Text

Govt Performance & Results Act, Performance Plan FY99
	ML20217G023
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Issue date:	03/30/1998
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GOVERNMENT PERFORMANCE AND RESULTS ACT I

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TABLE OF CONTENTS i

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INTRODUCTION...........................

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1 BACKGROUND...

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l NRC'S STRATEGIC PLAN.......

3 FY 1999 PERFORMANCE GOALS 5

Nuclear Reactor Safety....

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Nuclear Materials Safety...

8 Nuclear Waste Safety....

. 10 Conunon Defense and Security and International Involvement.

12 Protecting the Environment...

14 Public Confidence.

16 Excellence..

17 Support Activities 19 l

APPENDIX I - FY 1999 PROGRAM OUTPUTS (MEANS & STRATEGIES).

23 Nuclear Reactor Safety.....

24 Nuclear Materials Safety...............

34 Nuclear Waste Safety....

42 Common Defense and Security and International Involvement.

46 Protecting the Environment........................................

51 Support Activities.........

53 APPENDIX II - FY 1999 RESOURCES REQUIRED TO IMPLEMENT THIS PLAN...

59 APPENDIX III - VERIFICATION AND VALIDATION OF MEASURED VALUES OF PERFORMANCE...

. 60 APPENDIX IV - REQUESTS FOR WAIVERS OF ADMINISTRATIVE l

REQUIREMENTS TO PROVIDE MANAGERIAL FLEXIBILITY,...............

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APPENDIX V - APPLYING INFORMATION TECHNOLOGY TO NRC'S MISSION..

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sa-t INTRODUCTION The Nuclear Regulatory Commission's (NRC) strategic plan [NUREG-1614, Vol.1, September i

1997] establishes a strategic framework that will guide future decision-making and will help the I

NRC continue to meet its responsibility for protecting public health and safety, promoting the common defense and security, and protecting the environment. This performance plan complements the agency's strategic plan by setting annual goals with measurable target levels of performance for FY 1999, as required by the Government Performance and Results Act. No significant contribution was made to the preparation of the performance plan by any non-Federal entity. However, we did use a contractor to help facilitate our discussions and resolution of issues.

Within six months after the close of FY 1999, the NRC will submit to the President and the Congress a report on program performance for FY 1999. This performance report will review the success of the agency in achieving the perf6rmance goals established for FY 1999. Where those goals have been achieved, the underlying assumptions and strategies will be examined to ensure that continued applicability is warranted in the future. If any of the FY 1999 performance l

goals are not met, the agency will conduct a thorough analysis of why it did not 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.

Together, the strategic plan, the FY 1999 performance plan, and the FY 1999 annual performance report form the basis for " managing for results," a concept to which the NRC is firmly committed.

The NRC's Inspector General will issue a separate performance plan.

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BACKGROUND 1

l Like many organizations, both public and private, the NRC is facing a rapidly changing environment as it prepares to enter the 21st century.

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

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

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

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

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

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U.S. Naelent Regninnery Commission FY1999 Performance M NRC's Semterie M NRC'S STRATEGIC PLAN This section summarizes the key elements of the NRC's strategic plan as a prelude to discussing the agency's FY 1999 performance goals and the significant agency program outputs which support those goals. The full text of the NRC's strategic plan is available from the U.S.

Government Printing Office [NUREG-1614, Vol.1, September 1997] or it can be viewed and downloaded from the NRC's home page on the Internet gov.

Our Mission The Atomic Energy Act of 1954 and the Energy Reorganization Act of 1974, as amended, establish NRC's basic regulatory mission.

NRC's mission is to regulate the Nation's civilian use ofbyproduct, source, andspecial nuclear materials to ensure adequate protection of the public health and safety, to promote the common defense andsecurity, and toprotect the environment.

Our Vision In implementation ofits mission, Nuclear Regulatory Commission actions enable the Nation to safely arut efficiently use nuclear materials. NRC's actions should be such that the public, those it regulates, and other stakeholders in the national and international nuclear community have the utmost respectfor and confidence in the NRC.

Our Goals The NRC has developed general goals consistent with its mission. These goals are supported by performance goals that represent outcomes that are planned to be achieved over the period covered by the NRC's strategic plan (FY 1997 - FY 2002). 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 licensees.

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

Prewnt radiation-related deaths or illnesses due to civilian miclear reactors

Prevent radiation-relateddeaths or illnesses due to civilian use ofsource, byproduct, and t

specialnuclear materials

Ensure treatment, storage, anddisposal ofwastesproduced by civilian use ofnuclear materialin ways that do not adversely affect this orfuture generations Aqre J

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Prevent the loss or theft ofspecial nuclear materials regulated by the NRC, andsupport U.S.

nationalinterests in the safe use ofnuclear materials andin non-prohferation

Protect the environment in connection with civilian use ofsource, byproduct, andspecial nuclear materials through the implementation of the Atomic Energy Act and the National EnvironmentalPolicyAct

Provide the public, those we regulate, and other stakeholders in the nationaland international community, with clear and accurate information about, and a meaningful role in NRC's regulatoryprogram so that there will be respectfor andconfidence in that program

Carry out the NRC regulatoryprogram efficiently and effectively Cross-Cutting Functions In developing our strategic plan, we consulted with other government agencies that have major cross-cutting goals and objectives with the NRC-the Department of Energy (DOE), the Environmental Protection Agency (EPA), and the Federal Emergency Management Agency (FEMA). We identified no inconsistent or duplicative areas,' but we are continuing to be alert to potential inconsistencies or duplication in cross-cutting areas. A description of the major cross-cutting functions with other agencies that we have identified to date is provided in the NRC's strategic plan. In most instances, we have developed, or we are developing, memoranda of understanding or other agreements with these agencies that ensure that cross-cutting functions are treated in a consistent, coordinated, and complementary way that avoids unnecessary duplication or conflict. Where appropriate, these cross-cutting functions are referenced in this performance plan.

' Separate from the NRC Strategic Plan for FY 1997-2002, NRC is seeking legislation that would eliminate the overlap in standard-setting authority of the NRC and the Environmental Protection Agency with regard to Atomic Energy Act sites and materials by recognizing the NRC's and Agreement State's standards in the area of reactor and non-reactor decommissioning.

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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 organized into the same seven I

strategic arenas plur a section addressing management and support activities:

Nuclear Reactor Safety NuclearMaterials Safety e

Nuclear Waste Safety e

Common Defense and Security andInternationalInvolvement e

Protecting the Environment Public Confidence e

Ercellence

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Core Resource Management e

For each strategic arena that follows we reiterate the general goal from the strategic plan, provide a briefintroduction to the arena, delineate the performance goals for measuring results in FY 1999 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 of licensees 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 licensees.

The resources (financial, human, information, and capital) required to meet the FY 1999 performance goals and their associated FY 1999 target levels as shown in this plan are included in the budget consistent with the funding requested by the NRC for FY 1999. A summary of the NRC's FY 1999 financial and human resource request is shown in Appendix II. For a more detailed discussion of NRC resource requirements see U.S. Nuclear Regulatory Commission, Budget Estimates, Fiscal Year 1999 ( NUREG-1100l Volume 14, Februanf 1998).

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Nuclear Reactor Safety General Goal:

Prevent radiation-related deaths or illnesses due to civilian nuclear reactors. (GoalI)

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A major part of our mission is to ensure that our licensees design, construct, operate, and decommission civilian reactor facilities safely. The Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, provide the foundation for regulating the nation's commercial nuclear power industry. NRC regulates the 104 commercial nuclear power reactors which are licensed to operate and another 18 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.

The PERFORMANCE GOALS for measuring results in FY 1999 toward meeting the general goal are:

Zero civilian nuclear reactor accidents. (Goal I. A)

As used in this context, a " nuclear reactor accident" is as defined in the NRC Severe Accident Policy Statement (50FR32138, August 8,1995), that is, those accidents in j

which substantial damage is done to the reactor core, whether or not there are serious i

offsite consequences. The performance indicator is the number of severe reactor accidents annually. The FY 1999 target is zero. The data to support this indicator are collected through reports from industry pursuant to 10 CFR Parts 50.72 and 50.73, and would be further described in the USNRC annual Abnormal Occurrence Report to Congress.

l 2 These figures reflect the submittal of certifications from Haddam Neck, Big Rock Point, Maine Yankee, Zion I and Zion 2 nuclear power plants for permanent cessation of operations and removal of fuel from the reactor vessel, and exclude Browns Ferry Unit I which has no fuel loaded and requires Commission approval to restart.

v.s. Neckar a<sesaray commusina nim arriaman<< ceak W1999 Performance Man Nuclear R=a Safety Maintain low frequency of events which could lead to a severe accident. (GoalI.A.1)

The performance indicator is the annual number of events from the population of plants that could result in a 1/l,000 (10-2) or greater probability of occurrence of a severe accident. The FY 1999 target is for no more than one such event to occur in the United States. The data to support this indicator are currently developed through the Accident I

Sequence Precursor program' and reflected in the annual report, " Precursors to Potential Severe Core Damage Accidents."

i Zero deaths due to radiation or radioactivity releases from civilian nuclear reactors, i

(Goal I.B)

This measure addresses actual deaths due to acute radiation exposure. The performance indicator is the number of deaths annually. The FY 1999 target is zero. The data to support this indicator are currently collected through reports from industry pursuant to 10 CFR Parts 20, 50.72, and 50.73, and would be further described in the USNRC annual Abnormal Occurrence Report to Congress.

Zero significant radiation exposures due to civilian nuclear reactors. (GoalI.B.1) i As used in this context, "significant radiation exposures" are those exposures that meet the NRC criteria for reporting abnormal occurrences to the Congress (see Appendix III, Item I.A, page 61). This goal encompasses both workers and the general population.

The performance indicator is the number of significant radiation exposures annually.

The FY 1999 target is zero. The data to support this indicator are currently collected through reports from industry pursuant to 10 CFR Parts 20,50.72, and 50.73, and would be further described in the USNRC annual Abnormal Occurrence Report to Congress.

The most significant PROGRAM OUTPUTS in FY 1999 which support the general goal and the related performance goals for this arena are shown in Appendix I.

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' The Accident Sequence Precursor (ASP) program involves the systematic review and evaluation of operational events or conditions that have occurred at licensed U.S. commercial power reactors. The ASP program identifies and categorizes precursors that could lead to accident sequences with a potential to cause severe damage to a reactor's core.

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Nether Aenernak Safety FY 1999 Perf.nnenee Man 9

Nuclear Materials Safety General Goal:

Prevent radiation-related deaths or illnesses due to civilian use of source, byproduct, and special nuclear materials. (Goal II)

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'. These materials range from very low-risk smoke detectors to relatively high-risk irradiators. The Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, provide the foundation for regulating the nation's civilian uses of nuclear materials.

Nuclear materials safety encompasses all NRC efforts to ensure that all NRC-regulated aspects of nuclear fuel cycle facilities, and nuclear materials activities are handled in a thanner that provides adequate protection of public health and safety. These efforts include licensing, inspection, and related regulatory activities for fuel cycle facilities and nuclear materials users, transportation of nuclear materials, and uranium ree.overy.

The NATIONWIDE PERFORMANCE GOALS for measuring results in FY 1999 toward meeting the General Goal are:

Zero radiation-related deaths due to civilian use of source, byproduct, and special nuclear materials. (Goal II.A)

This goal pertains to non-reactor uses of nuclear materials. Reactors are covered in General Goal I. This measure addresses actual deaths due to acute radiation exposure.

The performance indicator is the number of radiation-related deaths per year The FY 1999 target is zero. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

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An Agreement State is a State that has signed an agreement with the NRC allowing the State to regulate the use of radioactive material, other than use in reactor facilities, within the l

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I U.S. Nneleer Regulerery Comminien FY1999 Performonee Goals FY 1999 Prrformance Mme Nuclear Materials Safety l

l No increase in the number of significant radiation exposures due to loss or use of source, byproduct, and special nuclear materials. (Goal II. A.1)

The performance indicator is the number of radiation exposures (excluding those caused by medical misadministrations) at or above the level for reporting abnormal occurrences to the Congress (see Appendix III, Item I.A, page 61). The FY 1999 target is that the five-year average (FY 1995-1999) will not exceed 2 per year. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

No increase in the number oflosses oflicensed material as reported to Congress annually. (Goal II.A.I.a)

The performance indicator is the five-year average number oflosses oflicensed material reported to Congress annually (see Appendix III, Item I.C.1, page 62). The FY 1999 target is that the five-year average.(FY 1995-1999) will not exceed 2 per year. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

No accidental criticality involving licensed material. (Goal II.A.I.b)

The performance indicator is the number of occurrences of accidental criticality annually (see Appendix III, Item I.D.1, page 63). The FY 1999 target is zero. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

No increase in the number of misadministration events which cause significant radiation exposures. (Goal II.A.2)

The performance indicator is the number of misadministration events which cause radiation exposures at or above the level for reporting abnormal occurrences to the Congress (see Appendix III, Item I.A, page 61). The FY 1999 target is that the five-year average (FY 1995-1999) will not exceed 6 per year. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page

'60).

The most significant PROGRAM OUTPUTS in FY 1999 which support this general goal and the I

related performance goals for this arena are shown in Appendix I.

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Neelear waste safety FY 1999 hrferweance Man Nuclear Waste Safety General Goal:

Ensure treatment, storage, and disposal of wastes produced by civilian use of nuclear material in ways that do not adversely affect this or future generations. (GoalIII)

Nuclear waste is a byproduct of the use of radioactive materials. High-level radioactive waste results primarily from the fuel used by reactors to produce energy. Low-level radioactive waste results from reactor operations, medical, academic, industrial, and other commercial uses, and generally contains relatively limited concentrations of radioactivity.

The NRC's high-level waste regulatory activities are mandated by the Nuclear Waste Policy Act of1982, the Nuclear Waste Policy Amendments Act of 1987, and the Energy Policy Act of1992.

The 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. The Nuclear Waste Policy Amendments Act directs DOE to characterize only one candidate site, the Yucca Mountain site in the State ofNevada. Likewise, NRC's activities are focused on Yucca Mountain.

The Low-Level Radioactive Waste Policy Act of 1980, amended in 1985, made States responsible for providing for the disposal of commercial low-level waste generated within their borders. The Act encouraged States to enter into compacts that would allow several States to dispose of waste at a regional disposal facility. Most of the States have entered into compacts, and several States are proceeding with plans to construct and operate as many as 12 new disposal facilities. However, to date, no new disposal facilities have been opened. In fact, the Midwest Compact has voted to cease development of a regional disposal facility in Ohio and the Southeast Compact recently called for the State of North Carolina to scale back spending on development ofits regional disposal facility.

The PERFORMANCE GOALS for measuring results toward meeting the general goal are:

j No significant accidental releases of radioactive material from storage and

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transportation of high-level waste (including spent fuel) or low-level waste.

(Goal III.A)

The 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 III, Items I.B.1 and I.B.2, page 62). The FY 1999 target is zero. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

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U.S. Nutene Regninsory Commission FY 1999 Prrfernenex Genis FY 1999 Perfernannea Ptan Nacient WegQfy l

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

is issued. (Goal III.B)

The performance indicator is conforming 10 CFR Part 60 to the legislatively required environmental standard. The 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 from low-level waste disposal sites. (Goal III.C)

This goalincludes sites regulated by the Agreement States but excludes sites under EPA Superfund authority. The performance indicator is the number of offsite releases per year in excess of10 CFR Part 20.1301 public dose limits. The FY 1999 target is zero.

The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

The most significant PROGRAM OIJTPUTS in FY 1999 which support the general goal and the related performance goals for this arena are shown in Appendix I.

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FY1999 Prrfennamnee Goals U.S. Neeleer Regulatory C-h" Canuman Defense aml Security and internarsenal 1:relvement W1999 Perfernemece Man Common Defense and Security and International Involvement General Goal:

Prevent the loss or theft of special nuclear materials regulated by the NRC, and support U.S. national interests in the safe use of nuclear materials and in non-proliferation. (GoalIV) 1 The NRC performs international activities, some of which support the agency's domestic mission and many of which support broader U.S. national interests. These activities include international i

policy and priority formulation, export-import licensing for nuclear materials and equipment, I

treaty implementation, intemational information exchange activities, and international safety and l

safeguards assistance. Our domestic safeguards responsibility involves the control of and accounting for nuclear materials, the protection of nuclear materials to prevent theft or diversion, and contingency plans for responding to threatening situations. The primary foundation for these activities includes the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, the Nuclear Non-Proliferation Act of 1978, executive orders, and treaties and conventions.

The PERFORMANCE COALS for measuring results in FY 1999 toward meeting the general goal are:

Zero loss or theft of special nuclear materials regulated by the NRC. (GoalIV.A)

This goal was written within the context of the safeguards program which is to prevent l

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 occurrences to the Congress (see Appendix III, Item I.C.1, page 62). The FY 1999 target is zero thefts or losses. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

No substantiated case of attempted theft or diversion of formula quantities of strategic special nuclear material. (Goal IV.A.1)

The performance indicator is the number of substantiated cases of attempted thefts or diversions annually (see Appendix III, Item I.C.2, page 62). The FY 1999 target is zero.

The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

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f U.S. Nuclear Regulatory Cenemission FY1999 Perfernanner Genis FY I999 Performaner Men Conemen Defecse and Seecrity and later ' '13elvement No substantiated breakdown of physical security or material control (i.e., access control, containment, or accountability systems) that significantly weakened the protection against theft or diversion of formula quantities of strategic special l

nuclear material. (Goal IV.A.2)

The performance indicator is the number of substantiated breakdowns of physical security or material control annually (see Appendix III, Item I.C.4, page 63). The FY 1999 target is zero. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

Strengthen international nuclear safety and safeguards by participating in international safety and safeguards exchange activities, by providing assistance through international agreements, and by supporting U.S. non-proliferation interests. (Goal IV.B)

The performance indicator is the completion of the significant program outputs which are discussed in Appendix I, pages 23-58. The FY 1999 target is to complete those outputs which are scheduled for FY 1999.

The most significant PROGRAM OUTPUTS in FY 1999 which support the general goal and the related performance goals for this strategic arena are shown in Appendix I.

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W LM Perfernaasee Geets U.S. Nnelear Regulatory C==m Poweeting the Environment WiM Prrfernannee Man Protecting the Environment General Goal:

Protect the environment in connection with civilian use of source, byproduct, and special nuclear materials through the iraplementation of the Atomic Energy Act and the National Environmental Policy Act.

(Goal V)

The NRC recognizes a continuing obligation to conduct its civilian licensing and related regulatory functions in a manner which is both responsive to environmental concerns and consistent with the Commission's responsibility as an independent regulatory agency for protecting the radiological health and safety of the public. The 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 associated with the civilian use of source, byproduct, and special nuclear materials involves actions to mitigate environmental impacts both during licensed activities and afterward. 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 from 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 contamination before sites are released.

The PERFORMANCE GOALS for measuring results in FY 1999 toward meeting the general goal are:

Zero offsite releases from operating facilities of radioactive material that have the potential to cause adverse impact on the environment. (Goal V.A)

The performance indicator is the number of offsite releases annually which meet the NRC criteria for reporting abnormal occurrences to the Congress (see Appendix III, Item I.B.1, page 62). The FY 1999 target is zero. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

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U.S. Neelner Regulatory Caammission W1M9 Perferneance Goals M1999 Perinemannee Man Prat cuar the Environnaemt No increase in the number of offsite releases from operating facilities of radioactive material that exceed 10 CFR Part 20 limits. (Goal V.A.1)

The performance indicator is the number of offsite releases per year in excess of 10 CFR Part 20 limits. The FY 1999 target is that the five-year average (FY 1995-1999) will not exceed three. The data to support this indicator are currently collected in the Nuclear Material Events Database (see Appendix III, page 60).

Environmentalimpacts have been identified through the NEPA process before regulatory action is taken. (Goal V.B)

The performance indicator is the number of environmental impacts identified by external sources each year and substantiated which were not identified as pan of the NRC's NEPA process. The FY 1999 target is zero.

No sites will be released until satisfactori!y remediated in accordance with NRC release criteria. (Goal V.C)

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 the applicable release criteria. The FY 1999 target is zero.

The most significant PROGRAM OUTPUTS in FY 1999 which support the general goal and the related performance goals for this strategic arena are shown in Appendix I.

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nim net m an ta v.s.Naas enos.a.n.<r ~ - w ma c u a nimn,1 an Public Confidence General Goal:

Provide the public, those we regulate, and other stakeholders in the national and international community, with clear and accurate information about, and a meaningful role in NRC's regulatory program so that there will be respect for and confidence in that program. (Goal VD Building and maintaining public trust is critical to carrying out our mission and achieving our vision. To be an effective steward for nuclear safety, our actions must be such that the public, those we regulate, and other stakeholders in the national and international community have respect for and confidence in the NRC. Realizing the importance of this issue, the NRC addressed it as part ofits Strategic Assessment and Rebaselining: Direction Setting Issue 14 -

Public Communication Initiatives. In its final decision on DSI 14, the Commission noted that the NRC should place a priority on early identification of public concerns and methods for public interaction in making regulatory decisions that are likely to generate substantial public interest or concern.

The PERFORMANCE GOAL for measuring results in FY 1999 toward meeting the general goal is:

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)

The NRC Executive Council has established a coordinating group which is developing a i

plan to implerrrent the Commission's final decision on DSI 14. That plan willinclude 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 Commission by February 27,1998. The performance indicators for this goal are the milestones in the plan. The FY 1999 targets are the milestones which are due to be completed in FY 1999.

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Excellence General Goal:

Carry out the NRC regulatory program efficiently and effectively.

(Goal VII)

Striving for regulatory excellence in all NRC functions is both desirable and necessary to maintain an effective and efficient regulatory framework in today's changing environment. The NRC can improve its internal performance by ensuring that its people and processes function with a goal of excellence.

As used in this context, excellence includes both regulatory effectiveness and efficiency, and applies to all NRC functions. Regulatory effectiveness denotes a regulatory framework for ensuring public health and safety that is clear, coherent, logical, consistent, reliable, and technically sound. Efficiency connotes a regulatory framework which is cost effective for both the NRC and its licensees. As stated in the NRC's Principles of Good Regulation, the American taxpayer, the rate-paying consumer, and licensees are all entitled to the best possible management and administration of regulatory activities. Where several effective alternatives are available, the option which minimizes the use of resources should be adopted.

The PERFORMANCE GOALS for measuring results in FY 1999 toward meeting the general goal are:

Implement the agency's plan for regulatory excellence. (Goal VII.A) l The EDO has the lead responsibility for developing a plan for enhancing excellence i

throughout the Agency. The plan is scheduled to be provided to the C ammission by March 31,1998. The performance indicators for this goal are the milestones in the plan. The FY 1999 targets are the milestones which are due to be completed in FY 1999.

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5 Evaluate and implement needed improvements for five major NRC processes by July 1,1999. (Goal VII.B)

The performance indicator for this goal is the completion of evaluations for and the implementation ofimprovements for major NRC processes. The FY 1999 target is to complete evaluations of and implement improvements for five such processes by July 1,1999,

'The NRC's regulatory excellence activities to enhance NRC effectiveness and efficiency include: evaluating the reactor inspection program to determine ifit achieves its intended goals in an efficient and effective manner; evaluating the program for licensing support and regulatory I

oversight of operating rectors to determine ifit achieves its intended goals in an efficient and effective manner; evaluating the enhancement of safety decision making through use of PRA insights; improving information systems supporting financial management; and improving information systems supporting document and records management. The NRC plan for regulatory excellence is being developed and will include specific milestones and schedules for process evaluations. The performance plan will be updated to be consistent with that plan.

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l Support Activities Effective management of NRC's four core resources--people, funds, information, and facilities -

is critical to achieving our mission and goals. The following PERFORMANCE GOAL for FY 1999 support all of the agency's general goals:

1 l

Provide support necessary for the NRC to achieve its general goals. (Goal VIII.A) j The performance indkators for this goal are the achievement of the goals shown below.

(VIII.A.1-4)

Create and sustsin a competent, motivated, ethical, and culturally diverse work force. (Goal VIII.A.1)

There are four performance indicators for this goal:

The first indicator is the percent of required core capabilities attained (through hiring and/or contracting) as compared to the core capabilities needed as identified by offices / regions in the Human Resources Action Plan. The FY 1999 target for this indicator will be determined in FY 1998.

The second indicator for this goal is the percent ofline managers and employees who perceive NRC employees as motivated. This will be determined by a survey of NRC employees. During FY 1998, we will develop and pre-test the survey instrument. We will then execute the survey to establish a baseline. Finally, we will establish a target for improvement in FY 1999. Quit rates (workforce losses other than for retirement) will also serve as an indicator for this goal. The FY 1999 target will be not more than 7%.

The third indicator is the percent ofline managers and employees who perceive NRC workforce as ethical. This will be determined by a survey of NRC employees. During FY 1998, we will develop and pre-test the survey instrument. We will then 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 indicator. The FY 1999 target for this indicator 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 cultural diversity. This will be determined by a survey of NRC's employees. During FY 1998, we will develop and pre-test the survey instrument. We will then execute the survey to establish a baseline. Finally, we will establish a target for improvement in FY 1999, man l

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n Ensure that accurate information is available as needed to achieve the agency's strategic goals. (Goal VIII.A.2)

There are four performance indicators for this goal:

The first indicator is the level of satisfaction with the accuracy and availability of information in NRC's primary systems, as measured by surveys. Primary systems are i

those identified by business area focus groups as the primary source of 1

data / processing for core business processes. In FY 1998 as a prelude to using this indicator in FY 1999, we will validate the list of primary systems, decide on the population to survey (managers in business areas, users of systems), develop and pre-test the survey instrument, execute the survey to establish a baseline, and establish a target for improvement in FY 1999. We will acquire the services of an industry leader in IT performance measurement who will provide standard survey instruments, and benchmark our user satisfaction with that of users in other government agencies and in the private sector.

A second indicator is the availability of the automated information delivery infrastructure (e.g., networks, hardware and software, PCS, etc.) as measured by the number of hours in which file services, network infrastructure, application services, and Internet services are available for staff use. In FY 1998 as a prelude to using this indicator in FY 1999, we will develop and pre-test specific measures, perform the measurement, assess its reliability, establish a baseline, and establish a target for improvement in FY 1999.

A third indicator is the extent to which the agency has the capability to quickly process, search for, retrieve, distribute, and disseminate documents received and created as part ofits regulatory process. In FY 1998, the NRC will complete detailed design, developraent and engineering of a new document management capability that will allow NRC to transition from a predominately paper-based to an electronic environment. In FY 1999, we will prepare for transition to electronic recordkeeping by developing a comprehensive records disposition schedule needed to gain National Archives and Records Administration (NARA) approval for the new agency document management system as NRC's official electronic recordkeeping system. The FY 1999 target is to send the submittal to NARA by January 1999. In FY 1999, we also will increase use of electronic media and formats in order to make agency information l

more easily accessible and useful to agency employees and the public. The FY 1999 associated target is to develop and implement an approach for voluntary electronic submission of documents to the NRC that is flexible (accommodates a large variety of electronic formats) and provides for appropriate surety and safeguards (appropriate levels of authentication, verification, and security for various types of document submittals).

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U.S. Neeleer Regninnery Conomission FY IM Perfenmenee Goals rr sm rerjen aaer m, seaum,ns The final indicator for this goal is the percent of high-level data entities in the agency's primary systems that are entered once for all systems to access. High level data entities are the people, places, events, and things about which'the NRC maintains information. There are about 100 of these (for example, licensees, employees, reportable events, reactors). In FY 1998 as a prelude to using this indicator in FY 1999, we will validate the list of primary systems, identify data entities in the primary systems, determine the criteria for systems meeting the measure (single database and controlled replication), calculate the baseline of comp &nt systems, and establish a target for improvement in FY 1999.

Obtain sufficient financial resources, and allocate and use them appropriately to achieve the agency's strategic goals. (Goal VIII.A.3)

As used in this context, using financial resources appropriately includes expending resources in accordance with applicable laws, and gaining maximum utility from available resources (i.e., financial efficiency). There are four performance indicators for this goal:

The first indicator is the level of unobligated carryover (excluding reimbursable work) at the end of the fiscal year. The FY 1999 target is to limit unobligated carryover to approximately five percent of the FY 1999 budget. Such a target will encourage financial efficiency while allowing reasonable protection against uncertainties in the planning and budget estimating processes. The data to support.

this indicator are currently collected in the agenc/ accc,unting system.

A second indicator is the number of months ofunliquidated funding authority at the end of the fiscal year. Unliquidated funding authority (UFA) is equal to current year unobligated funding plus unliquidated obligations (excluding reimbursable work). The number of months offunding available is equal to UFA divided by the average monthly expenditure rate. The FY 1999 target is five months. The data to support this indicator are currently collected in the agency accounting system.

The third indicator for this goal is the number of critical programmatic needs which were not met due to inadequate funding or full-time equivalent staff authorization.

The FY 1999 target is zero. The data to support this indicator will come from the analysis of the actual accomplishments as compared to the planned achievements for FY 1999 as documented in the FY 1999 annual performance report. If any of the FY 1999 goals fail to be met due to lack of sufficient resources this performance goal will not have been met.

The final indicator for this goal is the timely publication of the proposed license fee rule. The FY 1999 target is March 31,1999.

Aqre 21

FYIM9 nrrfernannea Gents U.S. Nneleer Regnintary M=le" Sapport Activities FY 1999 Performance Man Provide a physical work environment and sumcient tools which enable all NRC employees to accomplish the agency mission. (Goal VIII.A.4)

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 Administration and Human Resources.

The second indicator is the level of satisfaction with NRC facilities and equipment as measured by an employee survey. The survey will measure such things as whether employees view facilities to be clean and comfortable, and employees' views on the adequacy of equipment to do thejob. In FY 1998 as a prelude to using this indicator in FY 1999, we will develop and pre-test the survey instrument, execute the survey to establish a baseline, and establish a target for improvement in FY 1999.

The most significant PROGRAM OUTPUTS which underpin support activities are shown in Appendix I.

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APPENDIX I FY 1999 PROGRAM OUTPUTS (MEANS & STRATEGIES)

The most significant program outputs (planned accomplishments) in FY 1999 which support the general goals and the related performance 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.) We have not included program outputs for two strategic arenas, Excellence and Public Confidence. The goals of these two arenas are overarching management strategies that are integrated throughout NRC's programs and are intended to foster a highly effective and results-oriented agency that is committed to excellence and inspires confidence.

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4penur i U.S. Nnelear Regninnery r===u FY 1999 Program Ongpats (Monas nad Strategies)

FY 1999 Perfarnmenee Men Neelear Reactor Safety r

Nuclear Reactor Safety General Goal:

Prevent radiation-related deaths or illnesses due to civilian nuclear reactors (Goal I)

Strategies:

We will assure that licensees discharge their primary responsibility for conducting safe operations.

We will incrementally implement risk informed, and where appropriate, performance-based regulatory approaches for power reactors.

We will position the NRC for licensing future reactors and renewing existing licenses.

We will position the NRC for licensing activities associated with reactor decommissioning.'

We will maintain a research capability to provide timely and independent technical bases for NRC regulatory decisions.

We will improve the measurement of performance of nuclear power plants to identify plants that warrant heightened NRC attention.

Program Output: Reactor Licensing 9

Reactor licensing ensures that operating facilities maintain adequate levels of protection of public health and safety in the daily operation and throughout the life cycle of the plant. This safety oversight includes assurances that facilities are adequately designed, properly constructed, correctly maintained and safely operated, and that trained and qualified operating and technical support personnel can prevent or cope with accidents and other threats to public health and safety.

' Separate from the NRC Strategic Plan for FY 1997-2002, NRC is seeking legislation that would eliminate the overlap in standard-setting authority of the NRC and the Environmental Protection Agency with regard to Atomic Energy Act sites and materials by recognizing the NRC's and Agreement State's standards in the area of reactor and non-reactor decommissioning.

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U.S. Naelear Rrgalatory Conemissian AppeaksI FY 1999 Performance Man FY 1999 Prograne Outputs (Means and Strurgies)

Nuclear Reacter 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 licensees or license modifications resulting from changes in ownership, (3) reliefs from in service testing or inspection requirements, (4) exemptions from the regulations, and (5) notices of enforcement discretion.

Output Measure:

Licensing actions completed per year.

W 1999 Target:

1,500 actions, including conversions to improved standard technical specifications.

Responsible Organization: Office of Nuclear Reactor Regulation Output Measure:

Size oflicensing action inventory.

W 1999 Target:

1500 actions or less.

Responsible Organization: Oflice of Nuclear Reactor Regulation Output Measure:

Age of ficensing action inventory.

W 1999 Targets:

80% ofinventory 1 year old or less; 95% 2 years old or less; all actions 3 years old or less.

Responsible Organization: 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) evaluating 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 pan of the NRC's responsibility for reviewing the safety of the i

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.)

l Output Measure:

Other licensing tasks completed per year W 1999 Target:

600 Responsible Organizations: Office of Nuclear Reactor Regulation / Regions The NRC must license all personnel authorized to operate reactors. Initial 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 fundamentals to measure the candidates' knowledge of reactor theory, plant components, and thermodynamics.

l Output Measure:

Number of operator examinations administered W 1999 Target:

Meet licensee demand estimated at 400 initial operator licensing examinations and 400 generic fundamentals examinations.

Responsible Organization: Office of Nuclear Reactor Regulation / Regions Regulatory improvements oversight includes the development of office-level 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 learned from ongoing reviews.

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4 pass i v.s. Nusar auguimay ca.unussa n am rr.,m wauaan aase waruo nim um ea na Naciner Re.eter Safety The effectiveness and implementation oflicensing activities for operating reactors will be evaluated 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 Organization: Office of Nuclear Reactor Regulation Program Output: Reactor Inspection The Reactor Inspection program is designed to ensure that nuclear power plants are operated in accordance with NRC regulations and other requirements as necessary to protect public health and safety. The primary focus of this activity is on plant operations, maintenance, engineering, and plant support; and includes efforts by residents, region-based, and headquarters inspectors.

7 Output Measure:

Number of plants for which core inspection program is completed during the fiscal year.

FY 1999 Target:

All operating power reactors.

Responsible Organization: Office of Nuclear Reactor Regulation / Regions Output Measure:

Average time to complete reviews of allegations.

I FY 1999 Target:

180 days.

Responsible Organization: Office ofNuclear Reactor ' Regulation / Regions Program Output: Reactor Performance Assessment The Reactor Performance Assessment program is designed to identify early significant declining trends in performance and ensure recognition and resolution of safety-significant events and conditions specific to individual plants or generic to the nuclear power industry. It enables NRC to conduct a systematic assessment oflicensee performance (SALP) through the collection and 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 agency observations and findings on the safety performance of operating facilities. Reactor performance assessment also provides for the integration oflessons-learned, oversight of the implementation of corrective actions, and development of mechanisms to provide for a systematic reexamination of reactor oversight activities.

7 The core inspection program is defined in Inspection Manual Chapter 2515 and includes the inspection procedures contained in Appendix A to IMC 2515.

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U.S. Nuclear Requintary Comnoission Appen&si FY 1999 Perferneanee P'an FY 1999 Program Outputs (Means and Soutemies)

Nuclear Reneter Safety Output Measure:

Timeliness of SALPs conducted and reports issued FY 1999 Target:

All SALP cycles in accordance with Management Directive 8.6 requirements (18-24 months) and all SALP reports issued and meetings with licensees held within 60 days of the end of the SALP cycle.

i Responsible Organization: Office of Nuclear Reactor Regulation / Regions Output Measure:

Plant performance reviews.

FY 1999 Target:

Conduct at least two reviews.

Responsible Organization: Office of Nuclear Reactor Regulation / Regions Output Measure:

Senior management meetings.

FY 1999 Target:

Londuct two semiannual meetings.

Responsible Organization: Office of Nuclear Reactor Regulation / Regions Program Output:

Independent Performance Evaluations (Reactors)

This program includes incident and accident investigation, and operational experience evaluation to ensure that safety-significant operational events involving nuclear reactors are investigated in a timely, systematic, and technically sound manner and that information is obtained on the causes of the events so that NRC can take corrective actions that are timely and effective. This activity also includes maintenance of the NRC's incident response capability to ensure that it is prepared to respond to any radiological emergency at NRC licensed facilities.

The NRC will review nuclear power reactor licensee event reports (LERs), NRC inspection reports, and U.S. industry reports. It will also screen foreign reactor reports and foreign radiological event reports for applicability to the U.S. nuclear program. On the basis of this comprehensive and systematic review of both U.S. and foreign event data sources, significant operating events associated with either plant-specific or generic safety issues are identified and selected for further in-depth evaluation to assess the root causes of the identified deficiencies, the safety significance and generic implications of the deficiencies, and the adequacy of corrective actions implemented and/or planned. The NRC will perform in-depth technical evaluations of selected components, systems, system interactions, and human performance; and wil: continue to issue case studies, special studies, engineering evaluations, and technical reviews. Results, findings, and recommendations to prevent recurrence will be widely disseminated to the staff, the nuclear industry, and the public in a timely manner. In addition, reactor events that are considered to be significant from the standpoint of public health and safety will be reported to the Commission with recommendations that they be considered as " abnormal occurrences." On an annual basis, abnormal occurrences will be reported to the Congress and the public.

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sedser Rosesor Safety Output Measure:

Timeliness of ficensee event report reviews.

FY 1999 Target:

99 percent oflicensee event reports will be reviewed within 1 month of receipt. The review of all licensee event reports will be completed within 3 months of receipt. (The number of licensee event reports is expected to be approximately 1,500 annually but fluctuates depending on the actual number of problems which occur at nuclear power plants.)

Responsible Organization: Office for Analysis and Evaluation of Operational Data The NRC conducts incident response activities to ensure that (1) it is prepared to carry out its role in a radiological emergency at NRC-licensed nuclear reactors, (2) licensee responses are consistent with licensee responsibilities, and (3) NRC responses are coordinated with other Federal response activities and State and local government activities. To ensure that a reliable and high-quality incident response program is maintained, the NRC will (1) maintain and implement the NRC incident response program in preparation for actual operational events within the industry; (2) operate the NRC Operations Center 24 hours2.777778e-4 days 0.00667 hours 3.968254e-5 weeks 9.132e-6 months a day with engineers / scientists i

capable of receiving event reports and recognizing and communicating problems and emergencies to management; (3) coordinate efforts to maintain the functionality of the Federal Radiological Emergency Response Plan, the Federal Response Plan, and agreements between the NRC and other State, Federal, and international organizations and countries on responses to nuclear events; (4) conduct a State outreach program to improve the States' understanding of how the NRC, as the Lead Federal Agency, will coordinate the Federal response to a severe accident at a nuclear facility; and (5) maintain the NRC Operations Center and regional functional procedures, response tools, and training.

Output Measure:

Two consolidated output measures will be used for evaluating the effectiveness of NRC's incident response capability. The first output measure deals with the readiness of the NRC to respond and the second output measure deals with the actual response. Because the effectiveness of NRC's readiness and response is not measurable by a single parameter, but by a combination of secondary measurable parameters, consolidated output measures were established.

Consolidated Output Measure #1: Readiness NRC will be prepared to respond to an event at all times by continually staffing the Operations Center with highly qualified Operations Officers, by having an adequately staffed and trained incident response organit,ation, and by having an operations center and an emergency telecommunications system that is available under allcircumstances.

This readiness output measure is based on the following secondary output measures:

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Continuously staff Operations Center with highly quahyled l

Operations Officers.

Highly quahfied = Training' + Experience' Each critical response organization position shall have at least two fully qualified individuals available for response (i.e., on the call list) at all times.

At least 90% of the response organization (HQ and Regions) will be trained in accordance with the training plan.

The NRC will be able to respond 100% of the time from the Headquarters Operations Center nr from a back-up facility.

At least one ETS circuit will be available 100% of the time under all circumstances. As a goal, the seven essential communications functions will be available 99% of the time for each operating NPP.

The NRC will exercise with each NPP utility and State every 3 years.

The NRC will conduct State outreach with each NPP Goal = State every 3 years.

Consolidated Output Measure #2: Response Upon notsfication of an emergency, the NRC willpromptly determine the appropriate response, rapidly staffthe Operations Center with a critical complement of responders, conduct an independent assessment ofplant conditions andpotential dose consequences, and effectively communicate with the licensee, State, and Federal responders and the media.

8 Training requirements suggested for the HOOs: 1) 100% of HOOs will have completed Tier 1 training, which includes PWR and BWR Series required for initial qualification + Fuel Cycle Safety Course + NMSS Lectures + demonstrated competency on HOO equipment.

l

2) 100% requalification. Requalification program would require annual demonstration of competency on HOO equipment and PWR and BWR refresher training every two years. 3) At least 50% of HOOs will have completed two Tier 2 training courses such as B&W/CE cross training, MOV course, EDG course (courses highly relevant to their responsibilities).

' Experience. Emphasis will be placed on recruiting Operations Officers with experience at a nuclear power plant (e.g., former Resident Inspectors) i i

avr 29

4penar i U.S. Nneleer Retainnery r*===Insk FY 1999 Prerrman Outputs (Means and Strategies)

FY 1999 Perfeenmance Man Neelear Reneter Safety This response output measure is based on the following secondary output measures:

A decision regarding NRC's response will be made in less than 30 minutes following NRC notification of an emergency.

Greater than 95% of all notifications will be made in accordance with procedures.

All critical positions will be staffed within one hour following NRC notification of an event.

The assessments completed by the Reactor Safety Team and the Protective Measures Team will be technically accurate 100% of the time and will be effectively communicated to the Executive Team, the licensee and the State.

Responsible Organization: Office for Analysis and Evaluation of Operational Data Program Output: Reactor Technical Training Under this program, technical training is provided for formal NRC staff qualification in support of the reactor program. The NRC will continue to maintain the 1echnical Training Center (TTC) and manage the technical training program for NRC staff. Curriculum areas in support of the reactor program will be maintained in reactor technology, probabilistic risk assessment, engineering support, radiation protection, security and safeguards, and regulatory skills.

The reactor technical training program will continue to include approximately 60 reactor technology courses and 85 courses in specialized technical training areas. A spectrum of reactor technology training will be provided for the General Electric, Westinghouse, Combustion Engineering, and Babcock and Wilcox reactor designs to.neet the agency's needs with the highest priority including an integrated series of classroom and simulator courses for NRC staff.

Initial reactor technology training and refresher training will be provided each year to NRC inspectors, reactor operator license examiners, and other staffin formal qualification or development programs. In addition, technical training will be available for NRC technical managers. Training of headquarters and regional reactor inspectors, operator license examiners, and headquarters operations officers on vendor-specific emergency operating procedures will continue. Major curriculum adjustments to best satisfy the highest priority regional and program office training needs will continue.

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U.S. Neeleer Regaintary Comminine Appeaks i 9Y1999 Performaneg Man yy ;999 program Outpats Weens aCMs)

Neelear Renener Safety Output Measure:

Numbers and types of courses offered.

FY 1999 Target:

Numbers and types of courses scheduled met 90% of the cumulative needs identified by offices and regions in semiannual needs surveys.

)

Responsible Organization: Office for Analysis and Evaluation of Operational Data Program Output: Reactor Enforcement Actions Enforcement actions are used as a deterrent to emphasize the i.mportance 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 reflects the seriousness of the violation involved and are not intended to establish any type of quota system.

Output Measure:

Timeliness in completing enforcement actions.

FY 1999 Target:

Ninety percent of reactor enforcement cases will average

)

90 days or less. One hundred percent of reactor enforcement cases will average 120 days or less.

Responsible Organization: Office of Enforcement

)

Program Output: Reactor Investigations i

The NRC investigates allegations of wrongdoing by NRC reactor licensees and others within its j

regulatoryjurisdiction. All findings and conclusions that result from investigations are sent to the appropriate program office, 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 concerning NRC licensees and others within the NRC's regulatoryjurisdiction are referred to the U.S. Department of Justice. In j

addition to managing its own caselcad, the NRC works closely with other investigative agencies and organizations to ensure the timely exchange ofinformation of mutual interest.

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: Office ofInvestigations Puge 31

Appenuti U.S. Neelear Reganlanery w""

W 1999 Protrane Daoads tMeans and Stratat es)

M 1999 Perfennance Man i

Neeleer Router Snfety I

Program Output: Reactor and Plant Performance Research The NRC conducts reactor and plant performance research to provide an in-depth examination

]

and understanding of operating experience and plant transients experienced by the nuclear 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 as indicated in the FY 1999 budget.

Responsible Organization: Office ofNuclear Regulatory Research Output Measure:

Completion of rulemakings.

FY 1999 Target:

Complete those rulemakings scheduled for completion in FY 1999 in the semi-annual Rulemaking Activity Plan.

Responsible Organization: Office of Nuclear Reactor Regulation Output Measure:

Regulatory guidance on environmental qualification of advanced I&C equipment to protect against smoke and the threat to advanced I&C in safety critical systems due to lightning.

FY 1999 Target:

Complete draft regulatory guide on lightning.

Responsible Organization: Office of Nuclear Regulatory Research Output Measure:

Provide regulatory basis and review guidance for assessing industry standards applicable to software.

FY 1999 Target:

Complete regulatory review guidance.

Responsible Organization: Office of Nuclear Regulatory Research Output Measure:

Milestones in the PRA Implementation Plan.

FY 1999 Target:

Implement those milestones which are due in FY 1999.

Responsible Organization: Office of Nuclear Regulatory Research Output Measure:

Assessment of the effect of high burn up fuel on source terms.

FY 1999 Target:

Complete assessment.

Responsible Organization: Office of Nuclear Regulatory Research

=

rmee 32

U.S. Nnelear Regnintery Commission 4 peak i FY 1M hrformanes Man FY IM herram O~ (Means and Strategies)

Neeleer Reener Safety Output Measure:

Development of Accident Sequence Precursor models.

FY 1999 Target:

Complete development of 10 Accident Sequence Precursor 1

models (Level 1, Revision 3)

Responsible Organization: Office of Nuclear Regulatory Research l

Program Output:

Reactor Materials and Component Behavior Research 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 mechanisms of components can be difficult to identify, and their effects may be difficult to quantify. Thus, research is needed to provide the data and analysis tools necessary to identify, quantify, manage and regulate the effects of aging in nuclear power plants. Also, reactor safety issues that affect more than one operating plan (Generic j

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 revision to Regulatory Guide 1.154.

FY 1999 Target:

Complete analyses Responsible Organization: Office of Nuclear Regulatory Research Output Measure:

Report on aging effects on the environmental qualification of electrical connectors.

FY 1999 Target:

Complete testing and publish final report.

Responsible Organization: Office of Nuclear Regulatory Research Output Measure:

Regulatog guides on leak-before-break piping evaluations.

FY 1999 Target:

Complete regulatory guides.

Responsible Organization: Office of Nuclear Regulatory Research Output Measure:

Evaluations of 1/10 scale model tests of a prestressed concrete and a reinforced concrete containment.

FY 1999 Target:

Publish reports.

Responsible Organization: Office of Nuclear Regulatory Research Output Measure:

Generic safetyissues resolved.

FY 1999 Target:

Resolve those issues scheduled in the Generic Issue Management Control System for resolution in FY 1999.

Responsible Organization: Office ofNuclear Regulatory Research hge JJ

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U.S. Neeleer metalsfer7 h*

FY1999 Pretrene Cenputs (Means and Sounesies)

FY1999 Preferneance Man Neetcar Mmerints Safety Nuclear Materials Safety General Goah Prevent radiation-related deaths or illnesses due to civilian use of source, byproduct, and special nuclear materials (Goal II)

Strategies:

We will assure that licensees discharge their primary responsibility for using materials safely.

We will regulate material uses consistent with the level of risk involved by decreasing oversight of those materials that pose the lowest radiological risk to the public and continuing emphasis on high risk activities.

We will work with the Agreement States to assure consistent protection of public health and safety nationwide.

We will position the NRC to perform regulatory oversight for certain DOE nuclear facilities.

We will maintain a research capability to provide timely and independent technical bases for NRC regulatory decisions.

Program Output: Fuel Facilities Licensing and Inspection - Safety The NRC licenses all commercial nuclear fuel facilities involved in the processing and fabrication of uranium ore into reactor fuel as part of the agency's nuclear fuel cycle safety and safeguards mission. Detailed health, safety, and environmental licensing reviews and inspections oflicensee programs, procedures, operations, and facilities are conducted to ensure safe operations. Each fuel facility must have a license that specifies the materials the licensee may possess, sets restrictions on how the materials may be used, and establishes additional licensee responsibilities (such as worker protection, environmental controls, and financial assurance), as appropriate.

NRC conducts routine on-site inspections of major fuel cycle licensees' risk significant operations to affirm licensees are operating safely. Safety inspections focus on risks involving nuclear criticality and release of hazardous radioactive and toxic (chemical) materials.

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U.S. Nucleet Regulatory Cenemission Appendix !

FY 1999 Perfernance Pfen FY 1999 Protram Outputs (Means and Strategies)

Nuelear Maternets Safety Output Measure:

Timeliness of safety-related licensing actions"'.

W 1999 Target:

Initiate 80% of safety-related actions within 45 days of receipt.

i Responsible Organization: Office of Nuclear Material Safety and Safeguards Output Measure:

Timeliness of safety-related inspections".

W 1999 Target:

Complete 90% of the safety-related inspections scheduled in the Fuel Cycle Master Inspection Plan on time.

Responsible Organization: Office of Nuclear Material Safety and Safeguards / Regions Output Measure:

Recertification review for U.S. Enrichment Corporation (USEC).

W 1999 Target:

Complete review and issue decision for the two gaseous diffusion plants.

Responsible Organization: Office of Nuclear Material Safety and Safeguards Program Output: Nuclear Materials Users Licensing and Inspection This program includes efforts to ensure that licensees adequately protect the public health and safety, worker safety, and the environment when radioactive material is used in various situations under normal operations and abnormal events. These efforts include licensing, inspection, and the regulatory oversight and development for the safe use of radioactive material, and other efforts pertaining to nuclear material users.

Output Measure:

Timeliness of reviews of applications for new materials.

licenses, license amendments, license renewals, and sealed sources and device designs.

FY 1999 Target:

Complete 80% of the reviews for new applications, and amendments, within 90 days. Complete 80% of the reviews for license renewals and sealed source and device reviews within 180 days.

Responsible Organization: Office of Nuclear Material Safety and Safeguards / Regions Output Measure:

Timeliness of safety inspections of materials licensees.

W 1999 Target:

Complete core inspections with less than 10% overdue as defined in Inspection Manual Chapter 2800.

Responsible Organization: Office of Nuclear Material Safety and Safeguards / Regions Output Measure:

Timeliness oflicensee event reports reviews.

W 1999 Target:

Review 95% of material licensee events reported to NRC within five working days and refer the events to appropriate staff for foliow-up.

8 Safeguards reviews are related to goal IV.A

" Safeguards inspections are related to goal IV.A FWge J5

Appenelsi U.S. Nuclear Regulanery Cenamassaan rr im Freerane oueurs means nad sonnes es)

FY1m Marmannee non

)

s Nueiner Martrials safety Responsible Organization: Office of Nuclear Material Safety and Safeguards / Regions Output Measure:

Timeliness of allegation reviews.

FY 1999 Target:

Complete 80% of the allegation reviews in NMSS within the timeliness requirements of Management Directive 8.8.

Responsible Organization: Office of Nuclear Material Safety and Safeguards / Regions Program Output: Medical Oversight This program encompasses a major rewrite of the Commission's regulations on medical use of byproduct materials. This regulation revision is being carried out pursuant to Commission direction as a very high priority rulemaking and includes numerous opportunities for public input and close consultation with the Commission's Advisory Committee on Medical Uses ofIsotopes (ACMUI) and professional medical organizations and societies. The goal is a risk-informed, more performance-based regulation that will permit more effective use of both NRC and licensee resources.

Output Measure:

Completion of 10 CFR Part 35 Rulemaking.

FY 1999 Target:

Final 10 CFR Part 35 Rule to the Commission Responsible Organization: Office of Nuclear Material Safety and Safeguards Program Output: Uranium Recovery Licensing and Inspection This program encompasses detailed health, safety and environmental reviews and inspections of licensee procedures and facilities to provide reasonable assurance of safe operations; the development of NRC regulatory guidance to implement the Environmental Protection Agency standards for regulating mill tailings; and efforts to support DOE reclamation activities associated with abandoned uranium mill sites.

Output Measure:

Licensing Backlog.

FY 1999 Target:

Complete reviews such that the licensing backlog (defined as applications over six months old) does not exceed 25% total pending during the year.

Resporssible Organization: Office of Nuclear Material Safety and Safeguards Output Measure:

Safety inspections of uranium recovery facilities.

1 FY 1999 Target:

Complete approximately 40 inspections.

Responsible Organization: Office of Nuclear Material Safety and Safeguards /RegionIV Output Measure:

Review of uranium recovery site reclamation plans.

FY 1999 Target:

Complete the review of two plans.

j Responsible Organization: Office ofNuclear Material Safety and Safeguards / Regions.

Ave u

F.S. Needser messessary ra==m Appener i ni999 Perforsennee Mas M 1999 Prsrruse Onours (Adsses and Struereirs)

NacJose Adserrdals Sqfssy Program Output: Agreement State Program, State Liaison, and Integrated Materials Performance Evaluation Program (IMPEP)

The NRC, with Agreement State participation, conducts periodic IMPEP reviews of Agreement State and NRC regional office programs for adequacy to ensure public health and safety and compatibility of Agreement State programs with NRC programs.

Output Measure:

Timeliness for completion ofIMPEP reviews of Agreement l

States and NRC Regional Offices.

FY 1999 Target:

80% of final IMPEP review reports will be issued within 104 days from the last day of the review and no IMPEP report will be issued more than 180 days from the last day of the review.

Responsible Organization: Office of State Programs / Office of Nuclear Material Safety and Safeguards Program Output:

Independent Performance Evaluation This program includes incident and accident investigation to ensure that significant events involving radiological material are investigated in a timely, systematic, and technically sound manner and that information is obtained on the causes of the events so that NRC can take corrective actions that are timely and effective. This program also includes maintenance of the NRC's incident response capability to ensure that it is prepared to respond to any radiological emergency at NRC-licensed facilities or Agreement State-licensed facilities or involving NRC-licensed or Agreement State-licensed msterial.

The NRC will review radiological event reports, NRC inspection reports, and U.S. industry reports. On the basis of this comprehensive and systematic review of radiological event data sources, significant events are identified and selected for further in-depth evaluation to assess the root causes of the identified deficiencies, the safety significance and generic implications of the deficiencies, and the adequacy of corrective actions implemented and/or planned. The NRC will continue to issue case studies, special studies, and technical reviews. Results, findings, and recommendations to prevent recurrence will be widely disseminated to the staff, the radiological industry, and the public in a timely manner. In addition, radiological events that are considered to '

be significant from the standpoint of public health and safety will be reported to the Commission with recommendations that they be considered as " abnormal occurrences." On an annual basis, abnormal occurrences will be reported to the Congress and the public.

Output Measure:

Timeliness of radiological event report reviews.

FY 1999 Target:

99 percent of radiological event reports reported through the NRC Operations Center or discussed in Preliminary Notifications will be reviewed within 1 month of receipt. The review of all licensee event repons will be completed within 3 months of receipt. (The number of reports is expected to be approximately 500 annually.)

1 L

Responsible Organization: Office for Analysis and Evaluation of Operational Data r

h re37

4pesar t U.s. Nasisar Regninsory t'a==m rr m m o.e,as ca, a see usas>

rr mever.n anu Needeer Naarrines sqfety i

The NRC conducts incident response activities to ensure that (1) it is prepared to cany out its role in a radiological emergency at NRC-licensed or Agreement State-licensed facilities or involving NRC-licensed or Agreement State-licensed material, (2) licensee responses are consistent with licensee responsibilities, and (3) NRC responses are coordinated with other Federal response activities and State and local government activities. To ensure that a reliable and high-quality incident response program is maintained, the NRC will (1) maintain and implement the NRC incident response program in preparation for actual events within the industry; (2) operate the NRC Operations Center 24 hours2.777778e-4 days 0.00667 hours 3.968254e-5 weeks 9.132e-6 months a day with engineers / scientists capable of receiving event reports and recognizing and communicating problems and emergencies to management; (3) coordinate efforts to n.aintain the functionality of the Federal Radiological Emergency Response Plan, the Federal Response Plan, and agreements between the NRC and other State, Federal, and international organizations and countries on responses to radiological emergencies; (4) conduct a State outreach program to improve the States' understanding of how the NRC, as the Lead Federal Agency, will coordinate the Federal response to a radiological emergency; and (5) maintain the NRC Operations Center and regional functional procedures, response tools, and training.

Output Measure:

Two consolidated output measures will be used for evaluating the effectiveness of NRC's incident response capability. The first output measure deals with the readiness of the NRC to respond and the second output measure deals with the actual response. Because the effectiveness of NRC's readiness and response is not measurable by a single parameter, but by a combination of secondary measurable parameters, consolidated output measures were established.

Consolidated Output Measure #1: Readiness NRC will beprepared to respond to an event at all times by i

continually staffing the Operations Center with highly qualified Operations Officers, by having an adequately staffed and trained incident response organization, and by having an operations center and an emergency telecommunications system that is available under allcircumstances.

This readiness output measure is based on the following secondary output measures:

Continuously staff Operations Center with highly quahfied Operations Officers.

Each critical response organization position shall have at least two fully qualified individuals available for response (i.e., on the call list) at all times.

~L

.+

av< 38

U.S. Nuiear Regnimay canaissin Aopraais i FY 1999 parformance Men p.y ;ppy m,an, owpes (Means ad soweM Nuetear Maned safety At least 90% of the response organization (HQ and Regions) will be trained in accordance with the training plan.

The NRC will be able to respond 100% of the time from the Headquarters Operations Center gr from a back-up facility.

Consolidated Output Measure #2: Response Upon notsfication of an emergency, the NRC willpromptly determine the appropriate response, rapidly staffthe Operations Center with a critical complement ofresponders, conduct an independent assessment ofradiological conditions andpotential dose consequences, and effectively communicate with the licensee, State, and Federal responders and the media.

1 This response output measure is based on the following secondary output measures:

A decision regarding NRC's response will be made in less than 30 minutes following NRC notification of an emergency.

Greater than 95% of all notifications will be made in accordance with procedures.

All critical positions will be staffed within one hour following NRC notification of an event.

The assessments completed by the Fuel Cycle Safety Team and the Protective Measures Team will be technically accurate 100% of the time and will be effectively communicated to the Executive Team, the licensee and the State.

Responsible Organization: Office for Analysis and Evaluation of Operational Data ft'ge.19

4pesar J U.S. Nedser a<gedasery rwh nimme one,ma cu ns aseners,a n i m...;- - a nn.

Nedser Mastremis Sqfery Program Output: Materials Research and Regulation Development This program supports the development of regulations and regulatory guidance specific to the siting and design of structures and components of non-reactor fuel-cycle facilities and the development of rules and regulatory guidance associated with materials licensees; and addresses materials radiation protection issues.

In support of this effort, rulemaking activities are reviewed and updated semiannually in the NRC's rulemaking activity plan. The NRC will also continue to update its rule base, in accordance with the National Performance Review, to streamline, revise, or eliminate regulatory requirements that have a large economic impact, without significantly reducing safety.

i I

Output Measure:

Completion of materials-related rulemakings.

FY 1999 Target:

Complete those rulemakings scheduled for completion in FY 1999 in the semi-annual Rulemaking Activity Plan.

Responsible Organization: Office of Nuclear Material Safety and Safeguards Program Output: Materials Technical Training 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 i

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. Curriculum areas will be maintained in probabilistic risk assessment, radiation protection, fuel cycle technology, security and safeguards, and regulatory skills.

The materials technical training curriculum will continue to include approximately 17 courses ranging in duration from 3 days to 5 weeks. Initial materials technical training and refresher i

training will be provided each year to NRC materials inspectors and license reviewers in formal qualification or development programs and Agreement State personnel. In addition, materials technical training will be available for NRC technical managers. Major curriculum adjustments to best satisfy the highest priority regional and program office training needs will continue.

Development and technical training for the NRC staff emphasizes nuclear materials safety and the fuel cycle program. Training is also made available to Agreement State personnel. Curriculum areas will be maintained in probabilistic risk assessment, radiation protection, fuel cycle technology, security and safeguards, and regulatory skills. New courses will be developed and existing courses will be modified to meet new or changing needs.

M**

U.S. Nneleer Reguknery Commission 4penkt i FY1999 Performenea Non FY 1999 Protrum Oanputs (Means and Smnegars)

Nacient Materials Safety Output Measure:

Numbers and types of courses offered.

FY 1999 Target:

Numbers and types of courses scheduled met 90% of the cumulative needs identified by offices and regions in semiannual needs surveys.

Responsible Organization: Office for Analysis and Evaluation of Operational Data Program 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 intended to establish any type of quota system.

Output Measure:

Timeliness in completing enforcement actions.

FY 1999 Target:

Ninety percent of materials enforcement cases will average 90 days or less. One hundred percent of reactor enforcement cases will average 120 days or less.

Responsible Organization: Office of Enforcement Program Output: Materials Investigations The NRC investigates allegations of wrongdoing by NRC materials licensees and others within its regulatoryjurisdiction. All findings and conclusions that result from investigations are sent to the appropriate program office, to the Oflice 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 warretr;ed. Investigations that substantiate criminal violations are referred to the U.S.

Department ofJustice.

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 Oqanization: Office ofInvestigations i

huge di

Appen&t!

U.S. Nseleer Regulatory Commission FY I999 Program Outputs (Means and Strategies)

FY I999 Prrformenee Man Nneteer Caste Sefety 1

i Nuclear Waste Safety l

1 General Goal:

Ensure treatment, storage, and disposal of wastes produced by civilian use of nuclear material in ways that do not adversely affect this or future generations (GoalIII)

Strategies:

We will advise DOE and prepare to license a high-level waste repository at a pace consistent with the national program.

We will perform legislatively required low-level waste activities.

Program Output: Spent Fuel Storage and Transportation Licensing and Inspection To carry out its regulatory responsibilities for storage and transportation of high-level waste (including spent fuel) and low-level waste, the NRC certifies storage and transport container package designs, and licenses and inspects interim storage of spent fuel, both at-reactors and away-from-reactor sites. In this way, NRC ensures that licensees store and transport nuclear materials in packages that will provide a high degree of safety and that licensees provide safe interim storage of spent reactor fuel.

i NRC's transportation activities are closely coordinated with those of the Department of Transportation (DOT) and, as appropriate, with the DOE and the Federal Emergency Management Agency. In appropriate cases, these activities extend to reviewing transportation plans, performing route approvals and swveys for shipments of nuclear material, and relaying DOT notifications from licensees and carriers of planned import, export, or domestic shipment of nuclear material.

DOE and the industry's spent fuel storage activities require NRC's detailed health, safety, and environmental reviews and inspections oflicensee and vendor procedures and facilities to ensure safe operations.

Licensed utilities are responsible for interim storage of spent fuel under their NRC licenses.

Activities associated with cask loading and unloading, which are often considered as part of I

reactor operations, are also spent fuel licensing and storage activities. All utilities have either installed or are planning to install high-density racks in their existing spent fuel pools. However, even with these modifications, pools are reaching capacity. To provide for " full core" reserve, a growing number of utilities are constructing independent spent fuel storage installations, which generally consist of a passive storage system using dry cask technology.

l e en l

U.S. Needser A ', rw-4predixI l

n sm nurm.a aa nan nim n.aram o.ams cue as amtso.unstn Neelent Usant Safety 1

NRC licensing is required for DOE storage of Fort St. Vrain spent fuel and TMI-2 fuel debris.

{

DOE will also be responsible for NRC licensed disposal of spent fuel at a Federal repository and possibly for central interim storage, which would also be licensed by NRC.

Output Measure:

Non-spent fuel transport container design review completions.

FY 1999 Target:

Complete 95 design reviews.

Responsible Organization: Office of Nuclear Material Safety and Safeguards Output Measure:

Spent fuel container and installation design review completions.

FY 1999 Target:

Complete 50 design reviews.

Responsible Organization: Office ofNuclear Material Safety and Safeguards l

Output Measure:

Safety inspections of dry storage and transport package licensees, applicants, designers, vendors, and fabricators.

FY 1999 Target:

Complete 20 inspections.

Responsible Organization: Office of Nuclear Material Safety and Safeguards / Regions Output Measure:

Reviews of users', suppliers', and fabricators quality assurance programs for the fabrication and use of transportation packagings.

FY 1999 Target:

Complete 35 quality assurance reviews.

Responsible Organization: Office of Nuclear Material Safety and Safeguards l

Program Output: High-Level Waste Repository Regulation l

The program includes revising the regulatory framework as required under the Energy Policy Act. NRC will continue to provide assistance to EPA, as requested to contribute to the development of reasonable and implementable high-level waste standards. The Energy Policy Act requires the NRC to develop these implementing regulations within 1 year after promulgation of l

the final EPA standards, The NRC will conduct a review of the Department of Energy's (DOE) viability assessment (VA) i l

for the Yucca Mountain HLW site. This will enable the NRC to provide feedback to DOE on concerns important to preparing a license application related to the total system performance assessment, reference repository and waste package designs, plans for additional testing and analyses for the licensing application, descriptions of performance confirmation testing, and technical information supporting cost estimates of site characterization, repository construction and operation.

This program will also conduct observation audits of DOE's quality assurance (QA) program to evaluate both the effectiveness of DOE's auditing as well as the overall implementation of the program. Observation audits will primarily consist of both QA and technical staff and will be

- focused to st:pport specific technical areas within the key tecimical issues.

l

Annradis I U.S. Needrar Regalanery C-"

n am me, o.e,a, cu.a.s na sanausa >

nim Mar a n Menanne Waale sqfety The NRC will develop a standard review plan (SRP) which will be used as guidance for the staff's review of the draft license application. The SRP will address the acceptable outline of the license application as well as review plans for the key technical issues.

The discharge ofradioactive effluents from routine operations of a nuclear power plant or major fuel cycle facility can result in environmental impacts. These impacts can be on man, animals, plants, and sea life. During the licensing of a plant, NRC issues a Final Environmental Impact Statement (FEIS), which identifies these potential impacts.

Output Measure:

Publication of final NRC rulemaking which is consistent with EPA HLW standards.

FY 1999 Target:

7/1/99 Responsible Organization: Office ofNuclear Material Safety and Safeguards Output Measure:

Review of DOE's viability assessment for the Yucca Mountain HLW site.

FY 1999 Target:

Complete review and provide recommended response to the Commission.

Responsible Organization: Office ofNuclear Material Safety and Safeguards Output Measure:

Observations of DOE's quality assurance audits,for the technical work related to resolving the key technical issues.

l FY 1999 Target:

Conduct 8 observations.

Responsible Organization: Office of Nuclear Material Safety and Safeguards Output Measure:

Development of the standard review plan (SRP) for the HLW repository license application.

FY 1999 Target:

Begin post-closure SRP based upon acceptance criteria for the key technicalissues.

Responsible Organization: Office of Nuclear Material Safety and Safeguards Output Measure:

Review DOE's environmental impact statement for the High-Level Waste Repository.

FY 1999 Target:

Review DOE's draft environmental impact statement.

Responsible Organization: Office of Nuclear Material Safety and Safeguards w

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n am ar.: - : na nim nm m, o.a,.a cuams amo so nas,n Nedeer Wanne Sqery l

Program Output: Regulation of Low-Level Waste The classification of nuclear waste depends on its origin, level of radioactivity, and potential hazard. Low-level waste, which results from reactor operations and many commercial, medical, and industrial processes, typically contains e small amount ofradioactivity dispersed in a large l

. amount ofmateri:1 and poses little potential hazard. However, because it is radioactive, l

disposing ofit requires special handling to avoid the health and environmental hazards associated with radiation. To adequately protect against these hazards, the NRC regulates the management, l

storage, and disposal oflow-level radioactive waste.

The NRC sets basic standards for conduct oflicensed activities at fuel cycle facilities through rulemaking, augmented by regulatory guidance documents that specify acceptable approaches for meeting the standards set forth in the rules. In order to maintain the regulatory framework for low-level waste disposal, this program will develop the Branch Technical Position on LLW Disposal Facility Performance Assessment.

The NRC and Agreement States, who through agreements with the NRC have accepted responsibility for licensing of radioactive materials within their State, oversee licensees' management and disposal of radioactive waste products. The NRC will provide assistance to the States, as requested, in resolving specific technical issues concerning LLW storage and disposal.

l Output Measure:

Assistance to the States in resolving specific technical issues concerning LLW storage and disposal.

FY 1999 Target:

Provide assistance to States as requested.

Responsible Organization: Office of Nuclear Material Safety and Safeguards l

Output Measure:

. Maintenance of the regulatory framework for low-level waste disposal.

FY 1999 Target:

Complete Branch Technical Position on Low-Level Waste Disposal Facility Performance Assessment.

Responsible Organization: Office ofNuclear Material Safety and Safeguards l

t t

(

4penue !

U.S. Neelent Regaintery r==ius FYIM Progran Oupats (Monas and Strategies)

FY IM Pr,-i ----^ r Man r=== Defense and Securry and laternanomalitrotrement Common Defense and Security and International Involvement General Goal:

Prevent the loss or theft of special nuclear materials regulated by the NRC, and support U.S. national interests in the safe use of nuclear-materials and in non-proliferation. (Goal IV)

Strategies:

We will provide leadership to strengthen nuclear safety and safeguards worldwide.

We will assure that licensees control, account for, and protect nuclear materials from being misplaced.

We will assist in curbing the proliferation of the capability to produce nuclear explosives.

I Program Output: Fuel Facilities Licensing and Inspection Safeguards The NRC will conduct reviews of new and amended safeguards plans each year for nuclear fuel cycle facilities as part of the agency's nuclear fuel cycle safety and safeguards mission. In addition, safeguards inspections are conducted to ensure that licensees comply with NRC requirements pertaining to the control and accounting of nuclear material, the protection of nuclear material to prevent theft or diversion, contingency plans for responding to threatening situations, and trained armed response personnel.

.To verify operational safety and assess licensee performance, the NRC will conduct a program of scheduled safety and safeguards inspections that relies on resident inspectors to provide onsite presence and focus on daily operation, and on headquarters and regional inspectors to provide specialized technical expertise in areas such as radiological / chemical safety, chemical processing, material control and accounting, training, quality assurance, surveillance / maintenance, emergency planning, configuration control, and management control.

Output Measure:

Timeliness of safeguards related licensing action completions.

FY 1999 Target:

Initiate 80% of safeguards related licensing actions within 45 days ofreceipt.

I Responsible Organization: Office of Nuclear Material Safety and Safeguards Aire #

l

\\

U.S. Nuclear Reguinery Commission Appen&x I FY 1999 Perferneaner Man FY 1999 Program Outputs (Means and Stratesses)

Common Def=se and Seenrity and laternarsenal 1:velvement Output Measure:

Timeliness of safeguards inspections.

I FY 1999 Target:

Complete 90% of the safeguards inspections scheduled in the Fuel Cycle Master Inspection Plan on time.

l Responsible Organization: Office of Nuclear Material Safety and Safeguards / Regions l

Program Output:

Participation in International Safety and Safeguards Exchange Activities The NRC participates in a wide range of mutually beneficial programs involving information exchange with counterparts in the international community. NRC currently participates in 34 arrangements with the regulatory authorities of the following countries or areas: Argentina, l

Armenia, Belgium,. Brazil, Canada, China, the Czech Republic, Egypt, Finland, France, Germany, Greece, Hungary, Indonesia, Israel, Italy, Japan, Kazakstan, the Republic of Korea, Lithuania, Mexico, The Netherlands, Peru, The Phillippines, Russia, the Slovak Republic, Slovenia, South Africa, Spain, Sweden, Switzerland, Ukraine, the United Kingdom, and Taiwan. These anangements provide communications channels that ensure the prompt reciprocal notification of power reactor safety problems that could affect both U.S. and foreign plants. They encourage the identification of possible precursor events warranting further investigation. They represent the building blocks for bilateral cooperation in nuclear safety, physical security, materials control and accounting, waste management, environmental protection, and other areas to which the parties agree. Finally, they establish the means through which NRC provides health and safety information and assistance to other countries attempting to develop or improve their regulatory organizations and their overall nuclear safety cultures. In addition to its extensive program of bilateral cooperation with other countries, the NRC also works closely in the area of nuclear safety with international organizations such as the International Atomic Energy Agency (IAEA) in Vienna, and the Nuclear Energy Agency (NEA) of the Organization for Economic Cooperation and Development (OECD)in Paris.

Output Measure:

Coordinate NRC participation in exchanges of views at high level meetings focused on international nuclear regulatory policy formulation and on developing approaches for the safe and secure use of nuclear material for peaceful purposes.

FY 1999 Target:

Coordinate one meeting of the International Nuclear Regulators Association and one IAEA General Conference.

Responsible Organization: Office ofInternational Programs Output Measure:

Negotiation / renewal of bilateral exchange arrangements between NRC and appropriate foreign counterparts to ensure that an effective framework for NRC's international exchanges is in place.

FY 1999 Target:

Negotiate / renew 5 arrangements.

Responsible Organization: Office ofInternational Programs Output Measure:

Support the U.S. Mission to UN Systems Organizations in Vienna, Austria in carrying out exchange activities involving l

the IAEA.

Page 47

1 4prear i f/.S. Needser negadesry rwh nim n.er ouemacuauandsemann nim ner.,manea naa Canunn. Dufraer and see Mry and lanormaaleant inveternaeat W 1999 Target:

Maintain nuclear safety attache position.

Responsible Organization: Office ofInternational Programs Output Measure:

- Analysis of reports submitted to the Incident Reporting System (jointly operated by the Nuclear Energy Agency and the International Atomic Energy Agency) by other nations to extract safety lessons applicable to domestic nuclear power plants.

W 1999 Target:

90 percent of the reports submitted to the incident reporting system will be reviewed within 1 month of receipt. The review of all reports will be completed within 3 months of receipt.

(The number of reports is expected to be approximately 50 annually but fluctuates depending on the actual number of problems that occur at nuclear power plants throughout the world.)

Responsible Organization: Office for Analysis and Evaluation of Operational Data Output Measure:

Perform technical information exchange visits on physical protection procedures and practices in foreign countries possessing or receiving U.S.-origin nuclear material or equipment.

W 1999 Target:

Perform three visits to maintain the schedule for visiting such countries on a maximum five-year interval.

Responsible Organization: Office ofNuclear Material Safety and Safeguards Program Output: Assistance to Foreign Regulators l

The NRC provides a carefully selected range of safety and safeguards assistance to develop and strengthen foreign nuclear regulatory authorities, especially those in the New Independent States of the former Soviet Union (FSU), and countries of Central and Eastern Europe (CEE). This assistance includes helping them to strengthen their regulatory organizations, training foreign inspectors, and working together in the areas of operational safety and risk reduction. In providing this assistance, we work closely with the Departments of State, Energy and Defense, and the Agency for International Development (AID). Presently, funding for the assistance to the FSU and CEE, other than FTEs, is provided by AID.

Output Measure:

Provide on-the-job training for assignees from other countries.

W 1999 Target:

Provide training for 10 foreign assignees.

Responsible Organization: Office ofInternational Programs /Other Agency Offices 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 l

noe a I

U.S. Naelear Regainnery Cenemission Appendir i M 1999 Perferneance Man M 1999 Pregnun OWs (Means and Strategies)

Common Defuse and Security and laternarsenal 1 relsement Ministry for Environmental Protection and Nuclear Safety (MEPNS) of Ukraine.

W 1999 Target:

Delivery, installation, and testing of the analytical simulators.

Responsible Organization: Office for Analysis and Evaluation of Operational Data i

Output Measure:

Technical assistance to the Russian Federal Authority on Nuclear and Radiation Safety (GAN) on a variety of technical issues related to protection, control, accounting for, and physical protection of nuclear material.

W 1999 Target:

Provide a carefully selected range of support needed by GAN for development of an effective regulatory program.

Responsible Organization: Office of Nuclear Material Safety and Safeguards Output Measure:

Technical assistance to the Nuclear Regulatory Authority

{

(NRA) of the Ministry for Environmental Protection and i

Nuclear Safety (MEPNS) of Ukraine on a variety of technical issues related to protection, control, and accounting for nuclear material.

i W 1999 Target:

Provide a carefully selected range of support needed by MEPNS for development of an effective regulatory program.

)

Responsible Organization: Office of Nuclear Material Safety and Safeguards j

l Output Measure:

Training and technical assistance to the Russian Federal Authority on Nuclear and Radiation Safety (GAN) on a variety of analytical tools to support their independent regulatory activities.

W 1999 Target:

Complete Level 2 PRA for Kalinin Unit 1 Responsible Organization: Office of Nuclear Regulatory Research Program Output: Import / Export Licensing Reviews Under the Atomic Energy Act of 1954, as amended, the NRC is responsible for licensing the export and import of nuclear-related materials and equipment to ensure these items are used for peaceful purposes. This authority extends to nuclear reactors and other fuel cycle facilities and equipment, to source and special nuclear material, to byproduct materials, and to certain other commodities, including radioactive waste. The NRC obtains the views and recommendations of i

other governmental agencies and departments in its prelicensing reviews, and, in turn, provides its views and recommendations to the Departments of Energy and Commerce on nuclear-related l

export authorizations under theirjurisdiction.

I l

Output Measure:

Issuance ofNRC licenses.

W 1999 Target:

Complete reviews for, and issue as appropriate, approximately 100 NRC import / export authorizations (NRC licenses or amendments).

Responsible Organization: Office ofInternational Programs / Office of Nuclear Material Safety and Safeguards Page 49

4penditi U.S. Nadent Cognintary Commission FY1999 Program Da@nts (Menns and Strategies)

FY 1999 Prrformenee Man Common Defense and Seenrnty and laternamenal1:velvement Output Measure:

Timeliness of staff reviews of Executive Branch proposed Part 810 licenses, Subsequent Arrangements, and Section 123 Agreements for Cooperation.

FY 1999 Target:

Complete the staff reviews within 60 days.

i Responsible Organization: Office ofInternational Programs / Office of Nuclear Material Safety and Safeguards

I U.S. Nneiner L, ', M=ksien 4penus1 FY1999 Prefernmaner Man FY1999 herrann 0-*--*= (Means and - _ "s) a., ans a,z.. e.n.,.

Protecting the Environment General Goal:

Protect the environment in connection with civilian use of source, byproduct, and special nuclear materials through the implementation of the Atomic Energy Act and the National Environmental Policy Act.

(Goal V)

Strategies:

We will improve the process by which licensees successfully complete l

decommissioning of non-reactor sites."

We will assure that licensees protect the environment during operations, t

l l

Program Output: Environmental. Monitoring l

As part ofNRC's requirements, nuclear power plant licensees must keep releases of radioactive l

material to unrestricted areas during normal operation as low as reasonably achievable, and must comply with radiation dose limits for the public. In addition, NRC regulations require licensees to have various effluent and environmental monitoring programs to ensure that the impacts are l

minimized. The NRC requires licensees to report plant discharges and results of environmental monitoring around their plants to ensure that potential impacts are detected and reviewed. These reports are placed in local public document rooms. Licensees also must participate in an Interlaboratory Comparison Program, which provides an independent check of the accuracy and precision of environmental measurements. The NRC routinely inspects and reviews licensee conformance with the requirements. These inspections are an integral part of the Reactor Inspection program output supporting Goal I and its performance goals as discussed on page 24.

Program Output: Regulation of Decommissioning The NRC's decommissioning activities involve safely removing a facility from service and reducing residual radioactivity to a level that permits the property to be released. This action is to be taken by a licensee before termination of the license. In some cases, non-licensed facilities may also be required to reduce or stabilize contamination before sites are released. This activity comprises NRC's integrated requirements for the decontamination and decommissioning of facilities and sites associated with NRC-licensed activities, including the technical interface with the Environmental Protection Agency to resolve issues of mutual interest.

" Separate from the NRC Strategic Plan for FY 1997-2002, NRC is seeking legislation that would eliminate the overlap in standard-setting authority of the NRC and the Environmental Protection Agency with regard to Atomic Energy Act sites and materials by recognizing the NRC's and Agreement State's standards in the area of reactor and non-reactor decommissioning.

rwa si

A y anti U.S. Nunne Regainwy C="-

n am n.eram oomauma nasserwesen rrim arrier,maao nna am,% m, ro+

,n Output Measure:

Cleanup problem materials and fuel facility sites listed in the Site Decommissioning Management Plan (SDMP).

FY 1999 Target:

Remove three sites from the SDMP list after satisfactory cleanup.

Responsible Organization: Office ofNuclear Material Safety and Safeguards / Regions Program Output: Decommissioning Research and Regulation Development This activity supports development of a performance assessment capability to assess the movement of radionuclides in the environment and consequent dose to the public from NRC licensed facilities. Topics of concern within the context of performance assessment include source term, engineered barriers, flow and transport processes, pathway analysis, and calculation of doses. It also supports development of rules and regulatory guidance to address decommissioning issues 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 of Nuclear Regulatory Research Output Measure:

SANDIA Environmental Decision Support System (SEDSS), a decisions tool being developed jointly by NRC, DOE, and EPA to address common problems in evaluating sites contaminated with toxic chemicals or radionuclides.

FY 1999 Target:

Complete modification of SEDSS to allow multi-dimensional groundwater pathways.

Responsible Organization: Office of Nuclear Regulatory Research Output Measure:

Completion of decommissioning-related rulemakings.

FY 1999 Target:

Complete those rulemakings scheduled for completion in FY 1999 in the semi-annual Rulemaking Activity Plan.

Responsible Organization: Office ofNuclear Material Safety and Safeguards.

i l

1%gr $2

i U.S. Nuclear Regulatory Commissise 4pennut i FY1999 Performance Ptan FY 1999 Program Outputs (Means and Santegies)

Sapper

Activities Support Activities General Goal:

l Provide support necessary for the NRC to achieve its general goals. (Goal VIII.A)

Program Output:

High quality, culturally diverse applicant pool.

Output Measure:

Client satisfaction, determined by survey; gap analysis of applicant demographics.

FY 1999 Targets:

TBD (Baseline to be established by FY 1998 survey data.); no more than 25% under representation as compared to availability.

Responsible Organization: Office -.

.uman Resources Program Output:

Replacement Hiring.

Output Measures:

Number of replacement hiring vacancies for which staffing support is provided.

FY 1999 Targets:

Provide support for stafling approximately 150 vacancies.

Responsible Organization: Office ofHuman Resources.

Program Output:

Human resources advisory products and services to managers and employees.

Output Measure:

Client satisfaction as measured by survey.

FY 1999 Target:

TBD (Baseline to be established by FY 1998 survey data.)

Responsible Organization: Office ofHuman Resources Program Output:

Information Technology Architecture A key CIO responsibility under the Information Technology Management Reform Act (ITMRA) is " developing, maintaining, and facilitating the implementation of a sound and integrated IT architecture " An IT architecture structures IT assets in a consistent, rigorous manner that connects the agency's IT capabilities with the larger need of the agency. Planned outputs are agencywide architectures for systems, data, and technology that, taken together, meet the requirements of the Act. The development of these architectures involves a systematic assessment of the way information technology is being used to support the agency's mission and development of strategies to improve information delivery to the agency's key business areas.

Output Measure:

Development of Systems Architecture.

FY 1999 Target:

Complete evaluation of the cost and quality of the automation in 2 NRC business areas.

Responsible Organization: Office of the ChiefInformation Officer.

1%e 53

Appenkt i U.S. Nuclear Regulatory Cannseission FY 1999 Program Outputs (Means and Stmtegies)

FY 1999 Prrfernannee Plan sapPen Aeswes Output Measure:

Development ofData Architecture.

FY 1999 Target:

Complete development of a high-level model of the data that supports 2 NRC business areas.

Responsible Organization: Office of the ChiefInformation Officer.

Output Measure:

Development ofTechnology Architecture.

]

FY 1999 Target:

Update the Technical Reference Model to provide standards for implementation of 32 bit operating systems required for the Agency Document Access and Management System (ADAMS).

Responsible Organization: Office of the ChiefInformation Officer.

Program Output:

Computer Security The NRC's computer security program provides administrative, technical, and physical security measures for the protection of the agency's information, automated information systems, and information technology infrastructure. This includes special safeguards to protect classified information, unclassified safeguards information, and sensitive unclassified information that is processed, stored, or produced on all types of automated information systems.

Output Measure:

Raise awareness of potential threats to the security of NRC information and prevent computer vims atta'cks through computer security awareness training.

FY 1999 Target:

Provide (1) annual computer security awareness training for NRC headquarters and regional employees; (2) computer security awareness briefings for small groups at NRC headquarters and regions as requested; and (3) new employee computer security awareness training on a weekly basis as required.

Responsible Organization: Office of the ChiefInformation Officer.

Program Output:

IT Knowledge and Skills Ensures that agency staff have the appropriate IT knowledge and skills to apply information technology to accomplish the agency's goals.

Output Measure:

IT skilllevels of OCIO staff.

FY 1999 Target:

Implement a training and development program for OCIO staff i

to address skill gaps identified through a skills assessment.

Responsible Organization: Office of the ChiefInformation Officer / Office of Human Resources Me st

U.S. Nuclear Regulatory Commission Appeak i FY 1999 Performane2 Pfan FY 1999 Program OM* (Means and Santegies)

Sapport Activks f

Output Measure:

Number of NRC senior managers who have been trained to effectively manage information resources in order to realize improved return on agency IT investments.

FY 1999 Target:

By the end of FY 1999, all NRC senior executives will have completed the basic IT training for managers.

Responsible Organization: Office of the ChiefInformation Officer / Office of Human Resources Program Output:

Systems Development and Integration Provides development and maintenance support for NRC's application systems, including l

corrections to systems to avoid problems associated with the turn of the century. To ensure that i

NRC gets a good return on its major systems investments, NRC has implemented an IT Capital

(

Planning and Investment Control (CPIC) Process. The first two systems identified for the CPIC portfolio are a major Agency Document Access and Management System (ADAMS), and a j

Reactor Programs System. These systems are discussed further in Appendix V.

1 Output Measure:

All systems meeting the criteria for inclusion in NRC's IT l

Capital Planning and Investment Control (CPIC) process will j

develop performance measures and targets.

I FY 1999 Target:

Prevent any significant deviations (as defined in the Information.

i Technology Management Reform Act of 1996) from the

{

system targets.

4 Responsible Organization: Directors of Offices sponsoring projects in the NRC's IT Capital Planning and Investment Control Portfolio.

Output Measure:

Renovation and Installation of corrected mission-critical and business-essential systems to handle dates from January 1,2000 and beyond.

FY 1999 Target:

By December 31,1998, all maintained application systems that are identified as mission-critical or business-essential will have had their computer source code renovated so they will be able to process dates beyond January 1,2000.

Responsible Organization: Office of the ChiefInformation Officer Program Output:

Technology Infrastructure Provides cost-effective, reliable, comprehensive, integrated, and easy-to-use telecommunications, networking, and connectivity services. Operates the Customer Support Center (CSC) help desk l

that assists NRC employees in using the information technology infrastructure and applications.

l Acquires, installs, maintains, and removes personal computers used by NRC staff.

Output Measure:

Number of resident inspector sites with a direct connection to the agencywide network.

nee ss 1

4penkt i U.S. Nueleer Regninsory M=mu==

FY IM Progran Outputs (Means and Serwegers1 FY1999 krferumance Man Support Aenvides FY 1999 Target:

Eighty percent of resident sites will have a direct connection to the agencywide network for access to agencywide applications and network resources.

Responsible Organization: Office of the ChiefInformation Officer Output Measure:

Replacement of agency microcomputers with Pentium-class systems for users who need them to use ADAMS and RPS.

FY 1999 Target:

By the end of FY 1999, approximately 93% of systems will be Pentium-class.

Responsible Organization: Office of the ChiefInformation Officer.

Program Output:

Information and Records Management NRC's Information and Records Management Program (1) ensures that NRC records and other documents are managed as agency resources so that they are accessible and retained in accordance with government regulations and (2) provides services for the centralized receipt, processing, and dissemination ofinternally and externally generated licensing and other mission-related documents.

I Output Measure:

Prepare for transition to electronic recordkeeping by developing a comprehensive records disposition schedule needed to gain National Archives and Records Administration (NARA) approval for the new agency document management system as an official electronic recordkeeping system.

FY 1999 Target:

Send submittal to NARA by January 1999.

Responsible Organization: Office of the ChiefInformation Officer j

Output Measure:

Increased use of electronic media and formats in order to make agency information more easily accessible and useful to agency employees and the public.

FY 1999 Target:

Develop and implement an approach for voluntary electronic submission of documents to the NRC that is flexible (accommodates a large variety of electronic formats) and provides for appropriate surety and safeguards (appropriate levels of authentication, verification, and security for various types ofdocument submittals).

Responsible Organization: Office of the ChiefInformation Officer Program Output:

Develop NRC's Annual Budget Submissions to OMB and Congress.

Output Measure:

Timeliness and Quality of Budget.

FY 1999 Targets:

FY 2000 Budget Request to Congress 2/99; FY 2001 Budget Request to OMB 9/99.

Responsible Organization: Office of the Chief Financial Officer /All Agency Offices hur u

U.S. Nneleer Regalatory Centmission Appendbri FY 1999 Performance mn FY 1999 Program Outputs Weans and Strategies) sapp rusainties Program Output:

Prepare NRC's Annual Financial Statement.

Output Measure:

Timeliness and Quality of Statement.

FY 1999 Target:

FY 1998 Statement Published by 3/99; unqualified opinion.

Responsible Organization: Office of the Chief Financial Officer Program Output:

Collect amounts due NRC.

Output Measure:

Actual vs. projected fee collections.

FY 1999 Target:

Within 2% of projected collections.

Output Measure:

Accounts receivable past due (end of FY).

FY 1999 Target:

Not more than $5 million.

Responsible Organization: Office of the Chief Financial Officer Program Output:

Pay bills.

Output Measure:

% paid on time.

FY 1999 Target:

94 %

Output Measure:

% paid by electronic funds transfer.

FY 1999 Target:

100 %

Responsible Organization: Office of the ChiefFinancial Officer Program Output:

Rental of Space and Facilities Management Output Measures:

Number of square feet of office space rented and managed annually; OWFN restack project milestones.

FY 1999 Targets:

Manage 676,000 square feet of rented office space; complete floors 15,13,6, and 14 in the OWFN restack project.

Responsible Organization: Office of Administration Program Output:

Security Output Measures:

Number of personnel investigations / reinvestigations completed per year; number of random drug tests completed per year.

FY 1999 Targets:

Conduct approximately 590 investigations / reinvestigations; complete 900 random drug tests.

Responsible Organization: Office of Administration Phge 57

Appenas i U.S. NacIner Regulanery C--a*~

n am mera, ooats cuenas sa samtamies>

n i m n ieramara nan Sapport Acervisits Program Output:

Administrative Support Services Output Measures:

Number ofitems of supplies issued per year; number of vehicles managed; number of furniture maintenance calls responded to annually; number of equipment items for which accountability is maintained annually; number of pieces of outgoing mail processed annually; number of Commission meetings annually for which logistical support services are provided.

FY 1999 Targets:

Issue and manage an estimated 550 types of supply items; manage 23 vehicles; respond to an estimated 180 furniture maintenance calls; maintain accountability for all NRC equipment, currently estimated at 30,000 items of property; process approximately 600,000 pieces of outgoing mail annually; provide logistical support services for all Commission meetings.

Responsible Organization: Office of Administration Program Output:

Acquisition of Goods and Services Output Measure:

The level of client office satisfaction, as measured by a survey.

FY 1999 Target:

In FY 1998 as a prelude to using this measure, we will develop and pre-test the survey instrument, execute the survey to establish a baseline, and establish a target for improvement in FY 1999.

Responsible Organization: Office of Administration l

l Me ss

U.S. Neelear Regniesery Connaission Appen&r11 FY1999 Perfernmance M FY 1999 Researres Required to implement This M APPENDIX II FY 1999 RESOURCES REQUIRED TO IMPLEMENT THIS PLAN Funding and Staffing A summary of the NRC's FY 1999 funding request is shown below by program. The FY 1999 performance goals and their associated FY 1999 target levels as shown in this plan are consistent with the funding requested by the NRC for FY 1999. For a more detailed discussion of NRC funding requirements see U.S. Nuclear Regulatory Commission, Budget Estimates, Fiscal Year 1999 (NUREG-1100, Volume 14, February 1998).

Funding (Ob!!gations) and Full-Time Equivalents by Strategic Arena FY 1997 FY 1998 FY 1999 Strategic Arena Enacted Estimate Request SK FTE SK FIE SK FTE Nuclear Reactor Safety 221,208 1,499 211,950 1,467 211,422 1,440 Nuclear Materials Safety 45,150 393 46,342 391 48,869 386 Nuclear Waste Safety 21,275 112 24,124 108 29,147 120 Common Defense & Security 9,386 79 9,285 78 9,732 74 and International Involvement Protecting the Environment 15,236 92 12,715 79 14,901 81 Management and 159,545 843 163,584 811 169,269 813 Support (Support Activities)

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.

Flage 59

Appendir til U.S. Need,ar segulassry r===*

vmpaan aa vauanon atunawa vau.as ernet.r e

n im neiermann n.a APPENDIX III VERIFICATION AND VALIDATION OF MEASURED VALUES OF PERFORMANCE Reactor Operational Data Most of the data that we plan to use to measure performance will come from the NRC's abnormal occurrences that the agency provides to Congress on an annual basis. In FY 1998, we plan to identify any primary data systems that need improvement in order to provide any other information necessary to apply the agency's performance measures. Carefully examining our data systems in FY 1998 will help ensure that we can report accurate and reliable data in FY 1999, the first year ofimplementing the performance plan under the Government Performance and Results Act. We will continue to rely on established procedures, such as OIG audits and management reviews to verify and validate performance data.

The primary source ofinformation about an operational event is the licensee event report (LER) submitted to NRC in accordance with 10 CFR 50.73. Other data NRC uses include immediate notifications to the NRC operations Center in compliance with 10 CFR 50.72; monthly operating reports submitted to NRC in accordance with plant technical specifications; the data base of component failures in systems managed by the Institute of Nuclear Power Operations (INPO);

reports of defects and noncompliance in accordance with 10 CFR Part 21; NRC inspection reports, and allegations. Reactor licensee event reports are stored in the Sequence Coding and Search System database.

Nuclear Materials Operational Data Event Data Nuclear materials licensees 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 misadministrations of radiation or radiopharmaceuticals to patients; radiation overexposures; loss of control oflicensed material; problems with equipment that uses licensed material or is otherwise associated with the use oflicensed material; releases of material or contamination; leaking radioactive sources; problems during the transportation oflicensed material; problems in fuel cycle facilities; and problems in nonpower reactors. NRC collects, reviews, and codes nuclear materials event information reported to the NRC and the Agreement States. NRC maintains this information in the Nuclear Material Events Database (NMED).

Radiation Exposure Data All NRC licensees are required to monitor employee exposure 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, and those involved in industrial t

radiography, the manufacture and distribution of radioactive materials, fuel fabrications and processing, low-level radioactive waste disposal, and independent spent fuel storage, are required

. hse a

F.S. Needser sessammry r===lah 4pendir til FY 1999 Prrfernannee Man Verificanen and V=L"== sf Meesmd Values of PrJ - ^^

by 10 CFR 20.2206 to provide to the NRC annual reports of exposure data for individuals for whom personnel monitoring is required. NRC maintains this information in the Radiation Exposure Information Report System (REIRS).

Abnormal Occurrence Criteria" The Energy Reorganization Act of 1974 requires the Nuclear Regulatory Commission to submit abnormal occurrence reports to Congress. The Act defines an abnormal occurrence as an unscheduled incident or event that the Commission has determined to be significant from the standpoint of public health and safety. For each occurrence, the report must contain the date and place, the nature and probable consequence, the cause or causes, and any action taken to prevent recurrence.

Criteria by types of events used to determine which incidents or events will be considered for reporting as AOs are as follows:

L For All Licensees A. Human Exposure to Radiation From Licensed Material

1. Any unintended radiation exposure to an adult (any individual 18 years of age or older) resulting in an annual total effective dose equivalent (TEDE) of 250 millisievert (mSv) (25 rem) or more; or an annual sum of the deep dose equivalent (external dose) and committed dose equivalent (intake of radioactive material) to any individual organ or tissue other than the lens of the eye, bone marrow and the gonads, of 2500 mSv (250 rem) or more; or an annual dose equivalent to the lens of the eye, of 1 Sv (100 rem) or more; or an annual sum of the deep dose equivalent and committed dose equivalent to the bone marrow, and the gonads, of 1 Sv (100 rem) or more; or an annual shallow-dose equivalent to the skin or extremities of 2500 mSv (250 rem) or more.

2. Any unintended radiation exposure to any minor (an individual less than 18 years of age) resulting in an annual TEDE of 50 mSv (5 rem) or more, or to an embryo / fetus resulting in a dose equivalent of 50 mSv (5 rem) or more.

3. Any radiation exposure that has resulted in unintended permanent functional damage to an organ or a physiological system as determined by a physician.

" Appendix A to NRC's Abnormal Occurrence General Statement of Policy (From the Federal Register dated 04/17/97, Pages 18820-18824)

Asse di

Appen&x HI U.S. Neelear Regainery M""==

Veriftention nas VM of Mensured Values of Perfarnweee FY 1999 Perfernannee Man i

B.. Discharge or Dispersal of Radioactive Material From Its Intended Place of Confinement

1. The release of radioactive material to an unrestricted area in concentrations which, if averaged over a period of 24 hours2.777778e-4 days 0.00667 hours 3.968254e-5 weeks 9.132e-6 months , exceed 5000 times the values specified in Table 2 of Appendix B to 10 CFR 20, unless the licensee has demonstrated compliance with Sec. 20.1301 using Sec. 20.1302(b)(1) or 20.1302(b)(2)(ii).

2. Radiation levels in excess of the design values for a package, or the loss of confinement of radioactive material resulting in one or more of the following: (a) A radiation dose rate of 10 mSv (1 rem) per hour or more at 1 meter (3.28 feet) from the accessible external surface of a package containing radioactive 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 requirements for " exclusive use" as defined in 10 CFR 71.47; or (c) release of radioactive material from a package in amounts greater than the regulatory limits in 10 CFR 71.51(a)(2).

C. Theft, Diversion, or Loss of Licensed Material, or Sabotage or Security Breach"

1. Any lost, stolen, or abandoned sources that exceed 0.01 times the A values, as listed i

in 10 CFR Part 71, Appendix A, Table A-1, for special form (sealed /nondispersible) sources, or the smaller of the A or 0.01 times the A values, as listed in Table A-1, 2

3 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, stolen, or abandoned under the following conditions: sources abandoned in accordance with the requirements of 10 CFR 39.77(c); sealed sources contained in labeled, rugged source housings; recovered sources with sufficient indication that doses in excess of the reporting thresholds specified in AO 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 I.A.2 were not known to have occurred.

2. A substantiated case of actual 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 isjudged to be significant relative to normally expected performance,

" Information pertaining to certain incidents may be either classified or under consideration for classification because of national security implications. Classified information will be withheld when formally reporting these incidents in accordance with Section 208 of the Energy Reorganization Act of 1974, as amended. Any classified details regarding these incidents would be available to the Congress, upon request, under appropriate security arrangements.

Mea

U.S. Nuclear Regulatory Conenission 4 pen &s 111 FY I999 Performance Man Verification and VnMatson of Metsvred Valses of Perf-- -- s 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 control (i.e., access control containment or accountability systems) that significantly weakened the protection against theft, diversion, or sabotage.

D. Other Events (i.e., Those concerning Design, Analysis, Construction, Testing, Operation, Use, or Disposal of Licensed Facilities or Regulated Materials)

1. An accidental criticality [10 CFR 70.52(a)].

2. A major deficiency in design, construction, control, or operation having significant safety implications requiring immediate remedial action.

3. A serious deficiency in management or procedural controls in major areas.

4. Series of events (where individual events are not of major importance), recurring incidents, and incidents with implications for similar facilities (generic incidents) that create a major safety concern.

IL For Commercial Nuclear Power Plant Licensees A. Malfunction of Facility, Structures, or Equipment

1. Exceecmg a safety limit oflicense technical specification (TS) [ 50.36(c)].

2. Serious degradation offuel integrity, primary coolant pressure boundary, or primary containment boundary.

3. Loss of plant capability to perform essential safety functions so that a release of radioactive materials, which could result in exceeding the dose limits of 10 CFR 100 or 5 times the dose limits of 10 CFR 50, appendix A, General Design Criterion (GDC) 19, could occur from a postulated transient or accident (e.g., loss of emergency core cooling system, loss ofcontrol rod system).

B. Design or Safety Analysis Deficiency, Personnel Error, or Procedural or Administrative Inadequacy

1. Discovery of a major condition not specifically considered in the safety analysis report (SAR) or TS that requires immediate remedial action.

2. Personnel error or procedural deficiencies that result in loss of plant capability to perform essential safety functions so that a release of radioactive materials, which could result in exceeding the dose limits of 10 CFR 100 or 5 times the dose limits of 10 CFR 50, Appendix A, GDC 19, could occur from a postulated transient or accident (e.g., loss of emergency core cooling system, loss of control rod system).

waasm u.S. Neelaer Regnanny r=k varquanen and vansnina etMossme veines etkrienanneo ry im hefernmenee nan I

IIL For Fuel Cycle Licensees

1. A shutdown of the plant or portion of the plant resulting from a significant event and/or violation of a law, regulation, or a license / certificate condition.

2. A major condition or significant event not considered in the license / certificate that requires immediate remedial action.

3. A major condition or significant event that seriously compromises the ability of a safety system to perform its designated function that requires immediate remedial action to prevent a criticality, radiological or chemical process hazard.

IV.

For Medical Licensees A medical misadministration that:

(a) Results in a dose that is (1) equal to or greater than 1 gray (Gy) (100 rads) to a major portion of the bone marrow, to the lens of the eye, or to the gonads, or (2) equal to or greater than 10 Gy (1000 rads) to any other organ; and (b) Represents either (1) a dose or dosage that is at least 50 percent greater than that prescribed in a written directive or (2) a prescribed dose or dosage that (I) is the wrong radiopharmaceutical", or (ii) is delivered by the wrong route of administration, or (iii) is delivered to the wrong treatment site, or (iv) is delivered by the wrong treatment mode, or (v) is from a leaking source (s).

V.

Guidelines for "Other Events ofInterest" l

The Commission may determine that events other than AOs may be ofinterest to Congress and the public and be included in an appendix to the AO report as "Other Events ofInterest." Guidelines for events to be included in the AO report for this purpose are items that may possibly be perceived by the public to be of health or safety significance. Such items would not involve a major reduction in the level of protection provided for public health or safety; therefore, they would not be reported as abnormal occurrences. An example is an event where upon final evaluation by an NRC Incident Investigation Team, or an Agreement State equivalent response, a determination is made that the event does not meet the criteria for an abnormal occurrence.

" The wrong radiopharmaceutical as used in the AO criterion for medical misadministrations refers to any radiopharmaceutical other than the one listed in the written directive or in the clinical procedures manual.

I hw* H

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U.S. Nulost Regakscry Cmmission Appen&r V FY 1999 Performanco 1%

Applying Information Technologs to NRC's Mission APPENDIX IV REQUESTS FOR WAIVERS OF ADMINISTRATIVE REQUIREMENTS TO PROVIDE MANAGERIAL FLEXIBILITY The NRC has not identified any waivers of administrative procedures which are required to achieve its stated FY 1999 performance goals. Certain of the performance indicators require the use of surveys which may require OMB clearance in accordance with existing procedures.

Pnge 65

Appenut V U.S. Nxelent Regulatory t'mu==

An%t l*forneanen Technology is NRC's Mission FY 1999 Perferneance Plan APPENDIX V APPLYING INFORMATION TECHNOLOGY TO NRC's MISSION Planning for Information Technology's support for NRC's mission has been integrated into NRC's Strategic Plan and Perfonnance Plan. This addendum to the Performance Plan addresses the Information Technology and Information Management strategies found elsewhere for the reader wishing to understand NRC's strategy for improving the efficiency and effectiveness of agency operations through the effective use ofinformation technology. This addendum also provides information for those wishing to assess NRC's compliance with the Information Technology planning and control provisions of the Clinger-Cohen Act.

NRC's Information Goal is to " ensure that accurate information is available as needed to achieve the agency's strategic goals" In meeting this goal, NRC has the responsibility to ensure that agency information resource investments are cost effective, well managed, fully integrated and provide direct and measurable benefits to agency programs.

Our strategy for accomplishing this goal consists of four parts: a management strategy, an infrastructure strategy, an applications strategy, and an information management strategy.

Management Strategy A key element in meeting our information goal is to ensure that the agency's information resources management organization is structured and aligned to support the agency's mission and strategic goals. Under NRC's senior management reorganization announced in knuary,1997, the CIO reports directly to the Chairman and serves on the agency's Executive Council with the Chief Financial Oflicer and the Executive Director for Operations. In addition, the CIO organization has been reorganized to align systems development teams with major NRC business areas. This is discussed further under our applications strategy.

A second element of our management strategy is the establishment of a comprehensive framework ofinformation technology policies, architectures, and standards to ensure that IT investments are fully integrated, and to improve the quality, integrity, and accessibility of information. The Clinger-Cohen Act formalized the requirement for architectural work already begun at NRC. The IT architecture has three components:

Systems architecture. NRC has developed an Enterprise Model that presents an integrated view of how IT systems relate to the agency's business areas (e.g., licensing, inspection, rulemaking). By understanding these functional relationships, we can use the model to develop a target systems architecture. This architecture will be used to support strategic systems planning, identify opportunities for process re-engineering and integration, guide systems development, and support IT investment decision-making.

Page 64

U.S. Neeleer Regulatory Connaission Appenkt V FY1999 Performance Pfaa Applying lxf:rmation Techxelogy to NRC's Missian Data architecture. A data architecture is a high-level model of the data that supports NRC's business areas. The most important use of the data architecture is to reduce data redundancy and promote data sharing, thereby decreasing costs and improving data quality. Development of NRC's data architecture is part of a broader OCIO data administration program that will include establishing data naming and format standards, and assigning responsibilities for maintaining data, in partnership with NRC offices.

Technology architecture. NRC's technology architecture provides the agency-wide standards that guide the acquisition ofIT to ensure equipment, software, network and communications services compatibility. It will specify a target IT environment for all new IT investments. It will help enable compatibility and inter-operability among databases and systems throughout the agency. As part of this process, a standard desktop configuration will be established which will allow tailoring for individual needs within prescribed guidelines to ensure compatibility, inter-operability, and overall network integrity.

A third element of our management strategy is to use performance-based management and effective capital planning and investment control (CPIC) practices to ensure that the agency achieves a demonstrable retum on its IT investments and significant improvements in the agency's performance ofits mission. NRC established a prototype CPIC process for the FY 1999 budget cycle and used it to evaluate three major programs, the Office of Nuclear Reactor Regulation's Reactor Program System (RPS), the Agency Documents Access and Management System (ADAMS), and our PC modernization program (PC Refresh). The Agency's budget submission is structured to implement these programs.

Cultivation of appropriate IT skills and knowledge is another key element of our strategy. One element of this is to ensure that agency program managers have the skills they need to use IT to improve agency business processes and work effectively with OCIO staff to plan and implement successful IT applications Another element is to ensure that the agency's IT staff has the necessary technical skills. Initiatives are underway in both of these areas and are reflected in our performance plan.

IT Infrastructure Strategy NRC will use its information technology architecture and capital planning process to more closely align planning for the IT infrastmeture with the business needs of the Agency. Upgrades of the IT infrastructure will be driven by specific business application needs. NRC is implementing two infrastructure projects, Next Generation Network and PC Refresh, which are both directly driven by the business needs of Agency programs. Our personal computer and network infrastructure must be upgraded to meet office demands for interactive access to applications and data.

Without up-to-date workstations and upgraded network services to provide high speed network connectivity at headquarters, between headquarters and regional offices, and to resident sites, the agency will not be able to effectively implement critical systems such as the Office of Nuclear Reactor Regulation's Reactor Program System (RPS). RPS will require frequent and sometimes lengthy interactive access to the network from the regions and resident inspector sites. Less than adequate network services would severely impact the implementation of the system, the generation and transmission ofinspection report information, and the receipt ofinspection planning and licensing status information to be provided by it. We have linked our plans to ntc e

4penasV

' C.S. Neelear Regainwy w-Aaptrine I.,^

' Teehaniner se NRC's Mission FY1999 nrrlanmanee non modernize the network and personal computers closely to the requirements of new applications so that IT investments will be made 'just in time' to meet business needsJ IT Applications Strategy A key element of the applications strategy is to realign applications funding and management to ensure fiscal responsibility and a stronger focus on business needs. NRC has changed its systems development funding approach so that applications development will no longer be centrally funded by the OCIO organization. To ensure that IT investments are driven by business needs, systems will now be funded by the program offices who will ultimately decide to embark upon or continue an IT investment based on the office's business need and return on investment. OCIO will continue to provide the support for programmatic IT initiatives, including identification ofIT -

options, process redesign, integration, standards, systems architecture, and systems development services. OCIO will also continue to fund enterprise-wide infrastructure and systems used by the entire agency, where it is clear that they are not directly supporting programs for which other offices have primary responsibility.

The Office of the CIO has reorganized its applications development staff to strengthen coordination between OCIO and the office requesting the application and to ensure that applications will be integrated, where appropriate, with applications in other parts of the agency.

The staff of the Applications Development Division will consist of teams tied to specific agency business areas. This will allow OCIO staff to become more familiar with both the business areas and the IT applications that support them. Using this more targeted approach, OCIO can better align IT/IM resources with agency and program office priorities.

The CIO also will ensure that major application development projects have an appropriate project management stmeture with clear accountability for the success of the project. The need for sponsor office leadership and staffing will be stressed along with appropriate technical staffing.

This strategy will be implemented through the CPIC process, executive IT training, and CIO approval of project staffing.

i To the extent possible, NRC will no longer custom-build administrative systems. Instead, OCIO will seek out "best of breed" commercial systems or systems built by other agencies for our routine applications. For NRC's business problems which may require a more tailored solution, OCIO will try to utilize as much off-the-shelf software as possible, and isolate the custom-built portion to minimize overall system maintenance costs.

The Office of the CIO will promote the use of business process redesign to assist NRC to improve information delivery for major business areas. As part of the capital planning process, the agency will ensure that processes have been benchmarked against best practices and redesigned, where appropriate, before new applications development projects are approved.

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."

U.S. Nedear Regulatory Cenensission

/ppeneiz y FY 1999 hrfernannee Man Aspiying hi- ' Tochandeny to NRC's Mission Information Management Strategy 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 aging document management system, NUDOCS, has been overwhelmed by the exponential growth in the amount ofinformation it must manage. Its limited functionality does not adequately support the staff's need to search for, retrieve, and protect the agency's documents. The ADAMS project will provide a document management system that will support programmatic applications and avoid duplicative investment by other offices.

ADAMS will have the capability to make appropriate information 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 public. Additionally, ADAMS will capture and 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.

Detailed information on IT and IM goals, measures, and major outputs for FY 1999 follows in, "IT Goals, Strategies, and Performance Measures in NRC's Strategic Plan and Performance Plan" S

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Anwedir Y U.S. Needser Jtegaissary Csesdsmes L

AneMan I ^ '- ^ To* Aman =y H NRC's Missies FY 1999.^..;-

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Major IT Systems Support for NRC Strategic Plan TStrategic Arena sr'Goali:

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P and inspecilon ON-Une Syr, tem Nuclear L

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Federal L

Financial System Agency jY D D

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i Document Access and Management System (ADAMS)

Emergency P

P P

P Telecomm1 FTS 2000 Followe Human P

l Resources System Integrated P

Resource Management System Status codes: L = Legacy, D = Under Development, P = Planned

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i v.s. Nasiser 2. " -, commissies 4pesar F Fri m Prrienneau nan 4ptyine Iriernenana Teehanieny es NRC's Ahenne NRC's Major IT Investment Portfolio NRC's prototype Capital Planning and Investment Control (CPIC) process used the following criteria to identify a Major IT Investment:

e Lifecycle investment cost of $10 million or more or l

l High risk or e

Critical importance to NRC mission or e

Significant role in the administration of agency programs, finances, property or other e

resources l

In its first year of operation, the prototype CPIC process focused on major applications which l

would require incremental funding in the FY 1999 budget. Three such investments were identified: Reactor Programs System (RPS), Agency Documents Access and Management System (ADAMS), and the PC Refresh microcomputer acquisition. Analysis of the PC Refresh microcomputer acquisition concluded that it should not bejustified as an independent program, but that the requirements for PCS should be included in the justification of programmatic systems which require updated PCS. Consequently, PC Refresh will not be reported as an independent l

major system. As planning progresses on proposed out-year projects, it is likely that new l

investments may be added to NRC's major systems portfolio.

1 NRC's Major Systems Portfolio Reactor Program System The Reactor Program System (RPS) will provide reactor inspection and licensing information that can be used to improve NRC's ability to better monitor plant performance characteristics, effectively compare plant performance and better identify early causes for concern. RPS will l

collect information once, at the source, and integrate information for both inspections and l

licensing in one location. RPS will replace ten legacy systems and provide a higher level of efficiency at a reduced long term cost.

Agencywide Documents Access and Management System The Agencywide Documents Access and Management System (ADAMS) will be a core document maagement system that will provide the capability for the staff to collaborate on and track prog ess ofdocuments in preparation, store all new documents electronically in one location, captue documents as they are created, and allow staff searches of the new electronic document collection and the index database of NRC's historical document collection at their workstations. ADAMS is designed to be acceptable to the National Archives and Records Administration as NRC's official electronic record keeping system.

ADAMS deployment will support programmatic needs for improved document management systems in the offices of Nuclear Reactor kegulation (the RPS project) and in the Nuclear A ge 71

4pener V U.S. Neeinne Regainnsry t'=m Aspfydsg laferansess Tesanaisty se NAC's Mismies FY 1999 7trfenmence Man Material Safety and Safeguards (Licensing and Inspection On-Line project). Deployment of ADAMS will retire the Nuclear Docuinents (NUDOCS) system.

Potential Major Systems in the Preliminary Planning Phase:

Planned systems are tentatively categorized as potentially major systems. As more detailed information is developed in the planning process, we will assess whether they actually meet the criteria for major systems. Consistent with OMB Circular A-ll guidance, these systems will be reported in the Capital Asset Plan when acquisition planning "... has progressed to the point where the agency is ready to commit to achievement of specific goals for the completion of the acquisition."

Nuclear Materials Licensing and Inspection Online System NRC's Office of Nuclear Material Safety and Safeguards is in the process of re-engineering its Materials Licensing business process to achieve substantial improvements in speed, efficiency, and cost. The new process will require redesigned IT support systems.

Emergency Telecommunications and Post FTS2000 Follow-on NRC will evaluate opportunities to integrate emergency telecommunications, communications for resident inspectors, and other long-distance services into a more cost-effective consolidated telecommunications vehicle in conjunction with planning for transition to post FTS2000 telecommunications services.

Integrated Resource Management System NRC is evaluating requirements for a replacement to its current Financial Management System. The new Commercially Available OffThe Shelf system (STARFIRE) will integrate disparate systems, improve NRC's fee billing process, and integrate performance data into the Resource Management System.

Human Resources System NRC is evaluating the replacement of expensive and high-risk custom-coded human resource systems with a Commercially Available OffThe Shelfsystem. Human resource system planning is being closely coordinated with the Resource Management System project.

Major Legacy Systems:

The following legacy systems will not require incremental funding and will be retired in the near future.

i Ave D

j v.s. Nuele < nopsawy commuaan Arre m v FY1m Prrfumance Man AppIrine l'for- *-- Technolets $1 NRC's Misska Federal Financial System (FFS)

NRC's use of Treasury's FFS system will be replaced by the planned new Integrated Resource Management System as stated earlier.

Nuclear Documents System (NUDOCS)

NUDOCS is NRC's legacy document management system. NUDOCS provides indexed access to abstracts ofkey documents and a limited number of full-text documents. NUDOCS will be replaced by the new comprehensive Agency Documents Access and Management System (ADAMS) as stated earlier.

1 l

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4pendix V U.S. Naeient Regadawy I'==u===

4 plying Infernumen Tecknelegy to NRC's Mission FY 1999 Perfernoeme2 Man.

IT Goals, Strategies, and Performance Measures in NRC's Strategic Plan and Performance Plan i

& 74

l U.S. Nuclear Regahnery Comaksien Appendix V FY 1999 Perfernannee Ptan Applying 1-f.;

'- Technetary se NRC's Mission The Support Goal i

General Goal:

Provide support necessary for the NRC to achieve its general goals.

(Goal VIII.A)

The performance indicators for this goal are the achievement of the goals shown below.

(VIII.A.1-4)

Create and sustain a competent, motivated, ethical, and culturally diverse work force.

(Goal VIII. A.1)

Ensure that accurate information is available as needed to achieve the agency's strategic goals. (Goal VIII.A.2)

Obtain sufficient financial resources, and allocate and use them appropriately to achieve the agency's strategic goals. (Goal VIII.A.3)

Provide a physical work environment and sufficient tools which enable all NRC employees to accomplish the agency mission. (Goal VIII. A.4) l l

l l

Phre 75

4peakr Y U.S. Nneleer ", ', C-*"

Aneking infonandan Technetens to NRC's Mission W 1999 nrrfenannee Man i

The Information Goal Ensure that accurate information is available as needed to achieve the agency's strategic goals. (Goal VIII.A.2)

Performance indicators for the information goal:

Planning and Architecture:

Percent of high-level data entities in the agency's primary systems that are entered once for all systems to access. High level data entities are the people, places, events, and things about which the NRC maintains information. There are about 100 of these (for example, licensees, employees, reportable events, reactors). In FY 1998 as a prelude to using this indicator in FY 1999, we will validate the list of primary systems, identify data entitir in the primary systems, determine the criteria for systems meeting the measure (single database and controlled replication), calculate the baseline of compliant systems, and establish a target forimprovecent in FY 1999.

IT Infrastructure:

Availability of the automated information delivery infrastructure (e.g., networks, hardware and software, e-mail, etc.) as measured by the number of hours in which file services, network infrastructure, application services, and Internet services are available for staffuse. In FY 1998 as a prelude to using this indicator in FY 1999, we will develop and pre-test specific measures, perform the measurement, assess its reliability, establish a baseline, and establish a target for improvement in FY 1999.

Information Systems:

Level of satisfaction with the accuracy and availability ofinformation in NRC's primary systems, as measured by surveys. Primary systems are those identified by business area focus groups as the primary source of data / processing for core business processes. In FY 1998 as a prelude to using this indicator in FY 1999, we will validate the list of primary systems, decide on the population to survey (managers in business areas, users of systems),

i develop and pre-test the survey instrument, execute the smvey to establish a baseline, and establish a target for improvement in FY 1999. We will acquire the services of an industry leader in IT performance measurement who will provide standard survey instruments and benchmark our user satisfaction with that of users in other government agencies and in the l

private sector.

Ave N

U.s. Neeteer negainwy commiuten Appeans y M 1999 Ptrformance Man Applying !*fermation Technelemy to NRC's Minien Information Management:

. A third indicator is the extent to which the agency has the capability to quickly process, search for, retrieve, distribute, and disseminate documents received and created as part ofits regulatory process. In FY 1998, the NRC will complete detailed design, development and engineering of a new document management capability that will allow NRC to transition from a predominately paper-based to an electronic environment. In FY 1999, we will prepare for transition to electronic recordkeeping by developing a comprehensive records disposition schedule needed to gain National Archives and Records Administration (NARA) approval for the new agency document management system as NRC's official electronic recordkeeping system. The FY 1999 target is to send the submittal to NARA by January 1999. In FY 1999, we also will increase use of electronic media and formats in order to make agency information more easily accessible and useful to agency employees and the public. The FY 1999 associated target is to develop and implement an approach for voluntary electronic submission of documents to the NRC that is flexible (accommodates a large variety of electronic formats) and provides for appropriate surety and safeguards (appropriate levels of authentication, verification, and security for various types of document submittals).

Me 77

Aopr.m v v.s. saataar nor s.tery <~-----

Applying infonmation Toehnology to NRC's Mission FY1999 Performannea Nxn Program Outputs Related to the Planning and Architecture Performance Indicator Performance Indicator:

Percent of high-level data entities in the agency's primary systems that are entered once for all systems to access.

Output Measure:

Development of Systems Architecture FY 1999 Target:

Complete evaluation of the cost and quality of the automation in 2 NRC business areas.

Output Measure:

Development ofData Architecture FY 1999 Target:

Complete development of a high-level model of the data that supports 2 NRC business areas.

Output Measure:

Development ofTechnology Architecture

=

FY 1999 Target:

Update the Technical Reference Model to provide standards for implementation of a 32-bit operating system required for the Agency Documents Access and Management System (ADAMS).

4 1

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U.S. Neeinst Regelndery Commission Appendix V PY 1999 Perfernannte Plan Applying Informanen tehnelegy to NRC's Mission Program Outputs Related to the IT Infrastructure Performance Indicator Performance Indicator:

Level of user satisfaction with the availability of the automated information delivery infrastructure (e.g., networks, hardware and software, e-mail, etc.).

Output Measure:

Number of resident inspector sites with a direct connection to the agencywide network.

FY 1999 Target:

Eighty percent of resident sites will have a direct connection to the agencywide applications and network resources.

Output Measure:

Replacement of agency microcomputers with Pentium-class systems for users who need them to use ADAMS and RPS.

FY 1999 Target:

By the end of FY 999, approximately 93% of systems will be Pentium-class.

Output Measure:

Raise awareness of potential threats to the security of NRC information and prevent computer virus attacks through computer security awareness training.

FY 1999 Target:

Provide (1) annual computer security awareness training for NRC headquarters and regional employees; (2) computer security awareness briefings for small groups at NRC headquarters and regions as requested; and (3) new employee computer security awareness training on a weekly basis as required.

I l

e en

w.m v v.s. Musear nea snery c a -

Asphing Infonmaalen Tec&seiery se NAC's Missdes FY1999 hrfenmence Men Program Outputs Related to the Information Systems Performance Indicator Performance Indicator:

Level of satisfaction with the accuracy and availability ofinformation in NRC's primary systems Output Measure:

All systems meeting the criteria for inclusion in NRC's IT Capital -

Planning and Investment Control (CPIC) process will develop performance measures and targets.

I FY 1999 Target:

Prevent any significant deviations (as defined in the Clinger-Cohen Act of1996) from the system targets.

)

Output Measure:

Renovation and installation of corrected mission-critical and business-essential systems to handle dates from January 1,2000 and beyond.

FY 1999 Target:

By March 31,1999, all maintained application systems that are identified as mission-critical or business-essential will be repaired so they will be able to process dates beyond January 1, 2000.

l l

I nen e

l U.S. Nuesnar Regningery Commission Appendix V FY 1999 Prrformaner Man Applving l'forneanon Technology to NRC's Mission Program Outputs Related to the Information Management Performance Indicator Performance Indicator:

The extent to which the agency has the capability to quickly process, search for, retrieve, distribute, and disseminate documents received and created as part ofits regulatory process.

Output Measure:

Prepare for transition to electronic recordkeeping by developing a comprehensive records disposition schedule needed to gain National Archives and Records Administration (NARA) approval for the new agency document management system as an official electronic recordkeeping system.

FY 1999 Targets:

Send submittal to NARA by January 1999.

Output Measure:

Increased use of electronic media and formats in order to make agency information more easily accessible and useful to agency employees and the public.

FY 1999 Target:

Develop and implement an approach for voluntary electronic submission ofdocuments to the NRC that is flexible (accommodates a large variety ofelectronic formats) and provides for appropriate surety and safeguards (appropriate levels of authentication, verification, and security for various types of document submittals).

Responsible Office: Office of the ChiefInformation Officer.

l Page 81

4 pen &z V U.S. Nneleer Regnintory r==um Applying infernannen Tre!-% to NRC's Missies FY 1999 Prrfernannee Man t

Other IT Program Outputs l

Output Measure:

IT skilllevels of OCIO staff.

FY 1999 Target:

Implement a training and development program for OCIO staff to address skill gaps identified through a skills assessment.

Output Measure:

Number ofNRC senior managers who have been trained to effectively manage information resources in order to realize improved return on agency IT investments.

FY 1999 Target:

By the end of FY 1999, all NRC senior executives will have completed the basic IT training for managers.

I

(

U.S. Neeleer Regulatery Connaksien Appen&x V FY194 Prriernenner Man Apgring 1:ler"~ Tecknalets M NRC's Mission The Public Confidence Goal General Goal:

Provide the public, tho.;e we regulate, and other stakeholders in the national and international community, with clear and accurate information about, and a meaningful role in NRC's regulatory program

+

so that there will be respect for and confidence in that program. (Goal VI)

The PERFORMANCE GOAL for measuring results in FY 1999 toward meeting the general goal is:

l 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 l

VI.A) 1 l

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l 1

reer as

Appendit V U.S. Nnelear[eguintery C==d""

4 plying infornention Treknelegy t, NRC's Mission FY 1999 Perfennance Man Program Outputs for the Public Confidence Performance Goal I

lThefollowing are currentprogram outputs which have a significant bearing on 1

the goal. Additionalprogram outputsfor FY 1999 will be incorporated in the performanceplan after approval ofthepublic communication plan in FY 1998.]

Output Measure:

Documents electronically distributed by Office of Public Affairs (OPA) through the Internet per year.

FY 1999 Target:

1,000 e Output Measure:

Number per year and timeliness of OPA responses to electronic mail, telephone, and facsimile queries.

FY 1999 Target:

400 Electronic mail responses and 10,000 telephone and facsimile responses within 5 working days of receipt of query.

o Output Measure:

Median time to process Freedom ofInformation Act requests.

FY 1999 Target:

30 working-days.

Output Measure:

Response time for queries handled by the NRC Public Document Room FY 1999 Target:

Reach an average response time for written requests of 2.5 working days; and answer 85% of onsite and phone requests by the close of business the following working day.

M* st

ML20217G023

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