ML20217J808

Strategic Plan for Fiscal Year 1997-2002

ML20217J808
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Issue date:	09/30/1997
From:	NRC
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ML20211Q079	List: ML20211Q074 ML20217J808
References
PROC-970930-01, PROC-970930-1, NUDOCS 9710220096
Download: ML20217J808 (37)

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c U.S. Nuclear Regulatory Commission STRATEGIC PLAN l Fiscal Year 1997 - Fiscal Year 2002 September 1997 EoA 88P#s 7J8!

CORRESPONDENCE PDR

U.S. Nuclear Regulatory Commission I

STRATEGIC PLAN Fiscal Year 1997 - Fiscal Year 2002 September 1997

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PRINCIPLES OF GOOD REGULATION INDEPENDENT Nothing but the highest possible standards of ethical performance and profes-sionalism should influence regulation. However, independence does not imply isolation. A!!

available facts and opinions must be sought open!y from licensees and other interested mem-bers of the public. The many and possibly conflicting public interests involved must be consid-cred. Final decisions must be based on objective, unblased assessments of allinformation, and must be documented with reasons explicitly stated.

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

EFFICIENT. The American taxpayer, the rate paying consumer, and licensees are all entitled to ,

the best possible management and administration of regulatory activities. The highest technical and managerial competence is required, and must be a constant agency goal. The NRC must establisti means to evaluate and continually upgrade its regulatory capabilities. Regulatory activities should be consistent with the degree of risk reduction they achieve. Where several effective alternatives are available, the option which minimizes the use of resources should be adopted. Regulatory decisions should be made without undue delay.

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

Agency positions should be readily understood and easily applied.

RELIABl.E. Regulations should be based on the best available knowledge from research and operational experience. Systems interactions, technological uncertainties, and the diversity of licensees and regulatory activities must all be taken into account so that risks are maintained at an acceptably low lcvel. Once established, regulation should be perceived to be reliable and not unjustifiably in a state of transition. Regulatory actions should always be fully consistent with written regulations and should be promptly, fairly, and decisively administered so as to lend stability to the nuclear operational and planning processes. .

U.S. Nuclear Regulatory Commission 1 1 l

i STRATEGIC PLAN Fiscal Year 1997 - Fiscal Year 2002  :

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U.S. .% clear R:stlatory Commisslox Table ej Coctentt Table of Contents Page Menage Fro m t he C hairma n .. .. ...... .... ....... . ....... . ... . . .. .. . . . . . . . . . . . . .. . . . . . . . .. .. . . . . . . .. . . . . . . .. . . . . ., .. . . . . . . . . . . 1 ourMinion...............................................................................................................................2 ourvision.................................................................................................................................2 ouraoais...................................................................................................................................2 St rate gic Are n u . . . . . . . . . . . . . . . . . . . . . . . . .. . . . .. . . . . . . .... . . . . .. .. . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Nuclear Reactor Safety Prevent radiation related deaths or flinesses due to civilian nuclear reactors.............. 4 Nuclear Materials Safety l Prevent radiation related deaths or illnesses due to civ:llan use of source, b and speciaI nuclear materiaIs .... .. .......... ...... ......... ..... ........................ ..............9...... ... . ...yproduct, Nuclear Waste Safety Ensure treatment, storage, and disposal of wastes produced by civilian use of nuclear materialin wtys that do not adversely affect this or future generations.....................13 Common Defes. s and Security and international involvement Prevent the loss or theft of special nuclear materials regulated by the NRC, and support U.S. nationalinterests in the safe use of nuclear materials andin non-proliferation..15 Protecting the Environment Protect the environment in connection with civilian use of source, byproduct, and special nuclear materials through the implementation of the Atomic Energy Act and

. the National Environmental Policy Act ....................................................................... 18 Public Confidence Provide the public, those we regulate, and other stakeholders in the national and intemational community, with clear and accurate information about, and a meaningfulrole in, NRC's regulatoryprogram so that there willbe respect for and con fidence in tha t program .... ....................... ............................. .......................... 20 Excellence Cany out the NRC regulatoryprogram eificiently and etfectively .............................. 22 Appendix..................................................................................................................................23 Links to Other NRC Planning Documents ................................................................... 24 Responsiveness to Audit Reports and Investigative Findin C ross-Cuttin g Fu n ctions .. . ... .. . . . . .. .. . . .. . . . . . . ......................................28 . .. . . .. ... . . . .. . . . . . . .. ... . .. . .g s . . .. .... ..

Congressional and Stalreholder Consultations .......................................................... 31 U pdat i n g Th i s P l a n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

FYl997 2002 Pagei Strategic Plan

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U.S. Nulect Regul.itory Comunissina Alenote From the Chairman i  !

Message From the Chairman Like many organizations, both public and private, the Nuclear Regulatory Commission (NRC) is i fr.cing a rapidly ::haning environment as it prepares to enter the 21st century.

' > hestructuring a ed 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 ws.y that the NRC does its work.

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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 oui Ls mission and achieve the results expected by its primary j customers, the collective interests of 'he American put,lic. The Commission believes that this

, mission must be tne found:. tion for making decisions about what activities the agency should

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perform. lhus, the Commission's programmatic decisions will not be fee driven but will be based on their contributions to public heal'h and safoty.

) This strategic plan establishes a strategic framework that wir. guide future decision making and 4

v.C help the NRC continue to meet its ilsponsibility for protecting public health and safety, promoting the common defense and set urity, and protecting the environment. Meeting these responsibilities requires the collective eft irts of the NRC and its licensees, since the regulatory

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oversight of licensees is the responsibility of the NF C and the safe and secure use of nuclear materials for civilian purposes is the responsibility of NRC licensees. Finally, the development and implementation of the st@egic plan will meet the requirements of the Govemment Perfor-mance and Results Act.

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[ b C Shirley Ann Jackson a Chairman U.S. Nuclear Regulatory Commission l

4 fY JV97 2002 l' age ! Strategic l'lan

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blhdna, Wien. Goah U.S. Ntulear Regulatory Commlulon Our Mission The Atomic Energy Act of 1954, as amended, 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 of byproduct, source, and special nuclear materials to ensure adequate protection of the public health and safety, to prontote the common defense and security, and to protect the environment.

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

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

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

• Prevent radiation-related deaths orillnesses due to civilian nuclear reactors

• Prevent radiation related deaths orillnesses due to civilian use of source, byproduct, and specialnuclearmaterials

• Ensure treatment, storage, and disposal of wastes produced by civilian use of nuclear materialin ways that do not adversely affect this or future generations

• Prevent the loss or theft of special nuclear materials regulated by the NRC, and sup-port U.S. nationalinterests in the safe use of nuclear matarials and in non-proliferation

• Protect the environment in connection with civilian use of source, byproduct, and specialnuclear materials through the implementation of the Atomic Energy Act and the Nati nalEnvironmentalPolicy Act

• Provide the public, those we regulate, and other stakeholders in the national and intemational community, with clear and accurate information about, and a meaningful role in, NRC's regulatory program so that there will be respect for and confidence in thatprogram

• Carry out the NRC regulatory program efficiently and effectively i

Strategic Plan Page 2 FY 1997 2002 l

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, U.S. Nuclear llegsslatory Cosmzissium Straugic Arexas Strategic Arenas i

We have organized our strategies for achieving our vision and general goals into seven strate-gic arenas:

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• Nuclear Reactor Safety i e Nucleer Materials Safety

• Nuclear Waste Safety

• Common Defense and Security and International Involvement

• Protecting the Environment

• Public Confidenco e Excellence For each arena that follows we provide a brief introduction, performance goals for measuring results toward meeting our general goals, major environmental factors, and strategies for ac-  ;

complishing our general goals. The performance goals are the annual outcomes in support of '

the general goals and, as such, link the strategic plan to the FY 1999 performance plan. We will include these performance goals along with measures and targets and major program outputs in the performance plan. We have not identified a need for any significant legislative changes to  !

achieve the goals and strategies included in this strategic plan, and we anticipate no major unique resource requirements. However, as noted in certain substrategies related to reactor 4

and non reactor decommissioning, the NRC is seeking legislation that would eliminate the overlap in standard-setting authority of the NRC and the Environmental Protection Agency (EPA) with regard to Atomic Energy Act sites and materials by recognizing the NRC's and Agreement States' standards in these areas. Our budget will identify the specific resources we need to implement the strategic plan.

Most of the data that we plan to use to measure performance will come from the NRC's abnor-mal occurrences report that the agency provides to Congress on an annual 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 and otherwise imple-ment this strategic plan. Carefully examining our data systems in FY 1998 will help ensure that we can repod accurate and reliable data in FY 1999, tha first year of implementing the perfor-mance plan under the Government Performance and Results Act.

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

f Ty1997 2002 l' age 3 Strategic l'lan

N: clear R acts.15:Jety U.S. Nuclear Regulattwy Commlulon

Nuclear Reactor Safety i

GOAL: Prevent radiation-related deaths or illnesses due to civilian a nuclear reactors l

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

Reactor safety encompesses all NRC efforts to ensure that civilian nuclear reactor facilities are operated in a manner t' tat provides adequate protection of public health and safety. These efforts include reactor icencing, inspection, performance assessment, identification and resclu-tion of safety Issues, reactor regulatory research, regulation development, independent assess-ment of reactor operational events and experience, investigations of alleged wrongdoing by licenseas, applicants, contractors, or vendors, and imposition of enforcement sanctions for -

vlotations of NRC requirements.

Research provides the information, independer,t analytical tools and analyses, and some of the technical expertise for making timely regulator) judgments and anticipating problems of poten- 1 tial safety significance. NRC's research includos both short and long range components. The short range component, confirmatory research, delivers a well-defined product on a predeter-mined schedule to assist the NRC in making its safety decisions. The long-range component, anticipatory research, focuses on issues of potential regulatory and safety significance.

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

> Zero civilian nuclear reactor accidents 8 Maintain low frequency of events which could lead to a severe accident 8

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

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• Nuclear reactor accidents

• is as defined in the NRC Severe Accident Policy statement b.0 FR 32138, August 8,1985), that is, those accidents in which substantial damage is done to the reactor core, whether or not there are serious offsite consequences.

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

Strategic Plan Page .I FYI997 2t>02

U.S. Nucle:r Regulatory Conunission Nuch2r Reactor Safey

> Zero deaths due to radiation or radioa lvity releases from civilian nuclear reactors

• Zero significant radiation exposures due to civilian nuclear reactors 5 Major factors or assumptions affecting our nuclear reactor safety strategy are as follows:

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

Restructuring and reorganization within the electric utility industry and economic deregulation will cause increased economic pressure on the owners and operators of power reactors, potentially impacting the economic and repolatory environment in which the utilities operate.

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

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

The availability of nuclear-energy related research skills and experirnental facilities is expected to decline.

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

Strategy We will ass'ere that

• We will increase the involvement of licensees and licensees discharge their others in our regulatory development process prlinary responsibility consistent with the provisions of the National Technology Transfer and Advancement Act of 1995, for conductin9 We will encourage industry to develop codes, safe operations. standards, and guides that can be endorsect by the NRC and carried out by the industry.

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

• We will regularly assess, oblectively measure, and report on licensees' performe*1ce. We will use this information to identify advarse safety

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

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• Significant radiation 3xposures" are those exposures that meet the NRC criteria for reporting abnormal occurrences to the Congress.

1T1997 2002 l' age 5 htrategic l'lan J%/

Nuclear Reacwr Sqfety U.S. Nutlear Regulatory Commhston trends and to identify early individual plants with declining performance. We willincrease our regulatory attention on those licensees wi'i marginal performance, including halting ooerations, .) erformance falls below an acceptable level, and distributing inspection resources based on licensee performance.

• We will make Ilcensee performance and compliance with our requirements consequential by decreasing the inspection frequency for good performers and ae.sossing penalties to poor performers.

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

• We will insput licensees' operations and activities to help ensure that licensees idei.afy and resolve safety issues before they affect safe plant operations.

• We will review applications from license 6s for amendments to their operating licenses to ensure that ,

operational safety is not compromised.

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• We will maintain and exercise an incident response J_

' capability to ensure that licensees anJ the NRC are prepared to respond to radiological emergencies.

We willincrementally

• We will focus on those regulated activities that pose implement risk-Informed, the greatest risk to the public, building on probabilistic and, where appropriate, risk assessment concepts and other approaches for determining high and low risk activities, performance-based regulatory approacnes

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

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

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

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

Strategic Plan Page 6 1T1997 2002

t!.S. Nuclear Regulatory Comminkm Nuclear Reactor Sqft ty We willposIflon the NRC

• We will encourage ap,nticants, vandors, and uihers to for licensing future inform the NRC at the earliest opportunity of planned future reactor activities, reactors and renewing existing //conses.

• Upon their submission, we will give priority to reviewing applications for license renewals, standard and advanced reactor designs, early site approvals, and new reactor licenses.

We w/// position the NRC

• We will provide clear and stable NRC guidance, for // censing activltles including specific radiological criteria.*

associated with reactor

• We will assure that licensees have adequate funds decommissioning, available for decommissioning by establishing additional financial requirements.

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

We will maintain a

• We will pursue a reactor safety research program that research capablIlty to includes elements of both confirmatory and anticipatory prov/de f/ moly and research to meet current and projected regulatory needs. We will focus the research on those areas in IndePondent technical which operating experience ir.dicates potential bases for NRC problems and areas with the highest safety and regulatory decisions. regulatory significance.

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

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

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

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

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

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& clear Reanor %!rb l'.5. Nuclear Regulatory Commlulon We willlmprove the

• We will develop performance i.v.icators and measures measurement of that provide leading or coricurrent indications of plant performance of nuclear )erf rmance and that identify facilities that warrant nereased NRC attention in a consistent manner.

powerplants to Identifyplants 1 hat

• We will develop improved methods of organizing and warrant helghtened displaying performance information in order to enhance NRC attent/on. the assessment of plant performance and communicate the basis for NRC decisions to the industry and the public.

• We will determine objective criteria and thresholds lor determining NRC action levels and categorization of facilities.

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Strategic Plan Page 8 FYl997 2002

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U.S. Nuclear Regnalatory Commission Nucirar Materiah Sqfety F

Nuclear Materials Safety GOAL: Prevent radiation .related deaths or illnesses due to civilian use of source, byprodud, and special nuclear materials 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.

l Nuclear materials safety encompassee ill NRC efforts to ensure that all NRC-regulated aspects

! of nuclear fuel cycle facilities and nuclear materials activities are handled in a manner that j provides adequate protection of public health and sa'ety. These efforts include licensing,

, inspection, and related regulatory activities for fuel cycle facilities and nuclear materials users, transportation of nuclear materials, and uranium recovery, in June 1997, the Secretary of the Department of Energy (DOE) and the Chairman on behalf of ,

4 the Commission agreed to pursue NRC regulation of DOE nuclear facilities on a pilot program basis. The NRC and DOE believe that a pilot program of simulated regulation,in which regula-l tory concepts are tested, should be conducted before seeking legislation to transfer regulatory responsibility in the NRC. A pilot program to conduct simulated reguiction at three facilities is i

planned in FY 1998, and in FY 1999, additional pilot sites /faciltiies of a different nature will be i added to this program. We expect the pilot project to provide information, including cost infor-

, mation, which will prove useful n Congress in its consideration of legislation for NRC oversight of DOE facilities. If such legislation is enacted, it could require changes to our strategies and -

resource needs.

The nationwide performe9 yds for measuring results toward meeting our nuclear materials safety goal are:

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

• No incrmee in the number of significant radiation exposures due to loss or use l of source, byproduct, and special nuclear materials 8 t S 4

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• An Agreement State is a State that has signed an agreement with the NRC pursuant to Section 274 of the Atomic Energy Act allowing the State to regulate the use of radioactive material, other than use in reactor f acilities, within the Strae. Ohio, Pennsylvania and Oklahoma have expressed interest in becom-

ing Agreement States, which could bring the total to 33 in the period covered by this plan.

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

e "Significant radiation exposures" are those exposures that meet the NRC criteria for reporting e abnormal occurrences to the Conaress. No increase refers to the average number of significant expo-a sures that meet the abnormal occurrence criteria per year for the preceding five-year period, i

TY1997-2002 Page 9 5trategic Plan l

Nucle:r Mrteri Is Safets U.S. Nuclear Regulatory Com.uission No increase in the number of losses of licensed s naterial as reported to Congress annually'

- No accidental criticality involving licensed material

> No increase in the number of misadministration events which cause significant radiation exposures

• Major factors or assumptions affecting our nuclear materials safety strategy are as follows:

• The proportion of nuclear materials licensees regulated by the Agreement States will likely increase.

• Agreement States will continue to pursue a more active role in the regulatory process.

• Controversy will continue over how nuclear materials should be regulated and the roles of Federal and State agencies.

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

Teategy WF willassure that

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

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

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

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

• " Losses of licensed material" are those losses that meet the NRC criteria for reporting abnormal occurrences to the Congress. No increase refers to the average number of losses of licensed material that meet the abnormal occurrence criteria per year for the preceding five-year period.

• " Misadministration events" include events that cause radiation exposures at or abovo the level hr reporting abnormal occurrences to the Congress. No increase refers to the average number of misadministration events that meet the abnormal occurrence criteria per year for the preceding five-year period.

Strategic Plan Page10 FYl997 2002

U.S. NOclear Regulatory Commisshm Nuclear Materials Sqfets

• We will make licensee performance and compliance with requirements consequential by decreasing the inspection frequency for good performers and assessing penalties to poor performers.

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

We w!!! regulate mater /a/

• We will use risk analysis concepts and other uses consistent with the approaches to determine the relative risks of the regulated activities in the nuclear materials area, level of risk Involved by decreasing oversight of

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

continuing emphasis on

• We will reengineer our licensing processes, tailoring high-risk activltles, them to reflect the relative hazards of licensed activities.

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

We will work with the

• We will provide for early and substantive involvement Agreement States to of the Agreement States in rulemaking and regulatory pr cesses, including consideration of risk-informed, assure consistent performance-based regulation or a risk informed, less protection of public prescriptive approach.

health and safety nationwide.

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

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

We willposition the NRC to

• We will identify and resolve significant legal, perform regulatory procedural, and technicalissues before accepting versight responsibilities of DOE nuclear facilities.

oversight for certain DOE nuclear facilities.

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

FY1997-2002 Page 11 Strategic Plan

Nurber Materials Safety U.S. Ntoclear Regulatory Commission We willmaintain a * .We will pursue a materials safety research program that research capability includes elements of both confirmatory and anticipatory research to meet current and projected regulatory to prov/de timely and needs. We will focus the research on those areas in independent technical which experience indicates potential problems and bases for NRC regulatory areas with the highest safety and regulatory significance, decisions.

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U.S. Nuclear Regulatory Commission - Nuclear Waste Sqfety

! Nuclear Waste Safety i

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

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

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

The Nuclear Waste Policy Act specifies a detailed approach for the long-range undertaking of i

high level waste disposal, with DOE having operational responsibility and the NRC having regulatory responsibility. The Nuclear Waste Policy Amendments Act directs DOE to charactor-l ize only one candidate site, the Yucca Mountain site in the State of Nevada. Likewise, NRC's

( activities are focused on Yucca Mountain.

The Low-Level Radioactive Waste Policy Act of 1980, amended in 1985, made States respon-

sible for providing for the disposal of commercial low-level waste generated within their borders.

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

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

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> No significant accidental releases of radioactive material from storage and transportation of high-level waste (including spent fuel) or low-level waste" 1

> Establish the regulatory framework for high-level waste disposal, consistent I with current national policy, as required by law after the legislatively-required 4 standard is issued'8

! > No offsite release of radioactivity beyond regulatory limits from low-level waste

disposal sites i

1 4 " "Significant accidental releases of radioactive materiar are those releases that meet the NRC criteria for reporting abnormal occurrences to the Congress.

! '2 The " regulatory framework"is 10 CFR Part 60. Conforming 10 CFR Part 60 to the legislativet, 1 required standard is the measure to meet this goal.

i FYl997 2002 Page13 Strategic Plan

Nucle:r %ste Sqfety l!.S. Nuclear Regulatory Commission Major factors or assumptions affecting our nuclear waste strategy are as follows:

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

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

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

Strategy )

We w/// adv/se DOE and

• We will participate in the development of a practical prepare to // cense a and implementable high-level waste radiation safety high-level waste standard. We will implement the standard through site-spe ifi , perf rman e based regulation.

repository at a pace cons / stent with the

• We will focus on resolving the key technical issues that nationalprogram. are most important to the performance of a t.igh-level waste repository to provide early feedback to DOE on potentially significant site, design, or assessment flaws as they are identified during the site suitability study, and prior to DOE's viability assessment of Yucca Mountain.

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

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

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

Strategic Plan - Page14 FY1997-20tI2

U.S. Nuclacr Regulatory Commissium Conumm hefense and Security and Internationallin olvement i

Common Defense and Security _and International involvement 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

The NRC performs intemational activities, some of which support the agency's domestic mis-

! sion and many of which support broader U.S. nationalinterests. These activities include inter-national policy and priority formulation, export import licensing for nuclear materials and

, equipment, treaty implementation, intemational information exchange activities, and intema-i tional safety and safeguards assistance. Our domestic safeguards responsibility involves the control of and accounting for nuclear materials, the protection of nuclear materials to prevent theft or diversion, and contingency plans for responding to threatening situations. The primary

foundation for these activities include the Atomic Energy Act of 1954, as amended, the Energy j Reorganization Act of 1974, as amended, the Nuclear Non Proliferation Act of 1978, executive i orders, and treaties and conventions.

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The performance goals for measuring results toward meeting our common defense and security and intemational involvement goal are:

> Zero loss or theft of special nuclear materials regulated by the NRCu No substantiated case of attempted theft or diversion of formula quantities

• of strategic special nuclear material 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 nuclear material

> Strengthen international nuclear safety and safeguards by participating in internationr;l safety and safeguards exchange activities, by providing assistance through international agreements, and by supporting U.S.

non-proliferation interests A major factor or assumption affecting our common defense and security strategy is:

• Increased energy needs and their attendant planning for growth in nuclear power abroad are expected to lead to increased requests for assistance from the NRC, particularly from the Pacific Rim countries that are embarking on, or considering, new or expanded nuclear power programs.

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

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

FYLV97-2002 Page15 Strategic Plan

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. Ccmmon Defense and Security and internationalinvohement . U.S. Nuclear Regulatory Commission l

i Strategy We w///prov/de

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

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

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

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

nationalinterests.

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

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

We willassure that

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

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

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

Strategic Plan Page 16 FYl997 2tita

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I U.S. Nuclear Regulatory Conunission Commun Defense and Security and Internationalinvolvement l

We willassIst in curbing

• We will license the export and import of nuclear the proliferation of the materials to ensure that U.S. non-proliferation interests I capability to produce are protected as contemplated by the Nuclear 1- Nonproliferation Act.

nuclear explosives.

• We will support international safeguards and physical 4

security by working to strengthen the intemational l Atomic Energy Agency's safeguards systems and

participating in bilateral exchanges on physical security j approaches and practices.

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1 FY1997 2002 Page 17 Strategic Plan 1

Protecti1g the Environment l!.S. Nuclear Regsdatory Commission Protecting the Environment GOAL: Protect tha environment in connection with civilian use of source, byproduct, and special nuclear materials through the implementation of the Atomic Energy Act and the National Environmental Policy Act The NRC recognizes a continuing obligation to conduct its civilian licensing and related regula-tory functions in a manner that is both responsive to environmental concerns and consistent with the Commission's responsibility as an independent regulatory agency for protecting the radiological health and safety of the public. The Atomic Energy Act of 1954, as amended, and the NaNonal Environmental Policy Act and other environmental legislation provide the statutory authorky 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 environmentalimpacts of such activities are assessed consistent with the requirements of the National Environmental Policy Act (NEPA) as implemented by applicable NRC regulations. Under NRC regulations, decommissioning involves safely removing a facility from service and reducing resloual radioactivity to a level that generally permits the property to j be released for unrestricted use. This action is taken by a licensee before termination of the license. In some cases, nonlicensed facilities may also be required to reduce or stabilize con-tamination before sites are released.

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

> Zero offsite releases from operating facilities of radioactive material that have the potential to cause adverse impact on the environment" No increase in the number of offsite releases from operating facilities of radioactive material that exceed 10 CFR Part 20 limits

> Environmental impacts have been identified through the NEPA process before regulatory netion is taken ,

> No sites will be released until satisfactorily remediated in accordance with NRC release criteria A major factor or assumption affecting our strategy for protecting the environment is as follows:

• Changes in Federal environmental laws may occur. s

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

Strategic Plan Page 18 FY1997 2002

U.S. Nucl:ar Rettatatory Commission Protecting the Environment Strategy We wil!/mprove the

• We will provide clear and stable NRC guidance, process by which licensees including specific radiological criteria, for successfully complete decommissioning sites.*

decommissioning of non-

• We w Il assure that licensees have adequate funds reactor sites, available for decommissioning and maintaining financial requirements.

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

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

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

We willassure that

• During initial licensing and any other major NRC action licensees protect the that could significantly affect the quality of the onviron-environment during ment, we will consider the environmental effects and alternatives associated with such major NRC actions.

operations.

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

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

- PY1997 2002 Page 19 Strategic Plan

Fuhlic Cordidence U.S. Nuclear Regulatory Comminion Public Confidence l

GOAL

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

The performance goal for measuring results toward meeting our public confidence 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 Major factors or assumptions affecting our public confidence strategy are as follows:

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

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

The public's assessment of the NRC's performance will continue to be closely tied to the performance of the reguk_..; industry.

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

Strategy We will objectively

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

efforts are enabling the '

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

Strategic Plan Page 20 FY1997-2002

U.S Nuclear Regulatory Commissian PuMic Confidence We willidentify regulatory

• For each of the various types of issues, we will deelslons or issues that develop a specific approach for responding to public interests and concerns, ensuring that our approaches are likelF to 9enerate to public interaction employ open processes that substantialpublic provide opportunities for meaningful participation, interest or concern at candid communication, and exchange of views among an early stage, and the participants.

employ appropriate

• We will ensure that the approaches developed are mefhods to inform and consistently practiced agency wide by using involve the publ/c. centralized planning and coordination, and decentralized implementation, primarily by the program offices and regions.

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

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

We willreexamine ex/ sting

• We will capitalize on information technology for modes and explore new improving information access, information distribution, and public interaction, being careful not to clirninate modes of commun/ cation paper in favor of electronic communicat,on without full

. , i to make information consideration of the public's ability to access dissemination and public information electronically.

Interaction more effective and efficient.

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

FY1997-2002 Page 21 herategic Plan

&cellence U.S. Nuclear Regulatory Commission Excellence GOAL: Carry out the NRC regulatory program efficiently and effectively Striving for regulatory excellence in all NRC functions is both desirable and necessary to maintain an effective and efficient regulatory framework in today's changing environment. The NRC can improve its intemal performance by ensur;ng that its people and processes function with a goal of excellence. As used in this context excellence includes both regulatory effectiveness and effi-ciency, and applies to all NRC functions. Regulatory effectiveness denotes a regulatory frame-work for ensuring public health and safety that is clear, coherent, logical, consisterit, reliable and technically sound. Efficiency connotes a regulatory fiamework that is cost enective for both the NRC and its licensees. As stated in the NRC's " Principles of Good Regulation," the American taxpayer, the rate-paying consumer, and licensees are all entitled to the best possible manage-ment and administration of regulatery activities. Where several effective altomatives are available, the option that minimizes the use of resources should be adopted.

The performance goals for measuring results toward meeting our excellence goal are:

> Implement the agency's plan for regulatory excellence

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

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

Strategy We willmeke regulatory

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

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

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

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

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

Strater;ic Plan Page 22 hTl997-2001 '

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l APPENDlX

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, Appendit Unks to Oth:r A RC Planning Documents U.S. Nutlear Regulat<uy Comminion \

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

4 Commission Decisions on Direction-Setting issue Papers The NRC's Strategic Plan is a product of a broader strategic assessment and rebaselining initiative. The first two phases of that four phase initiative resulted in the creation of a series of Direction-Setting issue papers. These issue papers and the associated Commission decisions form the foundation for this strategic plan. The Commission decisions were made after obtain-4 ing stakeholder comments as part of Phase 11.

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

The performance plans will delineate objective, quantifiable, and measurable performance goals

to be achieved in a given fiscal year in furtherance of the general goals contained in the strate-l gic plan, Each annual performance plan will also include performance indicators to be used in measuring or assessing the relevant outputs, service levels, and outcomes related to the perfor-mance goals. We expect to measure our progress by using a combination of output and out-

] come performance goals.

NRC support functions are not included in this strategic plan, but they are included in the NRC's FY 1999 performance plan, which complements the strategic plan. Plans, goals, and perfor-

mance measures for key issues such as Year 2000 and the information security program are contained in the FY 1999 performance plan. Furthermore, the performance plan now includes a description of how the NRC intends to plan for and use information technology to support the agency's mission.

Performance Report Within six months after the close of each fiscal year, the NRC will submit to the President and the Congress a report on program performance for the fiscal year tha! has just closed. This j performance report will review the success of the agency in achieving the performance goals established for the fiscal year being reported upon. Where those goals have been achieved, the underlying assumptions and strategies will be examined to ensure that continued application is warranted in the future. If any of the performance goals are not met, the agency will conduct a thorough analysis of why it did not meet the goal and the actions 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 perfor-mance goal is impractical or infeasible, the performance report will document why that is the caso and what action is recommended.

Strategic Plan Page 24 FY 1997-2tHC

Appendix U.S Nuclear Regulatory Commisslan IJoks to Other NRC Planning Doceancats l

Annual Budget Request to OMB and the Congress Each year, the NRC submits a budget request to OMB, which is part of the President's budget to the Congress. The budget will specify the programs, activities, milestones, and resources necessary to implement the strategic obn and the performance plan.

Program Evaluations The major program evaluation that supported the development of this strategic plan is the Strategic Assessment and Rebaselining initiative. In Phase I of that initiative, the NRC as-sessed where the agency is today by examining current NRC functions and activities, including their bases (e.g., statute, regulation, Commission guidance). After analyzing this information, the NRC identified Direction-Setting issues (DSis) whose resolution will influence the strategic direction of the agency. In Phase ll, the NRC evaluated the DSis and developed and evaluated a range of options to address the DSis. These evaluations resulted in a series of issue papers which were provided to our stakeholders for comment. The comments received were reviewed by the Commission in its review of the DS!s and associated issue papers. The Commission decisions on the issue papers form the basis for this strategic plar in addition, the following key evaluations were considered in the dr ; ament of this strategic plan.

• NUREG CR-6330,"Results of Regulatory Impact Survey of Industrial and Medical Nuclear Materials Licensees of the Office of NMSS," 1995.

• NUREG-1444, Supplement 1," Site Decommissioning Management Plan," 1995, containing a management review of SDMP.

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

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

• SECY-95-163, *lmprovements to the Power Reactor Inspection Program and imple-mentation of the Integrated Performance Assessment Process," June 21,1995.

• Millstone Lessons Learned Task Group Report, September 1996.

We will use the new NRC organization that was established in December 1996. Top manage-ment of the agency has been realigned based on a recognized need for increased program oversight and assessment of regulatory effectiveness. One of the features of the realignment is the establishment of a Deputy Executive Director for Regulatory Effectiveness to provide a high-level program evaluation focal point, independent of the line organizations that have responsibil-ity for the day to-day operation of regulatory programs. The grouping of offices for the regulatory effectiveness organization was designed to facilitate improvement of program evalua-tion. Regulatory effectiveness findings will focus emphasis on improving NRC's regulatory performance. To the extent practical, these evaluations will be performance-based, will involve an objective means of assessment, and will be risk-informed.

F)*1997 2fx12 Page 25 5tnurgic Plan

Appendix Links to othar NRC Vian. sing Documents U.S. Nuclear Regulatary Commission Communication of Goals and Objectives Throughout the Agency and Accountability for Results Goals and objectives will be communicated throughout the agency through a process in which each NRC office would develop a multi year operating plan with clear linkages to performance goals and measures, The organizations will link the goals and performance measures for each organizational level to successive levels and ultimately to the organization's strategic goals.

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

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

The scope of this assessment would vary considerably amor g programs and would be based on criteria associated with such factors as program size aPJ responsibilities, interim perfor-mance, and the significance of internal and external environmental changes. These areas of assessment reflect a focus on three attributes: (1) how well strategic plan, performance plan, and operating plan goals were met, (2) whether program performance met management expec-tations regarding regulatory excellence, and (3) how well-positioned the program is to meet the strategic and performance goals of the agency in the year to come. Where performance goals have been achieved, the designated program manager would be responsible for examining the underlying assumptions and strategies to ensure that continued application is warranted in the future. Where performance goals were not met, the program manager would be respcasible for determining why they were not met and for formulating actions deemed necessary to meet the goals in the future.

Strategic Plan Page 26 FY 1997 2002

'prendix U.S. Nue!eur kegadatory Conunission Raponsivenns ta n udit Reports and investigati, e Findiagt Responsiveness to Audit Reports and Investigative Findings The NRC has no high-risk areas designated by the GAO as being particularly vulnerable to fraud, waste, abuse, and mismanagement. The strategies adopted in our strategic plan are aimed at correcting previously identified problems and findings in intemal and external audit and I

investigative reports, such as the NRC Office of Inspector General (OlG) reports and the GAO reports, considering corrective actions that have already been taken or are underway. For example, in response to s GAO audit report, "Prever, ting Problem Plants Requires More Effec-tive NRC Action," we provided improvement initiatives that will enhance our plant performance mcasurement capability. These included: (1) clarification of the information in the Final Safety Analysis Report (FSAR), (2) clarification of project manager responsibilities and training require-ments, (3) initiation of a pilot program to manage licensee commitments, and (4) enhance-ments to the Senior Management Meeting process. These actions are consistent with our

, strategy to " improve the measurement of performance of nuclear power plants to identify plants that warrant heightened NRC attention." To implement this strategy, we are undertaking an initiative that will result in an integrated assessment of operating plant performance.

, in addition, in response to events at the Millstone and Maine Yankee nuclear power plants, the

, NRC conducted several special inspections and lessons-leamed reviews. While the inspections

, and reviews have formed the bases for a number of corrective actions that respond to OlG reviews of these facilities, they have also suggested the need for changes to certain agency rules and processes goveming licensing bases information. Specifically, these include the rules that regulate plant and procedure changes that may be made by licensees without prior NRC approval, control of plant design bases information, and update of information contained in FSARs. These topics are interrelated and are being evaluated in an integrated way to ensure that an effective and efficient course of action is taken in addressing regulatory changes.

i FY I997-2002 Page 27 Strategic &n

Appeadh Cron-Caming} unctions U.S. Nutteer Regulatory Commission Cross-Cutting Functions We consulted with other government agencies that have major cross-cutting goals and objec-

, tives with the NRC-the Department of Energy (DOE), the Environmental Protection Agency (EPA), and the Federal Emergency Management Agency (FEMA). We identified no inconsis-tent or duplicative areas in our respective strategic plans, but we are continuing to be alert to 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 below. In most instances, we have, or we are developing, memoranda of understanding or other agreements ,

with these agencies that ensure that cross-cutting functions are treated in a consistent, coordi-nated, and complementary way that avoids unnecessary duplicution or conflict.

The NRC and DOE share responsibility for high level waste (HLW) disposal. As specified in the Nuclear Waste Policy Act of 1982, as amended (NWPA), DOE designs and builds the HLW repository and NRC licenses the construction and operation of the facility. Our strategy is to advise DOE and prepara to license a high-level waste repository at a pace consistent with the national program. The NRC and DOE have an agreement that outlines the procedures for staff consultation and exchange of information which the NRC staff and DOE and its designated contractors will observe in connection with the characterization of the geologic repository. This procedural agreement is currently being updated to incorporate changes to the HLW program since 1993.  ;

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

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

sites for long-term care. The NRC and DOE have a memorsndum of understanding (MOU) to minimize or eliminate unnecessary duplication of effort between the two agencies.

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

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

Strategic Plan Page 28 E Y 1997-2002 l l

Appen.'ix U.S Nucleur ReguMo,y Conunission Cross Cutting Functions FEMA has lead responsibility for offsite nuclear power plant emergency planning and response.

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

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

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

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

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

The NRC and the Food and Jrug Administration (FDA) have an MOU that outlines procedures for sharing information of mutual interest relating to the approval of medical devices incorporat-ing byproduct materials, radiopharmaceuticals, and radioactively labeled biologic materials. The NRC routinely relies on prior FDA approval of medical devices as an essential component of the NRC's sealed source and device safety ' valuations. The MOU also establishes procedures for notification, sharing of information, and ordination of joint inspections of events related to design and manufacturing defects and failures of theso devices or of radiopharmaceuticals.

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

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

Appendix Cross Cuning Functions li.S. .Vuclear Regulatory Comminion licenses for nuclear materials and equipment, including reactors. Other agencies issue licenses  ;

or authorizations in related areas, including the following: DOE for nuclear technology exports and for retransfers or changes in form or content of previously exported nuclear materials and equipment; State for munitions made with depleted uranium; and Commerce for nuclear reactor balance-of-plant equipment and " dual use" commodities. Each agency is obliged to consult with the others (and ACDA and sometimes DOD) for significant cases.

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Appendix U.S. Nuciter Regulatory Comrxisstaa Congressionaland Stakeholder Comsultations Congressional and Stakeholder Consultations

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Consistent with GPRA, we assessed the functions the NRC performs and the external and intemal factors that affect the NRC's mission. Through this strategic assessment and rebaselining initiative, policy issues were identified and evaluated in a series of issue papers which were considered by the Commission. These issue papers and the Commission's prelimi-l nary views for responding to the issues were provided to our stakeholders for comment through a variety of communication mechanisms, including the Federal Register, the Intemet, the NRC's Public Document Roorn, and an agency announcement to all NRC employees.

We conducted three 2-day stakeholder conferences to give the public an opportunity to meet agency representatives and comment orally on tne issue papers. An announcement of these conferences were sent to approximately 1,600 stakeholders, such as the nuclear industry, environmenta: groups, professional societies, citizen groups, and govemment associations.

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

On July 1,1997, we provided a consultation draft strategic plan to our Congressional oversight and appropriations subcommittees, the House Committee on Govemment Reform and Over-sight, and the Senate Committee on Govemmental Affairs Subsequently, we consulted with staff of our oversight and appropriations subcommittees and modified our strategic plan to reflect the results of these consultations.

FYl997-2002 Page 31 Strategic Plan

i Appemdix Updating this Plan U.S. Nuciaar Regulatory Commission Updating This Plan This strategic plan establisnes the framework that will guide future NRC decision mrking. An updated and revised strategic plan is required by the Government Performance and Results Act every three years, Since this plan is a living document, we will review it annually and revise it as appropriate. The annual review will be conducted in the Fall under the purview of the NRC's -

Executive Council. The results of that review will be presented to the Commission along with any proposed changes to the goals, ob,tectives, strategies, underlying assumptions, or other i

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

Details of this process will be contained in NRC Management Directive 4.7 after the agency

, completes the first cycle of developing the strategic plan, the FY 1999 performance plan, and the FY 1999 budget.

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

Strategic Plan Page32 FY 1997-2001

THE NRC'S SAFETY PHILOSOPHY In the Atomic Energy Act of 1954, Congress authorized the civilian use of nuclear energy sub-ject to regulation by the Commission. The principal terms of this regulatory mandate

• protect health and safety,'

• assure the common defense and security,"" minimize danger to life or property," and " provide adequate protection"-- are not defined in the Act, nor are they self-

) explanatory, Since 1954, therefore, the Commission has been engaged in a continuing process of interpreting and applying these terms in such a way as to give effect to the Congressional intent. This process has taken place with Congressional oversight as well as judicial review of specific NRC actions. The result has been the creation of a body of regulations, decisions, and practices through which the Commission's safety and safeguards philosophy is expressed. This philosophy comorises several closely interrelated elements: defense in depth, licensee respon-sibility, safety culture, regulatory effectiveness, and accountability to the public.

DEFENSE IN DEPTH ensures that successive measures are incorporated into the design and

'; operating procedures for nuclear installations to compensate for potential failures in protection or safety measures, wherever failures could lead to serious public health and safety or national security consequences. Protection and saiety must be ensured by sound management and engineering, quality assurance, training and qualification of personnel, comprehensive assess-j ments Meluding the effect of human performance on safety and safeguards, afbotion to lessons learned from operating experience and recearch, and procedures for mitigatira accidents and protecting the public should multiple system failures or malevolent activities nevertheless occur.

t LICENSEE RESPONSIBILITY embodin the principle that, although the NRC is responsible for l developing and enforcing the standards govering the use of nuclear installations and materials, it is the licensee who bears the primary responsibility for conducting those activities safely. The NRC's role is not to monitor all licensee activities but to oversee and audit them. This allows the

) agency to focus its inspection, licensing, and other activities on those areas where the need, and the likely safety and safeguards benefit, is greatest.

SAFETY CULTURE recognizes each licensce's responsibility to establish and naintain a set of j

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attitudes that ensure safety issues get the attention they warrant. A safety ch a encourages a questioning and leaming attitude toward protection and safety and discourages complacency. It reflects an understanding that safety and protection are permanently the highest priority; that problems must be identified and addressed promptly and appropriately; that individuals at all levels must know their responsibilities and have suitable training; and that, within the organiza-

{ tion, effective communication on protection and safety must be ensured.

REGULATORY EFFECTIVENESS emphasizes the approach that, because safety is paramount in the Commission's regulatory program, certain standards and practices to ensure adequate protection will be required, whatever the cost. Over and above that baseline, additional safety upgrades will be required only if their benefits justify the added cost. In implementing its pro-i gram, moreover, the NRC is conscious of the need to foster efficiency, so that a given level of

safety and safeguards can be achieved through the most cost-effective means. NRC's require-

ments and regulatory approaches must reflect state-of-the-art information, taking into account accumulated operating experience, technological developments, and progress in research.

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

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