifipt program outputs (planned accomplishments) in FY 1999 which support the general goals an4 related performsnee goals delineated in this plan are shown below. For a more detailed discussion of FY 1999 program outputs (planned accomplishments) see U.S Nuclear Regulatory Commission, Budget Estimates, Fiscal Year 1999, NUREG 1100, Volume 14 (February 1998). [7M. r.r..efe..rence is th.e_FY.l. 9_99.Gr.e_en.B.o.ok.),
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. v Program Oatputs that support GerieraiGoalI4 a.y_ 4wpp%
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General Goal::.. Prevent radiation-related deaths'or IUnesses~due to civiUan' nuclear ' 0 M~ m.c V,;
- n Jreactors(Goall)Ml3.g@ MSEMMM.wbd, M,,.W.MhM
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h *n Zero civulan,oudear reactor accidents (GoalI.Ap+ x'*Yg,p ew
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6[ Qb _ iLfQ{}[yl%bf&j%QQ,f.f&qN:QQfb Zero deaths due to radiation or ra/Joactivity releases from avulan'audearm i p% reactors. (Goat I.B)M MMibMiN9Yi& ?j $.@ oms 96. n. #
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.p faint ow probability of events which could lead to's severe accident;% M
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y f; q F /* yZero significant radiation exposures due.to civHlitu nuclear reactors. (GoalI.B.1))
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REGULATORY PROGRAMS Program Output: ReactorIJcensing Reactor licensing enseres that operating facilities maintain adequate levels of protection of public health and safety in the dauy operation and throughout the life cycle of the plant. This safety ovenight includes assurances that facilities are adequately designed, properly constructed and correctly maintained, and that trained and qualified operating and technical support personnel can prevent or cope with accidents and other threats tr. public health and safety.
Licensing actions are issues that require NRC review and approval before they can be implemented by licensees. These issues include (1) amendments oflicenses, (2) issuing orders to impose requirements on IIcensees or license modifications resulting from changes in c;rrrrna,rrnunrD Dn$ SWMN PRE DECISIONAL rues 2s
g ownership, (3) reliefs from in service testing or inspection requirements, (4) exemptions from the regulations, and (5) notice of enforcement discretion.
Output Measure:
Lhensing actions completed per year.
W 1999 Target:
1,500 actions, including conversions to standard technical specifications.
Responsible Organiandon: Office of Nuclear Reactor Regulation Other licensing tasks include (1) responding to petitions from interested parties requesting action pursuant to 10 CFR Part 2.206, or (2) waluating information received from individual licensees in response to requests for information (e.g., generic letters and bulletins) or as required by regulation or license conditions as part of the NRC's responsibility for twiewing the safety of the operating licensed facilities (e.g., final safety evaluation report updates,10 CFR Part 50.59 reports, and changes to quality assurance safeguards, and emergency preparedness plans.)
Output Measure:
Other licensing tasks completed per year
~
FY 1999 Target:
jp0 Responsible Organimadons:
Office of Nuclear Reactor Regulation / Regions i
De NRC must license all personnel authorized to operate reactors. Inidal examinations are administered by the NRC to ensure that operating plants are staffed by qualified personnel.
NRC also examines candidates for new operator licenses on generic fbodamentals to measure the candidates' knowledge of reactor theory, plant components, and thermodynamics.
Output Measure:
Number of operator examinations ad=tal tered
~
FY 1999 Target:
Meet licensee demand estimated at 400 initial operator licensing examinations and 400 generic fundamentals examinations.
Responsible Organiandon: Office of Nuclear Reactor Regulation / Regions Regulatory Improvements Oversight includes the development of office lwel licensing policy for operating reactors and overall program management and planning. 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 leamed from ongoing rwiews. De effectiveness and implementation oflicensing activities for operating reactors will be waluated on an ongoing basis.
Output Measure:
Milestones for Implementing DSI-l1, NRR action plans, and rulemaking.
FY 1999 Target:
Implement the plans' milestones that are due in FY 1999.
, Responsible Organiandent Office ofNuclear Reactor Regulation asamam carrwonwas.wro heeu PRE DECSIONAL
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Program Output: Reactorlaspeedon hp.M.d Mdtt M D De reactor hwpection activity is igned to ensure that nuc ear power plants are operated in i
accordance with NAC regulatio protect public health and safety. The primary focus of this activity is on plant operati
, maintenance, engineering, and plant suppost; and includes efforts by resideets, region based, and headquarters inspectors.
Output Measert:
Number of plants for which core' inspection procedures are completed during the fiscal year.
FY 1999 Target:
All operadng power reactors.
Responsible Orgamlandon: Office of Nuclear Reactor Regulation / Regions Program Output: Rasetor Performance Assessment Assessing power reactor performance includes reviewing and fo$owing-up licensee event reports, reports of defects and noncompliances, and other event notifications. It enables NRC to conduct a systematic assessment oflicenses performance (SALP) through the collection and j
assessment ofinspection data on each power reactor site in areas of operation, maintenance, engineering, and plant support. This activity also provides for the review and integration of j
raeocy observations and findings on the safety performance of operating facilities. Ranctor i
performance assessment also provides for the integration oflessons learned, oversight of the implementation of corrective actions, and development of machaniamn to provide for a j
syntamatic reexamination of reactor oversight activities.
Output Measure:
Average time to complete reviews of allegations.
i I
FY 1999 Target:
180 days.
Responsible Organizadon: Office of Nuclear Reactor Regulation /Ragions Output Measure:
Timeliness of SALPs conducted and reports issued j
FY 1999 Target:
All SALP cycles in accordance with Management Directive 8.6 requirements (18-24 months) an 3 all SALP reports issued and meetings with licensees held wisin 60 days of the end of the SALP cycle, i
Responsible Organizados: Office of Nuclear Reactor Regulation /Ragions i
l i
i 4
' He core inspection program is defined in Inspection Manual Chapter 2515 and i
includes the inspection procedures contained in Appendix A to IMC 2515.
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umber of te reem co 8dered per year,
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W 1999 Target:
300 to 400 g
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Responsible Organtration: Omce ofEnforcement Program outp1 Reactor Investig The NRC investigates allegations of wrongdoing by NRC reactor licensees and others within its regulatoryjurisdiction. All findings and conclusions that result from investigations are sent to the appropriate program omce, the Omce of Enforcernent, and to the Omce of the Oeneral 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 regulatoryjurisdiction are referred to the U.S. Department of Justice. 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 inten st.
Output Measure:
Timeliness in completing investigations.
FY 1999 Target:
Reduce average completion time by 5 % (Baseline: 12 months). Reduce percentage of cases within active inventory over 12 months to 12%.
Responsible Organization: Omce ofInvestigations Program Output: Reactor and Plant Performance Research
- Ibe 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 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. NRC conducts numerous programs of cooperative research with both international and domestic organizations.
Output Measure:
Milestones in the Thermal Hydraulic Five-Year Plan.
FY 1999 Target:
Implement those milestones in the plan u indicated in the revised FY 1999 budget.
Responsible Organization: Omce of Nuclear Regulatory Research Output Measure:
Completion ofrulemakings.
FY 1999 Target:
Complete those rulemakings schedules for completion in FY 1999 in the semi annual Rulemaking Activity Plan.
Responsible Organizatio ice viNudear Regulatory Resear Nd lbd wemam oersrnwrnm.nro rase 20 PRE DECISIONAL
j hEmi rri m n _ _ ".o '
l Output Measure:
Regulatory guidance on qualification of advanced I&C equipment to protect against smoke and the threat to advanced,
y l
IAC in safety critical systems due to lightning.
A W 1999 Target:
Cr.i.M. t.", ;:r'*rv mulde on lightning.
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i Responsible Orgaalsak ofNuclear Regulatory
@e Output Measure:
Regulatory guides endorsing industry stan applicable to j
- software, j
W 1999 Target:
Connete regui.w y na.
l Responsible Organizadon Office of Nuclear Regulatory Research Output Measure:
Milestones in the PRA Implementation Plan.
1 W 1999 Target:
Implement those milestones which are due in W 1999.
Responsible Organizados: Omce of Nuclear P.sgulatory Research /RESJ j
Output Measure:
Assessment of the effect of high burn up fuel on source terms.
W 1999 Target:
Complete assessment.
l Responsible Organizadon: Omce of Nuclear Regulatory Research i
l Output Measure:
Dwelopment of Accident Sequence Precursor models.
l W 1999 Target:
Complete development.
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Responsible Organizadon: Omce ofNuclear Regulatory Research j
Frogram Output:
Reactor Materials and Component Behavior Research i
Aging affects virtually all active and passive components in a nuclear reactor system. 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 mWai== of components can be dimcult to identify, and their effects may be discuit to quantify. Thus, rersarch 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 store than one operating plan (Generic Safety Issues) are prioritized, analyzed, and resolved.
Output Measure:
Analyses to support revision of 10 CFR Part 50.61 and determination of the need for a revis,lon to Regulatory Guide 1.154.
W 1999 Target:
Complete analyses Responsible Organizadon: Omce of Nuclear Rpamry Research Output Measure:
Report on aging effects on the environmental qualification of electrical connectors.
W 1999 Target:
Complete testing and publish final report.
Responsible Organizadon: Omce ofNuclear Regulatory Research c:u>raiawiuus.wro we saram htE DEQSIONAL her si
w ansa v.s. H e a ar m c, w.
nim m cama rri m m eme.n no, Output Measure:
t jyidaa n leak-before-break piping evaluations.
W 1999 Target:
Complete regulatory gu Responsible Organhation:
ce of Nuri-Ed-$esearch Output Measure:
Evaluations of 1/10 scale model tests of a prostressed concrete and a reinforced concrete containment.
i W 1999 Target:
Publish reports.
Responsible Organization: Office of Nuclear Regulatory Research Output Measure:
Completion ofrulemakings.
W 1999 Target:
Complete those rulemakings schedules for completion in FY 99 in the semi-annual Rulemaking Activity Plan. -
Responsible C, A M
_W.s Jiiciear negulatory na Output Measure:
Generic safety issues resolved.
f O' 7%
W 1999 Target:
Resolve those issues scheduled in the Generic Issue l
Management Control System for resolution in FY 1999.
Responsible Organization: OfTice of Nuclear Regulatory Research i
4 i
1 I
i I
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REGUIATORY PROGRWS Progran Output: Fuel Facilities Ucensing and Inspection The NRC licenses all commercial nuclear fuel facilities involved la the processing and fabri:ation c,f uranium ore into reactor fuel as part of the agency's nuc!sar fuel cycle safety and safeguards missicn. Detailed health, safety, safeguards, and environmental licensing reviews and inspections oflicensee pmgrams, procedures, operations, and facilities are conducted to i
ereure.afe operations fuel facility must have a license that specirtes the materials the licensee may posses trictions on how the matedals may be used, r.nd establishes additionallicensee ibilities (such as worker protection, environmental controls, and fmancial assurance), as appropriate.
NRC conducts routine on-site inspections of major fuel cych licensees' risk significant operations to affirm licensees are safely operating and are safeguarding special nuclear material.
Safety inspections focus on risks involving nuclear criticality and release of hazardous rJoactive asti toxic (chemical) materials. Safeguards inspections (material control and wwunting and physical protection) focus on risks involving then/dversion of meial nuclear material.
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w
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j rules and regulatory guidance asse.:iated with materials licensees; and to address materials j'
radiation protection issues.
In support of this effort, rulemaking activities are reviewed and updated semiannually in the i
NRC's rulemaking activity plan. The NRC will also continue to update its rule base, is accordance with the National Performance Review, to streamline, revise, or elimiaate regulatory requirements that have a large economic impact, without significantly reducing safety.
j Output Measure:
Methods for performing and using risk analysis for dry cask storage.
i FY 1999 Target:
Completed development and demonstration of methods, i
Responsible Organhation: Office of Nuclear Regulatory Research j
Output Measure:
Completion of materials-related rulenpgs.
FY 1999 Target:
Complete those rulemakings schedul r completion in FY in the setnig -m ^-.
~'tyPlan.
Responsible Organizati Nr,,."Lciear Regulatory Research
}
Program Output: Materials Technical Training l
l Materials technical training is provided for formal NRC staff qualification in support of the nuclear materials and fuel cycle programs. Training is also provided in support of the Agreement State program. The NRC will continue to maintain the Technical Training Center (TTC) and manage the materials technical training program for NRC and Agreement State staff.
C>rriculum areas will be maintained in probabilistic risk assessment, radiation protection, fuel j
cycle technology, security and safeguarda, and regulatory skills.
The materials technical training curriculum will continue to include approximately 17 courses i
rsaging in duration from 3 days to 5 weeks. Initial materials technical training and refresher j
training r/ill be provided each year to NRC materials inspectors and license reviewers in formal l
qtslification or development programs and Agreement State personnel. In addition, materials j-kAnical training will be available for NRC technical managers. Major curriculum adjustments j
m best satisfy the highest priority regional and program office training needs will continue.
l Development and technical training for the NR '; staff emphasizes miclear materials safety and
{
the fuel cycle program. Training is also made avah*le to Agreement State inspectors.
Curriculum areas will be maintained in probabilistic risk assessment, radiation protectics, fuel j
cycle technology, security and safeguards, and regulatory skills. New courses will be developed j
and -leing courses will be modified to meet new or ^= Tag needs.
1 neo sasam dtrerarrwatwra norx PRE DECBIONAL
nim rwMri,
^'
nimw M l
l Output Measure:
Numbers and types ofcourses o#ered.
FY 1999 Target:
Numbers and types of courses scheduled met 90% of the i
cumulative needs identified by offices and regions in seminnual needs surveys.
Responsible Organization: Office for Analysis and Evaluation of Operational Data
' ogram Output: 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 and are not in ded to establish any type of quota system, gL l
,vr/
bered per year.
Output Measure:
Number of escalated eko ent actio FY 1999 Target:
150 to 200 Responsible Organization: Office of Enforcement W/ M Program Output: Materials Investigations The NRC investigates allegations of wrongdoing by NRC materials licensees and others within its regulatoryjurisdiction. All fmdings and conclusions that result from investigations we sent to the appropriate program office, to the Office of Enforcement, and to 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 are referred to 3e U.S.
Department of Justice.
Output Measure:
Timeliness la completing investigations.
FY 1999 Target:
Reduce average completion time by 5% (Baseline: 12 months.
Redwe percentage of cases within active ir ventory over 12 momh to 12%.
Responsible Organization: Office ofInvestigatior.:
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omeen Program Output: Assistance to Foreign Regulators The NRC provides a carefully selected range of safety and safeguards assistance to develop and strengthen foreign nuclear regula;ory authorities, especially those in the New Independent States of the former Soviet Union (FSU), and countries of Central and Eastern Europe (CEE). This assistance includes helping them to strengthen their regulatory organiration.i, training foreign inspectors, and working together in the areas of operational safety and risk reduction, la providing this assistance, we work closely with the artments f State, Energy and Defense, and the Agency for International D velopment (AID).
ding for the assistance to the -
l FSU and provided by AID.
/ /
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Output Measure:
Provide on-the-job training for assignees from other cytries.
FY 1999 Target:
Provide training for 10 foreign assignees.
Responsible Organizadon: Office ofIntemational Programs /Other Agency Offices - "-
-k A Gn^
Output Measure:
Delivery, installation and testing of the analytical simulators for the Russian Federal Authority on Nuclear and Radiation Safety (GAN), and the Nuclear Regulatory Authority (NRA) of the Ministry for Environmental Protection and Nuclear Safety (MEPNS) of Ukraine.
FY 1999 Targst:
Delivery, installation, and testing of the analytical simulators.
Responsible Organizadon: Office for Analysis and Evaluation of Operational Data Output Measure:
Technical assistance to the Russian Federal Authority on Nuclear and Radiation Safety (GAN) on a variety of technical issues related to material protection control, and accounting for, and physical protection of nuclear material.
FY 1999 Target:
Provide a carefully selected range of support needed by GAN for development of an effective regulatory progrum.
Respcasible Organizadon: Office of Nuclear Material Safety and Safeguards Output Measure:
Technical assistance to the Nuclear Regulatory Authority (NRA) of the Ministry for Envi4anmental Protection and Nuclear Safety (MEPNS) of Ukrainton a variety of technical issues related to material protecti control, and accountiag for nuclear material.
FY 1999 Target:
Provide a :arefully selected range of support needed by MER!
- r development of an effective regulatory program.
Responsible Organizadon: Office of Nuclear Material Safety and Safeguards C:#NfWDJfWDS.WPD kqtt n/19/1900 PRC-DECl510NAL ner es
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Output Measure:
Review of uranium recovery site reclamation plans.
W 1999 Target:
Complete the review of two plans.
Responsible Organizadoa: Office of Nuclear Material Safety and Safeguards / Regions l
REGUIATORY EFFECITVENESS Program Output: Decommissioning Research and Regulation Development This activity suppons developinent 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 decomminioning issues Output Measure:
4 SIGHT, a computer code for predicting long term performance of engineered barriers.
FY 1999 Target:
Complete validation and testing of 4 SIGHT against field data.
Responsible Organization: Office ofNuclear Reda+ary Research Output Measure:
SANDIA Environmental Decision Support System (SEDSS), a decisions tool being developed jointly by NRC, DOE, and E*A to address common problems in evaluating sites contamia='ad with toxic chemicals or radionuclides.
FY 1999 Target:
Complete modification of SEDSS to allow multi-dimensional groundwater pathways.
Responsible Orgaaization: Office of Nuclear Regulatory Research Output Measure:
Completion of dommmissioning-related rulemakings.
FY 1999 Target:
Complete those rulemakings scheduled for completion in FY 1999 in the seaukannual Rulemaking Activity Plan.
icof Nuclear Reda'ary Research Responsible Organization-e
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(Thefollowing are currentprogram oupuu which han a significant bearing on the goal.
l Additionalprogram ouputsfor FY1999 villbe incorporatedin theperformanceplan qfter Approval of thepublic communication plan in FY1998.]
MANAGEMENT AND SUPPORT l
Program Output:
Government Performance and Results Act (GPRA) Performance i
Plan j
In compliance with GPRA requirements, the NRC will prepare an annual Performance Plan j
which will include performance goals and performance indicators that are based on the general goals and objectives in the NRt., Strategic Plan.
4 l
Output Measure:
Publication date and quality of product.
1 FY 1999 Tartet:
FY 2000 Plan to Congress and the public by early February 1999; FY 2001 Plan to OMB by mid-September 1999.
Quality to be determined by feedback from OMB, j
Congress, and the public.
j Responsible Organizations:
Office of the Chief Financial Officer /All Agency Offices i
4 l
Program Output: Public Affairs Activities i
The Office of Public Affaire keeps the public and media informed of NRC policies, programs, and activities; works with civic groups; and adminias a cooperative program with public schools. In their attempt to fulfill this responsibility they electronically distribute press releases, speeches and other key documents. They also must respond to inquiries from reporters and the public by electronic mail, telephone, facsimile, and letter, obts.ining documents requested and setting up technical interviews as needed. hhintain regular dialog with reporters who follow NRC to help them get accurate, contextual information, to gain advance knowledge of what is Dre sarasee c:erernvernm.wra rarese NE.DEQ510NAL 3
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lThefollowing is a currentyngram ouput which has a significant bearing on the goals.
Addidonalprogram ouputsfor FY1999 will be Inc.npM in theperformanceplan after approval oftheplanfor Enhancing NRC Excellence in FY1998.]
MANAGEMENT AND SUPPORT Program Output:
Non-Technical Training Planned training and develop:nent targeted to keep employees current with NRC changes and to solve individual performance problems will enable the NRC to enhance regulatory exec 11ence.
Output Measure:
Number cf reque ~ in-house, instmetor led courses (sessions) and self-study courses (sessions) provided each year.
FY 1999 Target:
Provide approximately 800 instructor-led course sessions and 450 self-study sessions.
Responsible Organization: Office ofHuman Resources bcrerworrwns.wra anvt mam PJtE. DECISIONAL neess
D T.
.t 8'*"
processing, and diss=nination ofinternally and externally generated licensing and other mission-related documents.
Output Measure:
Prepare for transition to electronic recordkeeping by developing a comprehensive records disposition schedule needed to gain National Archives and Records Adminimation (NARA) approval for the new agency docmnent management system as an omcial electronic recordkeeping system.
FY 1999 Targets:
Send submittal to NARA by January 1999.
Responsible Organizados: Omce of the ChiefInformation Omcar Output Measure:
Quality and quantity of document processing and support services to users of the agency document management system.
FY 1999 Targets:
Create approximately 89,000 bibliographic records and approximately 4,000 abstracts; microfilm approximately 1,700,000 pages; and process approximately 6,000 full text documents.
Respond to and resolve approximately 600 calls annually within 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> of receipt. Respond to eppmsnately 325 requests for ad.
hoc reports within 8 houn ofisceipt.
Responsible Organizadon: Office of the
'erInformation Officer
,A Output Measure:
Quality and i o'f record processing and support services toX users of the ile Center.
FY 19n Targets:
Process approximately 44,000 records with 90 percent filed within 5 days of receipt. Process 90 percent of referarce requests within 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br /> ofreceipt.
Responsible Organizados: Office of the ChiefInformation Officer Program Output: In-House Duplicating Provides duplicating services to NRC program staff, including large volume duplicating, color copying, bindery, and address labeling of publications for external dissemination (public and other federal, state, and local agencies)
Output Measure:
Reduction in duplication of paper documents through increased reliance on electronic distribution.
FY 1999 Target:
Reduce in-house duplicating and copying by 2,000,000 pages per year.
This reduction will be achieved through the mitidon of electronic mail for distributing agency publications that were formerly distributed in paper form on a regular basia, such as SECY papers, Yellow Announcements, NRC Rules & Regulations, etc.
Responsible Organizados: Office of the ChiefInformatian Officer ne sanam c.ersrworrwin.wra rearse PRE-DECISIONAL
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rri m na APPENDIX II l'
FY 1999 RESOURCES REQUIRED TO IMPLEMENT THIS PLAN 1
l 1
Funding and Staffing f
A summary of the NRC's FY 1999 fhnding request is shown below by program (program ~
activity as shown in the program and fmancing schedules in the 1999 President's Budget). The FY 1999 performance goals and their associated FY 1999 target levels : 2 ::: - ^d"^:f M based.on the fbnding requested by the NRC for FY 1999. For a more detailed discussion of M
NRC resource requirements see the U.S Nuclear Regulatory Commission, Budget Estimates, Fl. scal Year 1999, NUREG-1100, Volume 14 (Febmary 1998). ems,yfersmotj,s@efqg
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ME Esx@ WrTs4 W sE M $[FII h MSK @ NFTEZ Regulatory P,ogram 217,997 1,850 224,526 1,798 228,939 1,752 Regulatory Effectiveness 104,217 368 99,631 363 99,958 383 Management and Support 146,086 785 150,343 751 154,893 752 Inspector General 5,000 43 4,800-43 6,275 46 Regulation of DOE 3,500 15 2,000 16 6,200 32 Total 476,800 3,061 481,300 2,971 496,265 2,%5 Regulations The NRC has not identified any economically significant rules as defined in Section 3(f)(1) of Executive Order 12866, " Regulatory Planning and Review" (September 30,1993), that are intended to be proposed or promulgated during fiscal year 1999.
Proposed Legislation The NRC has not identified any legislation the enactment of which is necessary for the agency to achieve its performance goals for FY 1999.
)
C #FL*PWD#rWDS.WFD AWt 8/19/1988 PJtE. DECISIONAL rene n
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Den and EsahenenN rerkenne Atenarement Fr1999 rwformente non APPENDIX III DATA AND EVALUATION FOR PERFORMANCE MEASUREMENT Reactor Operational Data Domestic Operational Data m
The primary source ofinformation about an o onal eventis the licensee event (LER) submitted to NRC in accordance with 10 50.73. Other data NRC uses inci e immediate notifications to the NRC operations terin compliance with 10 50.72; monthly operating reports submitted to NRC in accordance with plant technical :
, scations; the data base of component failures in systems rnnaged by the Institute of Nuclear Power Operations (INPO); reports of defects and noncompliance in ace'ordance with 10 CFR Part 21; NRC inspection reports, and allegations. Reactor licensee event reports are stored ie the Sequence Coding and Search System database.
Foreign Operational Data In addition to the sources of domestic reactor operating data noted above, the NRC employs I
foreign event data in its studies of reactor operational experience. Reports of operational events received from the following sources supplement the domestic data: the Nuclear Energy Agency (NEA) of the Orgmai=+ ion for Economic CeeMon and Development; the International Atomic Energy Agency; and bilateral exchange programs with over 20 countries. Foreign reactor event data are stored in the Advanced Incident Reporting System jointly operated by the International Atomic Energy Agency and the Nuclear Encw. Agency.
Nuclear Materials Operational Data Event Data Nuclear materials licecsees are required by Title 10 of the Code offederalRegulations, comparable Agreement State regulations, or license conditions to submit reports of events that meet established criteria. Reportable nuclear materials events include: medical
=i==dmini=trations of radiation or radiopharmaceuticals to patients; radiation overexposures; loss of control of licensed material; problems with equipment that uses licensed material or is' otherwise===aci=*=t with the use cflicensed material; releases of material or contaminatian; leaking radioactive sources; problems during the transg,r ibn ofliceased material; problems in fbel cycle facilities; and problems in nonpower reactors. NRC collecta, reviews, and codes nuclear materials event information reported to the NRC and the Agreement States. NRC maintains this information in the Nuclear Materia 1 Events Database (NMED).
Dndt 8/29/19e*
CithPFWDf!WDS.WPD her u PRE. DECISIONAL
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Radiation E.xposure Data All NRC licensee are required to monitor employee exposwu to radiation and radioactive materials at levels sufficient to demonstrate compliance with the occupational dose limits specified in 10 CFR Part 20. Licensees of power reactors, as.1 those involved in industrial radiography, the manufacture and distribution ofradioactive materials, fbel fabrications and processing, low-levaAl'oactive waste disposal and independent spent fuel storage are required by 10 CFlQa340.2206 to provide to the NRC annual reports of exposure data for individuals forwhom persor.nel monitoring is required. NRC maintains this infonnation in the Radiation ExposureInFormation Report System (REIRS).
d C#F#FWDMWD3.WRD Drgtt 8/17/1989 PRE-DEOSIONAL rwees
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of/ppendix B to 10 CFR Part 20, unless the licensee has demonstrated compliance with Sec. 20.1301 using Sec. 20.1302(bXI) or 20.1302(bX2Xii).
- 2. - Radiation levels in excess of the dealan values for a package, or the loss of conimement of radioact ve material resulting in one or more of the following: (a) A i
radiation dose rats of 10 mSv (I rem) per hour or teore at I meter (3.28 feet) from the accessible external surface of a package containing r=%e material; (b) a radiation dose rate of 50 mSv (5 rem) per hour or more on the accessible external surface of a package containing radioactive material and that meet the requimnents for " exclusive use" as defined in 10 CFR Part 71.47; or (c) rtlesse of radioactive material from a package in amounts greater that the regulatory limits in 10 CFR 71.51(aX2).
C. Theft, Diversion, or I4ss ofIJceased Material, or Sabotage or Seenrity Breach"
- 1. Any lost, stolen, or pandoned sources that exceed 0.01 times the A values, as listed i
in 10 CFR Part 71,pppendix A, Table A-1, for special form (sealed /nondispersible) cources, or the smaller of the As or 0.01 times the A values, as listed in Tabic A-1, i
for normal form (unsealed /dispersible) sources or for sources for which the form is not known. Excluded from reporting under this criterion are those events involving sources that are lost, stoica, or abandoned under the followin conditions: sources abandoned in accordance with the requirements of 10 39.77(c); sealed sources contained in labeled, rugged source housings; recov with sufficient indication that doses in excess of the i.yeing thresholds specified in A0 criteria I.A.1 and I.A.2 did not occur during the time the source was missing; and unrecoverable sources lost under such conditions that doses in excess of the reporting thresholds specified in AO criteria I.A.1 and 1.A.2 were not known to have occurred.
- 2. A substantiated case of utual or attempted theft or diversion oflicensed material or sabotage of a facility.
- 3. Any substantiated loss of special nuclear material or any substantiated inventory discrepancy that is judged to be significant relative to normally era-a-d performance, and that is judged to be caused by theft or diversion or by substantial breakdown of the accountability system.
- 4. Any substantial breakdown of physical security or material cont:ol (i.e., access control containment or accountability systems) that significantly weakened the ywi.sion against theft, diversion, or sabotage.
" Infairnation per'.shting to certain inr% sues may be altbar clasn' fled er eder semaiderstka for cleaml&=esan becense of sa'icmal sacutty 1:nplicanons. ClasMasd infennstion will be withbald when fonnally reporting these incidents in accordance widt se.. tics 20s of the Energy Larseazatins Act of 1974, as =u==-t d Any cla==ihd datants rosarthas thane inculants would be available to tbs Congrams, upca tequJet, under approprisia secusty arrnag=unanta i>et l'89/1900 Ct#PfPWD# FWD $.frFD n r se PRE-DECISIONAL o
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Information about NRC major application systems and their relationship to NRC's strategic goals is provided in Attachment 1," Major IT Systems Support for NRC Strategic Plan."
Information Management Strutegy NRC will also realign its information management (IM) strategy to provide architectural vision for how information should be created, captured, used, and retired in the Agency. NRC's aginF document management system, NUDOCS. has been overwhelmed by the exponential growth in
)
the amount ofinfonnation it must manage. Its limited functionality does not adequately support j
the staffs need to search for, retrieve, and protect the agency's documents. The A. y Ws,
-Document Acceseemetansiin ; ;,.4 project will provide a document management system that will support programmatic applications and avoid duplicative investment by other ofEces.
i ADAMS will have the capability to make appropriate infonnation directly available to the public, increasing public confidence and trust in the agency's stewardship of the public's information, and over time, decreasing the cost to the agency of providing information to the t
public. Additionally, ADAMS will capture sad store information, increasing our ability to deliver information consistently, promptly, and comprehensively. We believe ADAMS will be a key component of our basic systems infrastructure.
i Detailed information on IT and IM goals, measures, and major outputs for FY 1999 follows in i,"IT Goals, Strategies, and Performance Measures in NRC's Strategic Plan and Performance Plan." Attachment 3, " Status of Key IT Activities," highlights the status of NRC's
[
Year 2000 Program and addresses Clinger-Cohen reporting requirements.
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General Goal:
Provide support necessary for the NRC to achieve its general goals. (Goal VIILA)
The performance indicators for e 8oal are the achievement of the goals shown below, i
(VIII.A.1-4) a fmpetent, fotivated,[thical, and iversefork[rce.
te turally Ensure that accurate information is available as needed to achieve the agency's strategic goals. (Goal VIILA.2)
Obtain sufficient financit.1 resources, and allocate and use them appropriately to echieve the agency's strategic goals. (Goal VIII.A.3)
Provide a physical work environment and sufficient tools which enable all NRC etaployees to accomplish the agency Tibsion. (Goal VIII.A.4)
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The Public Confidence Goal C*neral Goal:
The public, those we regulate, and oger stakeholders in the national and n
internadonal community, wiu4 eve clear and accurate information about$ mean!ngful role in, ad :-y 9- -m'nast :: A NRC's re.ge<p 1#atory program. (Goal VI)
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- re The PD60RMANCE GOAL for measuring terults in FY 1999 toward meeting the general goal is
Implement the Agency's plan to improve how it informr and involves the public, those we regulate, and other stakeholders in NRC's regulatory program. (Goal VI.A) 1 i
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A ent 3.
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Status of Ke IT Activities o
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