NUREG-1614, Dfc, Vol. 8, Strategic Plan: Fiscal Years 2022-2026

NUREG-1614, Dfc, Vol. 8, Strategic Plan: Fiscal Years 2022-2026

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Issue date:	09/30/2021
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NUREG-1614, V08 DFC
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NUREG-1614 Volume 8

Strategic Plan

Fiscal Years 2022-2026

DraftReport for Comment

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NUREG-1614 Volume 8

Strategic Plan

Fiscal Year s 2022-2026

Draft Report for C omment

Manuscript C ompleted: September 2021 Date Published: September 2021

Prepared by M. Meyer C. Roque-C ruz

Office of the Executive Director for Operations COMMENTS ON DRAFT REPORT

Any interested party may submit comments on this report for consideration by the NRC staff.

Comments may be accompanied by additional relevant information or supporting data. Please specify the report number NUREG-1614 in your comments, and send them by the end of the comment period specified in the Federal Register notice announcing the availability of this report.

Addresses: You may submit comments by any one of the following methods. Please include Docket ID NRC-2020- 0194 in the subject line of your comments. Comments submitted in writing or in electronic form will be posted on the NRC website and on the Federal rulemaking website http://www.regulations.gov.

Federal Rulemaking Website: Go to http://www.regulations.gov and search for documents filed under Docket ID NRC -2020- 0194.

Mail comments to: Office of Administration, Mail Stop: TWFN-7-A60M, U.S. Nuclear Regulatory Commission, Washington, DC 20555- 0001, ATTN: Division of Resource Management and Analysis Staff.

For any questions about the material in this report, please contact: Carla P. Roque-Cruz, Executive Technical Assistant, Tel. 301-415-1455 or by e-mail at Carla.Roque-Cruz@nrc.gov.

Please be aware that any comments that you submit to the NRC will be considered a public record and entered into the Agencywide Documents Access and Management System (ADAMS). Do not provide information you would not want to be publicly available.

1 ABSTRACT

2 The U.S. Nuclear Regulatory Commission (NRC or agency) is an independent agency 3 established by the Energy Reorganization Act of 1974 that began operations in 1975 as a 4 successor to the Atomic Energy Commission. The NRCs mission is to license and regulate the 5 Nations civilian use of radioactive materials; to provide reasonable assurance of adequate 6 protection of public health and safety ; to promote the common defense and security; and to 7 protect the environment. This strategic plan, covering the period Fiscal Years 2022-2026, 8 provides the blueprint for the agency to plan, implement and monitor the work needed to 9 achieve its three strategic goals: (1) ensure the safe and secure use of radioactive materials, 10 (2) continue to foster a healthy organization, and (3) inspire stakeholder confidence in the NRC.

11 The strategic plan also provides an overview of the NRCs responsibilities and lays out how the 12 NRC uses data and evidence to inform decisionmaking to accomplish objectives and strategies 13 to achieve the agencys strategic goals.

iii

1 2 TABLE OF CONTENTS 3

4 ABSTRACT....................................... iii

5 INTRODUCTION................................................................................................1........................

6 About the NRC............................................................................................................ 1 7 Using Evidence and Evaluation for Strategic Planning............................................... 2 8 Stakeholder Engagement........................................................................................... 2 9 Organization of the Plan............................................................................................. 3

10 FISCAL YEARS 2022-2026 FULL DRAFT STRATEGIC PLAN.................................................5 11 Mission........................................................................................................................ 5 12 Vision............ 5 13 Strategic Goals, Objectives and Strategies................................................................. 5 14 APPENDIX A - KEY EXTERNAL FACTORS............................................................................ 15

15 APPENDIX B - GLOSSARY.....................................................................................................1 9

v

1 INTRODUCTION 2

3 About the NRC 4 The U.S. Nuclear Regulatory Commission (NRC or agency), created by the Energy 5 Reorganization Act of 1974, began operations in 1975. The NRCs mission is to license and 6 regulate the Nations civilian use of radioactive materials; to provide reasonable assurance of 7 adequate protection of public health and safety; to promote the common defense and security 8 and to protect the environment.

9 The NRC is headed by five Commissioners appointed by the President of the United States, 10 and confirmed by the U.S. Senate, to serve staggered 5-year terms. The President designates 11 one of the Commissioners to serve as Chairman. The Commission as a whole formulates 12 policies and regulations governing the safety and security of nuclear facilities and radioactive 13 materials, issues orders to licensees, and adjudicates legal matters brought before it.

14 The NRCs overall responsibility is to protect public health and safety in the civilian uses of 15 radioactive materials. It has the following main regulatory functions:

16

• Establish standards and regulations.

17

• Issue licenses, certificates, and permits.

18

• Ensure compliance with established standards and regulations.

19

• Issue adjudicatory decisions.

20

• Conduct research and risk and performance assessments to support regulatory 21 decisions.

22 23 The NRC carries out these regulatory functions to regulate nuclear power plants, fuel cycle 24 facilities, and other civilian uses of radioactive materials, such as nuclear medicine programs at 25 hospitals and academic activities at educational and research institutions. The NRC also uses 26 these functions to regulate such industrial applications as gauges, irradiators, and other devices 27 that contain radioactive material. The NRC also licenses the import and export of radioactive 28 materials and works closely with its international counterparts to enhance global nuclear safety 29 and security.

30 31 In the course of its regulatory activities, the NRC complies with F ederal laws and mandates, 32 including the National Environmental Policy Act and other environmental laws that require the 33 NRC to assess the environmental impacts of proposed NRC licensing and regulatory activities.

34 Specific areas the NRC staff considers include potential human health and socioeconomic 35 impacts; potential impacts to endangered species, air quality, water quality, environmental 36 justice, historic properties; and Tribal cultural resources. As part of the agencys licensing 37 activities, rulemaking, or policy development, the NRC consults with Tribes and interacts with 38 Tribal governments as required by the National Historic Preservation Act and consistent with the 39 Commissions Tribal Policy Statement.

40 41 The NRCs regulatory activities have also been impacted in recent years by regulatory reform 42 and licensing modernization required by the Nuclear Energy Innovation and Modernization Act 43 (NEIMA) (Public Law 115-439) and the Nuclear Energy Innovation Capabilities Act (NEICA) 44 (Public Law 115-248). Among other things, NEIMA mandates that the NRC develop strategies

1 1 for the licensing of commercial advanced nuclear reactors within its existing regulatory 2 framework, and to complete a technology-inclusive rulemaking by the end of 2027 for the 3 licensing of such reactors. NEICA directs the NRC to engage in cooperation with the 4 Department of Energy to ensur e that the NRC has sufficient technical expertise to assist in the 5 evaluation of applications for licenses, permits, and design certifications and other requests for 6 regulatory approval for advanced nuclear reactors. Both of these laws are intended to ensure 7 that the NRC has the capacity and capabilities to license the new and innovative technologies of 8 the 21st century.

9 10 Using Evidence and Evaluation for Strategic Planning 11 The Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act) became 12 law on January 14, 2019 (Public Law 115-435), and is intended to enhance evidence-13 building activities, make data more accessible, and strengthen privacy protections for those 14 who participate in statistical research throughout the Federal Government. The Evidence 15 Act formalized requirements for agencies to utilize evidence, evaluation, and data as a planning 16 tool for policy and decisionmaking. The Evidence Act also requires agencies to develop an 17 evidence-building plan 1 and a capacity assessment 2 to support agency strategic planning.

18 19 The NRC is an evidence-based organization, with a culture of continuous learning and 20 improvement. Historically, the NRC has relied on high-quality data and evidence obtained from 21 external entities or obtained through its own capacity. The NRC strategically plans for 22 information and data gathering used to generate the evidence needed for decisionmaking. The 23 agency uses evidence-building activities (e.g., analysis, research ) to support licensing new or 24 novel nuclear technologies, including advanced, non-light water reactor designs; accident 25 tolerant nuclear fuel; and digital instrumentation and controls. Evidence-building is used to 26 inform agency activities and actions, such as licensing, oversight, budgeting, human capital 27 management, program improvement, accountability, management, rulemaking, guidance 28 development, and policy development. This emphasis on evidence is meant to support 29 innovation, improvement, and learning. Additionally, the NRC has increasingly sought to rely on 30 evidence-based metrics to improve internal agency performance including budgeting and 31 financial management. This approach has strengthened the agencys oversight of existing uses 32 of nuclear technology, enhanced the agencys readiness to license and regulate new and novel 33 nuclear technologies, and improved the NRCs internal processes.

34 35 The NRC will continue enhancing its efforts to assess performance and routinely evaluate 36 strategies against the projected and actual outcomes. The NRC is committed to increasing its 37 capability and capacity to build and use evidence to better inform future decisions and actively 38 promoting a strong culture of achieving results through reliance on data, analysis, evidence-39 building, and evaluations.

40 41 Stakeholder Engagement 42 The NRC considers stakeholder engagement and transparency in its activities to be 43 cornerstones for effective regulation. Conducting business in a transparent, open, independent 44 manner that supports high-quality and well-informed decisionmaking builds stakeholder 45 confidence and fosters engagement. The NRC recognizes the value of public engagement and

1 The NRCs Evidence-Building Plan can be found at https://www.nrc.gov/about-nrc/plans-performance/evidence -

building-and-evaluation/learning-agenda.html.

2 The NRCs Capacity Assessment can be found at https://www.nrc.gov/about-nrc/plans -performance/evidence-building-and-evaluation/capacity-assessment.html.

2 1 provides multiple ways that members of the public can be informed of and participate in the 2 agencys regulatory activities. For instance, the agency publishes and provides information to 3 stakeholders through its Web site (www.nrc.gov); operates the agencys Public Document 4 Room at its headquarters in Rockville, MD; and holds public meetings virtually and in-person 5 throughout the country.

6 7 The NRC conducted a wide range of outreach activities to solicit input and engage stakeholders 8 to develop this strategic plan. During the months of August and September 2020 the NRC:

9 10

• interviewed and surveyed NRC senior leadership, 11

• conducted a public meeting with representatives of various stakeholder groups 12 (including licensees, public interest groups, State governments, Federal agencies, 13 congressional staff, the general public, and NRC staff), and 14

• issued Federal Register notices to gain feedback on the agencys strengths and 15 weaknesses; use of data; evidence and evaluation; and external key factors that may 16 impact the NRC during the upcoming planning period.

17 18 In June 2021, the NRC hosted a second public meeting to receive feedback on the high-level 19 draft strategic plan for Fiscal Y ears (FYs) 2022-2026 and the annotated outline of the evidence-20 building plan. The feedback the NRC received highlighted opportunities and identified potential 21 challenges. This strategic plan reflects consideration of stakeholder feedback and provides a 22 path forward for addressing these opportunities and challenges to accomplish the agencys 23 strategic goals.

24 25 Organization of the Plan 26 This strategic plan presents the NRCs mission, vision, as well as three strategic goals the 27 agency is working to achieve. Each strategic goal has supporting objectives and strategies that 28 reflect the outcome the agency is trying to achieve and the NRCs role in achieving it. The 29 goals, objectives, and strategies are supported by evidence, as well as contributing programs 30 and activities. Strategic objectives also form the basis for a set of performance goals and 31 indicators established to help the agency monitor and understand progress. Figure 1 provides 32 an overview of the NRCs strategic goals and objectives, including the associated theme that 33 reflects the objectives major purposes and outcomes. All organizations within the NRC play a 34 significant role in leading the strategic goals, objectives, and strategies. Key external factors 35 that influence the ability of the NRC to achieve its strategic goals and the associated objectives 36 are discussed in Appendix A. Appendix B offers a glossary of terms used throughout this plan.

3 Theme Goal Objectiv es

Provide quality licensing and oversight of nuclear facilities and radioactive materials.

Ensure regulatory requirements Safety and Security Ensure the safe and secure use adequately support the safe and of radioactive materials. secure use of radioactive materials.

Maintain emergency preparedness and response capabilities for NRC and NRC-licensed facilities.

Foster an organizational culture in which the workforce is engaged, adaptable, receptive to change, and makes high quality and timely decisions.

Enable the workforce to carry out the agencys mission by leveraging modern technology, Organizational Health Continue to foster a healthy innovation, and knowledge organization. management to support data-driven decisions in an evolving regulatory landscape.

Attract, develop, and maintain a high-performing, diverse, engaged, and flexible workforce with the skills needed to carry out the NRCs mission now and in the future.

Engage stakeholders in NRC activities in an effective and transparent manner.

Inspire stakeholder confidence Use high quality data and Stakeholder Confidence in the NRC. information in the NRC decisionmaking process and ensure the information is available and accessible to interested stakeholders.

1 Figure 1 Overview of the Strategic Themes, Goals, and Objectives

4 1 FULL DRAFT STRATEGIC PLAN FOR FISCAL YEARS 2022-2026

2 Mission 3 The NRC licenses and regulates the Nations civilian use of radioactive materials to provide 4 reasonable assurance of adequate protection of public health and safety; to promote the 5 common defense and security; and to protect the environment.

6 7 Vision 8 Demonstrate the Principles of Good Regulation 3 (independence, openness, efficiency, clarity, 9 and reliability) in performing our mission.

10 11 Strategic Goals, Objectives, and Strategies 12 The NRC has three strategic goals that represent the results the agency must achieve to carry 13 out its mission successfully. These goals are the foundation for the organization of this plan:

14 15 Goal 1: Ensure the safe and secure use of radioactive materials 16 17 The Atomic Energy Act of 1954, as amended, is the fundamental U.S. law establishing the 18 development, use, and control of nuclear materials for both civilian and military purposes. The 19 NRC was established by the Energy Reorganization Act of 1974 for the purpose of licensing 20 and regulating the civilian use of these materials. As such, the NRC is tasked with providing 21 reasonable assurance of adequate protection of public health and safety, promoting the 22 common defense and security, and protecting the environment. The NRC accomplishes this 23 through day-to-day activities such as reviewing, issuing, and renewing power reactor licenses 24 and amendments; overseeing the safety and security of power reactor facilities, including the 25 storage and transportation of spent fuel; and licensing and regulating non-power uses of 26 radioactive materials, such as industrial and medical applications of radionuclides. Although 27 licensees and certificate holders have the primary responsibility for the safe and secure use of 28 licensed radioactive material that they possess, the NRC establishes regulatory requirements, 29 develops guidance, maintains continuing regulatory oversight, and, when necessary, enforces 30 compliance with NRC requirements throughout the license term. For this goal, a successful 31 outcome is one in which the civilian use of radioactive materials within the United States is 32 carried out in a manner that protects the health and safety of the public and the environment, 33 and promotes the common defense and security.

34 35 Safety and Security Objective 1: Provide quality licensing and oversight of nuclear facilities 36 and radioactive materials.

37 38 The NRC maintains technically sound and rigorous licensing and oversight processes 39 commensurate with the risk of the regulated activity using information gained from domestic and 40 international operating experience, changes to the threat environment, climate change impacts, 41 research, and lessons learned. The NRC monitors the performance of licensees to ensure

3 The Commission established the NRCs Principles of Good Regulation in 1991 to focus the agency on its safety and security mission while appropriately considering the interests of the NRCs stakeholders, including the public and licensees. The agency puts these principles into practice with effective, realistic, and timely regulatory actions, consistent with our organizational values and our open, collaborative work environment. The NRCs Principles of Good Regulation and other Values can be found at https://www.nrc.gov/about-nrc/values.html#principles.

5 1 consistency with its safety and security mission. As part of its regulatory responsibilities, the 2 NRC must protect classified and sensitive unclassified information related to U.S. Government 3 programs for the physical protection and safeguarding of nuclear materials and facilities from 4 unauthorized disclosure.

5 6 Strategies:

7 8 Promote risk-informed decisionmaking to result in effective and efficient oversight, 9 rulemaking, and licensing and certification activities.

10 Maintain material safety and security through the National Materials Program in 11 partnership with Agreement States.

12 Uphold high quality standards and technical proficiency.

13 Ensure that programs for the handling and control of classified and sensitive unclassifi ed 14 information are effectively implemented at the NRC and at licensed facilities.

15 Ensure that licensees have resiliency measures to address the potential for increased 16 risk due to climate change.

17 18 Evidence 19 20 The NRC receives information from applicants and licensees to consider in its licensing 21 activities. The NRC relies heavily on its independent analysis of licensee submittals, licensing 22 basis documents, and licensee responses to NRCs requests for information to make its 23 regulatory decisions. The NRC staff us es standard review plans and other guidance where 24 applicable, to efficiently review licensing requests while ensur ing that the applicant's 25 assumptions are technically sound and that the proposed activities will provide adequate 26 protection of public health and safety.These guidance review documents leverage operational 27 data and incorporate lessons learned from past reviews.

28 29 The NRCs oversight activities collect data on licensee performance by monitoring daily licensee 30 activities, performing routine inspections, and performing reactive inspections. Monitoring and 31 inspection functions at the agency closely focus on activities having the greatest impact on 32 safety and overall risk.

33 34 Information about licensee performance is used to assess safety significance and provide for an 35 appropriate NRC response when warranted. Such responses can include supplemental 36 inspections for selected issues or enforcement actions on significant inspection findings. These 37 responses aim to keep the licensees at a performance level that ensures the safe and secure 38 use of radioactive materials. Additionally, the NRC performs an annual review of nuclear 39 materials users inspection and enforcement data, as well as the NRC and Agreement State 40 performance data to identify any adverse trends related to nuclear materials safety or security 41 that warrant regulatory action.

42 43 Contributing Programs and Activities 44 45 Inspection Programs, Enforcement Program, Allegation Program, Integrated Materials 46 Performance Evaluation Program, National Materials Program, Operating Experience Program, 47 Research Program, Operator Licensing Program, Decommissioning Program, Nuclear Material 48 Cask/Package Certification, Event Assessment, Accident Sequence Precursor Program, 49 Reactor Oversight Process, and Construction Reactor Oversight Process

6 1 Safety and Security Objective 2: Ensure regulatory requirements adequately support the safe 2 and secure use of radioactive materials.

3 4 The NRC continues to improve the effectiveness and efficiency of its safety and security 5 regulatory framework by promoting transformation through application of lessons learned, 6 historical and contemporary data, and institutional knowledge. The NRCs regulatory framework 7 will be strengthened as it incorporates risk-informed performance-based approaches and 8 revises regulatory requirements based on insights gained from the use of risk-analysis tools 9 while fulfilling its mission. The agency will develop the regulatory framework to review novel 10 applications and advanced technologies required by NEIMA.

11 12 Strategies:

13 14 Maintain and further risk-inform the current regulatory framework using information 15 gained from operating experience, lessons learned, external and internal assessments, 16 technology advances, research activities, and changes in the threat environment.

17 Proactively identify, assess, and address safety issues, threats, vulnerabilities, and 18 security risks.

19 Leverage institutional knowledge, including that of Agreement States, to identify key 20 areas of regulatory improvement.

21 22 Evidence 23 24 The NRC performs regulatory analyses to build evidence that informs the regulatory framework.

25 Regulatory analyses are formal analyses that accompany proposed agency actions that quantify 26 costs and benefits and consider preferred alternatives. Regulatory analyses are a decision tool,

27 providing a transparent rationale for deci sionmaking.

28 29 Contributing Programs and Activities 30 31 Rulemaking Process, Generic Communications, Operating Experience Program, Inspection 32 Programs, and National Materials Program 33 34 Safety and Security Objective 3: Maintain emergency preparedness and response 35 capabilities for NRC and NRC-licensed facilities.

36 37 Readiness to respond to an incident or emergency and reduce the consequences (should one 38 occur) are key elements for achieving the NRCs goal of safe and secure use of radioactive 39 materials. The NRC emphasizes the integration of safety, security, and emergency 40 preparedness as the basis for the NRC's primary mission of adequately protecting public health 41 and safety. The NRC uses risk-informed and performance-based approaches to enhance the 42 effectiveness and efficiency of the regulatory framework that appropriately consider defense-in-43 depth and risk insights. These approaches ensure that multiple layers of defense protect 44 against accidents and their effects to ensure that the risk to the public is acceptably low. In this 45 approach, the NRC does not rely solely on preventing emergencies, but also recognizes that 46 provisions in approved emergency plans are included to mitigate the effects of emergencies, 47 should they occur. Therefore, the NRC must ensure that all licensees have effective 48 preparedness and response programs in place to address an emergency. The NRC must also 49 ensure that effective programs are in place for the NRC itself to respond to incidents or events 50 at nuclear facilities.

7 1

2 3

4 Strategies:

5 6 Ensure the NRC maintains its readiness to respond to incidents and emergencies 7 involving NRC-licensed facilities and radioactive materials, other events of domestic and 8 international interest, and public health emergencies or other emergencies involving 9 NRCs facilities and workforce.

10 Ensure licensees have programs and plans in place to enable an NRC finding of 11 reasonable assurance that adequate protective measures can and will be taken in the 12 event of a radiological emergency.

13 14 Evidence 15 16 Evidence-b ased decisionmaking is used by the NRC to support emergency preparedness and 17 response capabilities for the NRC and NRC-licensed facilities. Emergency preparedness and 18 response data are collected during routine inspections, exercises, and through reporting 19 requirements. Evidence is used to analyze the licensees plans and actions to respond to an 20 incident and, to review the licensees protective actions to minimize the events impact on public 21 health and safety and the environment. During an event, the NRC obtains and analyzes event 22 information to assess an events potential impact on public health and safety and the 23 environment. The agency in turn provides expert consultation, support, and assistance to State 24 and local public safety officials responding to the event.

25 26 Contributing Programs and Activities 27 28 Force-on-Force Program, Incident Response Program, Emergency Preparedness Programs, 29 Inspection Programs, Operating Experience Program, and Reactor Oversight Process 30 31 Goal 2: Continue to foster a healthy organization 32 33 A focus on organizational health is necessary to foster the agencys ability to carry out its 34 mission. A healthy organization provides the capacity and capability to enhance the agencys 35 culture, organizational learning, business practices, and strategic management to prepare for an 36 evolving future. Continual improvement in these areas enables the NRC to enhance 37 stewardship of resources, technology, and the workforce to improve performance in achieving 38 its mission. In addition, this will continue to facilitate the NRCs transformation vision to be a 39 more modern, risk-i nformed regulator.

40 41 A successful outcome of this goal results in an organization and infrastructure that facilitates 42 continuous learning and innovation, knowledge management, diversity and inclusion, 43 technology adoption, and strategic planning, which in turn inspires our workforce. Positive 44 results include a culture that creates a sense of belonging, promotes and sustains a strong 45 safety culture, fosters creativity and innovation, connects vision with action, and continuously 46 adapts and strives to be a healthy organization.

47 48 Organizational Health Objective 1: Foster an organizational culture in which the workforce is 49 engaged, adaptable, receptive to change, and makes high quality and timely decisions.

8 1 As the NRC adapts to new technologies, changes in the industry, workspace changes, and 2 agency transformation and innovation efforts, the agency continues to invest in its staff with a 3 focus on inclusion and excellence. The NRC strives for an environment in which everyone is 4 engaged and accountable for creating a healthy and inclusive culture that embraces diversity 5 and enables everyone to excel. The NRC encourages staff to look for opportunities to 6 implement transformative and innovative ideas and remain agile in its work.

7 8 Strategies:

9 10 Maintain a high-performing, diverse, engaged, and agile workforce supported by a 11 healthy organizational culture with focus on safety, security, and continuous 12 improvement to meet mission needs.

13 Continue to transform into a more modern, risk-informed regulator that keeps pace with 14 technological innovations.

15 Promote innovation and development of new ideas by the NRC workforce.

16 Promote an organizational culture that embraces inclusion by recognizing the 17 importance of a diverse workforce.

18 Recognize and act to inform the agencys decisions by weighing diverse and competing 19 staff perspectives, having respect for self and for others, being open-minded and 20 inquisitive, and using all available processes to address differences of opinion.

21 22 Evidence 23 24 The NRC prioritizes staff input to drive evidence and decisionmaking toward the desired 25 organizational culture. Feedback from surveys, meetings, initiatives, and lessons learned is 26 used to gauge staff engagement and adaptability while promoting innovation and diversity. The 27 NRC uses this data to propose paths that lead to an inclusive and empowered workforce 28 capable of making high-quality, timely, and evidence-based decisions to ensure the safe and 29 secure use of radioactive materials.

30 31 Contributing Programs and Activities 32 33 Staff surveys (e.g., Federal Employee Viewpoint Survey, Office of the Inspector General Safety 34 Culture and Climate Survey, Pulse Survey), all-employee and town hall meetings, employee 35 suggestion programs, Innovate NRC, Nuclear Regulator Apprenticeship Network, Embrace 36 NRC, Affirmative Employment and Diversity Management Program, Culture Initiative, and Work 37 Life Programs 38 39 Organizational Health Objective 2: Enable the workforce to carry out the agencys mission by 40 leveraging modern technology, innovation, and knowledge management to support data-driven 41 decisions in an evolving regulatory landscape.

42 43 Modernizing our technology and increasing staff access to information is central to maximizing 44 the capability of the workforce, expanding the agencys ability to attract the best talent, and 45 facilitating timely and high-quality regulatory decisions. Technologies will enhance the NRC's 46 ability to capture critical insights and more effectively transfer important regulatory knowledge.

9 1 The NRCs approach focuses on modernizing information technology tools and systems, 2 improving business processes, enhancing access to data for more risk-informed 3 decisionmaking, modernizing the NRCs network, and improving stakeholder experience.

4 5 Strategies:

6 7 Recognize and act on current and future information technology needs to effectively 8 carry out the NRCs mission.

9 Ensure the NRCs data strategy is effective to enhance access and use of internal and 10 external data for decisionmaking.

11 Introduce new technologies to enhance decisionmaking, improve knowledge 12 management, and accelerate innovation in our regulatory activities.

13 14 Evidence 15 16 Leveraging technology and innovation to support the agencys decisionmaking is a priority for 17 the NRC. Continuous internal and external feedback related to agency processes, information 18 technology, and knowledge management provides the data used by the staff to analyze the 19 NRCs current and future information technology needs. Specifically, the staff uses the 20 evidence to adjust, update, and enhance the NRCs use of modern technology and innovation 21 by deploying new systems, processes, and software to effectively and efficiently carry out the 22 NRCs mission.

23 24 Contributing Programs and Activities 25 26 Information Technology and Information Management Strategic Roadmap, Knowledge 27 Management Program, Continual Service Improvement Plan, Competency Modeling Project,

28 InnovateNRC, Data Strategy, and Information Technology and Information Management 29 Portfolio Executive Council Forum 30 31 Organizational Health Objective 3: Attract, develop, and maintain a high-performing, diverse, 32 engaged, and flexible workforce with the skills needed to carry out the NRCs mission now and 33 in the future.

34 35 The NRC realizes that to attract, develop, and maintain highly skilled and educated 36 professionals, the agency must be an employer of choice that provides access to the tools to 37 perform their jobs and a workplace that promotes strong employee engagement. The NRCs 38 approach for this objective focuses on ensuring that the NRC has a highly trained workforce that 39 is knowledgeable of regulatory processes that govern agency actions and the regulatory 40 principles inherent in making the agency a strong and independent regulator.

41 42 Strategies:

43 44 - Ensure the agency is an employer of choice that offers a work culture and workplace 45 environment that attracts and retains highly motivated employees, who are engaged, 46 adaptable, high performing, and receptive to change.

47 - Ensure the agency has a workforce with the right skillsets to achieve the agencys goals 48 now and for the future by integrating results of strategic workforce planning into our 49 hiring activities, enhancing recruiting efforts, and streamlining hiring practices.

10 1 - Maintain a high-performing, inclusive, and engaged workforce by rewarding high 2 performers, enhancing career paths, promoting diversity, and creating a continual 3 learning culture with cross-training opportunities for career advancement.

4 - Improve knowledge management by identifying and capturing critical information and 5 leveraging the agency's investment in modern information management and technology 6 to enhance information accessibility and searchability.

7 - Improve performance and productivity by investing in technical, professional and 8 management training, accountability, and encouraging leadership development.

9 10 Evidence 11 12 To attract and sustain a high-performing and diverse workforce the agency continuously 13 assesses its leadership, scientific and technical core competency needs, recruitment activities, 14 applicant data, hiring results, by continuously seeking feedback from the staff at all levels. The 15 agency analyzes this data to design its strategic workforce plan; inform recruitment, hiring, and 16 succession planning decisions; develop a robust knowledge management and transfer system; 17 and continuously provide learning opportunities in support of an inclusive and engaged 18 workforce.

19 20 Contributing Programs and Activities 21 22 Human Capital Operating Plan, Strategic Workforce Planning Process, A gency Annual 23 Recruiting Plan, University Champions Program, Civil Rights Program, Affirmative Employment 24 and Diversity Management Program, Federal Equal Opportunity Recruitment Plan, student and 25 recent graduate programs (e.g., Nuclear Regulator Apprenticeship Network, Honor Law 26 Graduate Program, etc.), Inclusive Diversity Strategic Plan, Leaders at All Levels Certificate 27 Program, Aspiring Leaders Certificate Program, Senior Executive Service Candidate 28 Development Program, work life programs, Career Mentor Program, Supervisor Development 29 Program, and Employee Journey Initiative 30 31 Goal 3: Inspire stakeholder confidence in the NRC 32 33 To be successful, the NRC must not only excel in carrying out its mission but must do so in a 34 manner that inspires confidence. The NRC strives to promote transparency in its regulatory 35 activities, provide opportunities for candid and meaningful public participation, and demonstrate 36 that the agency is a capable, independent, trustworthy, and objective regulator. C onfidence in 37 the NRC and engagement with stakeholders are enhanced when the agency consistently 38 carries out its mission in an effective, timely, disciplined, and open manner.

39 40 To achieve this goal, the NRC must be viewed as an independent, open, and reliable regulator.

41 This will be accomplished by providing stakeholders with clear and accurate information about, 42 and a meaningful role in, its regulatory processes.

43 44 Stakeholder Confidence Objective 1: Engage stakeholders in NRC activities in an effective 45 and transparent manner.

46 47 It is key to public confidence that the NRC engage with diverse stakeholders with a wide range 48 of views and expertise, learn from them, and communicate in clear and accessible ways. The 49 NRC's mission is carried out on behalf of the American people, which makes nuclear regulation

11 1 the publics business. As such, it should be transacted openly and candidly to maintain the 2 publics confidence.

3 4 Strategies:

5 6 Foster proactive and meaningful interactions with States, Tribes, other governmental 7 and nongovernmental organizations, the regulated industry, the international regulatory 8 community, and other members of the public.

9 Provide a fair and timely process to allow public involvement in NRC decisionmaking.

10 11 Evidence 12 13 Stakeholder engagement is achieved through regular involvement of the affected parties. The 14 NRC engages the media and the public through public meetings, seminars, press releases, 15 NRC-sponsored training, and regulatory communications, among other activities. Stakeholder 16 feedback collected during these interactions is analyzed and used by the NRC to update, 17 enhance, and increase the communication tools and processes used to reach and engage with 18 the public. These measures include reaching a wider pool of stakeholders, increasing 19 opportunities for stakeholder feedback, and enhancing the NRCs information on public 20 websites and presence in social media. This information is also used to develop and provide 21 training to internal and external stakeholders on the NRCs mission, decisionmaking processes, 22 data collection, and accessibility. This ensures an effective and transparent process to allow 23 public involvement in NRCs decisionmaking.

24 25 Contributing Programs and Activities 26 27 Public Reactor Oversight Program Annual Assessment Meetings, Customer Feedback Process, 28 Customer Service Plan, Ini tial Web Improvement Plan, Open Government Plan, Facilitator 29 Corps, Freedom of Information Act P rogram, Agreement States Program, Federal and State 30 Liaison Program, and Tribal Liaison Program 31 32 Stakeholder Confidence Objective 2: Use high quality data and information in the NRC-33 decisionmaking process and ensure the information is available and accessible to interested 34 stakeholders.

35 36 The agency strives to increase transparency in decisionmaking p rocesses and decisions by 37 increasing the quality, availability, and sharing of information.

38 39 Strategies:

40 41 Engage stakeholders to ensure awareness and understanding of the NRCs regulatory 42 requirements and decisions.

43 Develop effective communication strategies to explain how risk and uncertainty are 44 addressed and considered in the decisionmaking process.

45 Make information relevant to the NRCs regulatory activities available and accessible to 46 interested stakeholders.

47 Ensure that stakeholders, particularly members of the public that may be 48 disproportionately impacted by the agencys decision, are aware of opportunities for 49 public engagement in the NRCs decisionmaking processes.

12 1 Ensure that the NRC maintains and publishes accessible and comprehensive 2 information by transforming agency information and siloed databases.

3 Leverage feedback received from a broad range of stakeholders in the agencys 4 decisionmaking processes.

5 Maintain a high standard of quality and clarity in NRC documents to promote confidence 6 in the agencys work.

7 8 Evidence 9

10 As a regulatory agency, the NRC documents the bases for its decisionmaking processes. The 11 NRC has established procedures for the systematic col lection, analysis, and management of the 12 data and information associated with carrying out its regulatory responsibilities. These 13 procedures include timeliness goals and metrics to ensure that regulatory decisions and 14 supporting information are made available to stakeholders promptly. The NRC solicits feedback 15 from stakeholders on the timeliness, accessibility, uniformity, relevance, and content of the 16 information contained in its platforms. This feedback is crucial as it provides the agency with 17 the basis for adopting measures to continuously improve the NRCs use of high-quality data and 18 information in our decisionmaking process and to ensure that information is available and 19 accessible to stakeholders. The NRC, a s a regulatory agency whose processes and decisions 20 are captured primarily in the form of documents, uses this information to ensure its documents 21 are available in widely used formats for public viewing.

22 23 Contributing Programs and Activities 24 25 Generic Communications Program, Open Government High-Value Dataset Identification and 26 Submission Process, and Common Baseline Plan

13

1 APPENDIX A - KEY EXTERNAL FACTORS

2 Many external factors influence the ability of the U.S. Nuclear Regulatory Commission (NRC) to 3 achieve its strategic goals and the associated objectives. These factors include industry 4 operating experience, national priorities, climate change impacts, the security and threat 5 environment, legislation, Federal court litigation, market trends, new technologies, public health 6 emergencies, and resource availability. This appendix discusses the most significant of these 7 factors. The NRC will strengthen its ability to manage change and respond promptly to shifts in 8 agency priorities necessitated by these future planning challenges. The agency will also make 9 efforts to influence those factors that enable the achievement of its strategic objectives, where 10 appropriate. The NRC performs an annual environmental scan as part of its capacity 11 assessment to identify key external factors that will influence the agencys workload and 12 workforce over a 5-year period.

13 14 Market Forces and Climate Change Mitigation 15 16 Many market forces affect the nuclear industry, which may impact the business operations of 17 license applicants and operating facilities subject to NRC jurisdiction. For example, supply and 18 demand fundamentals driven by competition from alternative energy sources (e.g., natural gas) 19 may increase the competitive landscape and reduce operating margins. Financial and 20 insurance markets, Federal and State taxation and regulatory policies, and aging technologies 21 may also affect operating costs. Additionally, the effects of climate change can have an impact 22 on existing energy infrastructure. Efforts to reduce carbon emissions and expand low-carbon 23 electricity generation also can incentivize the development and use of new technologies and 24 facilities. These factors, in turn, can affect NRC operating budgets and priorities. The NRC 25 must be prepared with the regulatory infrastructure to support areas such as decommissioning 26 of older or uneconomic operating plants, changes in exports and imports in an increasingly 27 global economy, and licensing of new technologies and facilities.

28 29 Globalization and Development of Nuclear Technology 30 31 Technological changes may affect the development of advanced nuclear systems and support 32 infrastructure, resulting in market changes and other impacts on industry activities subject to 33 NRC jurisdiction. Increased globalization effects of nuclear technology, including small modular 34 reactors, could increase competition in the nuclear supply chain and, therefore, affect operating 35 costs across the nuclear industry and increase the complexity of regulatory oversight. In 36 addition to operating and regulatory impacts on the domestic nuclear industry, globalization 37 necessitates enhanced cooperation between the United States and international organizations 38 for licensing activities, training, development and implementation of codes and standards, and 39 conventions and treaties to ensure safe and secure use of nuclear technology.

40 41 Security Threats and Significant Incidents 42 43 Looking ahead, the U.S. national security landscape is likely to continue to be dynamic, 44 encompassing a full range of threats and incidents, including the identification of and protection 45 against cyber threats and physical security threats such as nuclear proliferation, robotics and 46 unmanned aerial systems, and terrorism. As a result, the regulatory approach needed to 47 ensure the safety and security of nuclear materials and infrastructure is expected to continue to 48 evolve.

15 1 A significant incident at a nuclear facility, whether caused by adversaries, natural disaster, or 2 other factors, could cause the agency to reassess its safety and security requirements, affect 3 the agencys focus and include extensive interactions with other Federal and State partners.

4 Given the high level of public interest in the safe and secure use of radioactive materials, even 5 events of low safety significance could require a response that involves considerable agency 6 resources. The NRC must anticipate and be prepared for an operational and regulatory 7 response to threats and incidents involving NRC-licensed nuclear infrastructure.

8 9 Government and Regulatory Impacts 10 11 Actions taken by Congress or Executive Branch agencies may affect the NRC, either directly or 12 indirectly by affecting NRC stakeholders. Actions could impact areas such as investment in new 13 technology, operation and oversight of an aging reactor fleet, or other NRC policies and 14 initiatives.

15 16 International Treaties and Conventions 17 18 The ratification by the United States of international instruments related to the safety of nuclear 19 facilities or radioactive materials could potentially impose binding provisions on the Nation and 20 the corresponding governmental agencies, such as the NRC.

21 22 Workforce Dynamics 23 24 The agencys most valuable resource is its staff, and its ability to recruit, hire, train, motivate, 25 and retain qualified staff in a competitive job market is critical to meeting its strategic goals.

26 Workforce changes such as greater diversity, employee expectations for more flexibility in work 27 locations and schedules, and an increased frequency of job changes during careers will require 28 the NRC to better understand its employees and become a more flexible and agile organization.

29 30 Information Technology Advances 31 32 The NRC continues to build a flexible, agile, and innovative informatio n technology and 33 information management environment that is prepared for the rapid development of new 34 technologies and changes in the nuclear industry. Technological advances continue to change 35 the way the agency works and interacts with stakeholders. The increased use of social media, 36 virtual meetings, data analytics, cloud computing, and a rtificial intelligence will improve 37 efficiency and provide support for the workforce. These activities increase dependency on a 38 robust and resilient network and infor mation technology infrastructure. The NRC will need to 39 gain knowledge and expertise for a wide range of skills and capabilities such as a rtificial 40 intelligence and data literacy, to continue expanding the use of data for decisionmaking in the 41 agency.

42 43 The NRC continues its efforts to strategically plan, modernize the agency information 44 technology systems, integrate the use of information technology systems and applications 45 throughout the agency, and increase internal capacity to gather, define, evaluate, analyze, link, 46 and present data to support decisionmaking. Maintaining the secure use and protection of 47 sensitive and proprietary information will be a challenge given the increased use of mobile 48 devices, alternative data storage options, new communication technologies, and the increased 49 use of telecommunication. The NRC will remain prepared for the heightened risk that sensitive 50 information held by the agency or its licensees may be lost, misplaced, or intercepted and fall 51 into the hands of unauthorized users. The agency will need to maintain a knowledgeable 16 1 workforce ca pable of ad dressing these c ybersecurity challenges. Additionally, t he agency w ill 2 see an increased demand for c ybersecurity ext ernal audi ting, risk repor ting, automated real-time 3 risk asses sment and mitigation, and a continuation of cybersecurity workforce shortage.

17

1 APPENDIX B - GLOSSARY 2

3 Agreement State: A U.S. State that has signed an agreement with the U.S. Nuclear 4 Regulatory Commission (NRC), or its predecessor the Atomic Energy Commission, pursuant to 5 Section 274 of the Atomic Energy Act of 1954, as amended, authorizing the State to regulate 6 certain uses of radioactive materials within the State.

7 8 Analysis: A examination of a subject or discrete product, in support of the agencys regulatory 9 mission (technical and corporate), in order to gain an understanding of its elements, or parts.

10 11 Capacity Assessment: An objective accounting of the NRCs capacity (e.g., the sufficiency of 12 the agencys staffing, funding, infrastructure, and processes) to carry out the evidence-building 13 activities needed to meet agency functions and to disseminate and use evidence.

14 15 Classified Information: Information that has been determined pursuant to an Executive Order 16 or the Atomic Energy Act of 1954, as amended, to require protection against unauthorized 17 disclosure and is marked to indicate its classified status when in documentary form. The NRC 18 has two types of classified information. The first type, known as National Security Information, 19 is information that is classified by an Executive Order. Its release would damage national 20 security. The second type, known as Restricted Data, would assist individuals or organizations 21 in designing, manufacturing, or using nuclear weapons. Access to both types of information is 22 restricted to authorized persons who have been properly cleared and have a need to know the 23 information to accomplish their official duties.

24 25 Effectiveness: The degree to which something is successful in producing a desired result.

26 27 Efficiency: The degree to which the resources needed to produce an outcome can be 28 minimized without reducing the outcomes effectiveness.

29 30 Emergency Preparedness: The programs, plans, training, exercises, and resources used to 31 prepare for and rapidly identify, evaluate, and respond to emergencies, including those arising 32 from terrorism or natural events such as hurricanes. Emergency preparedness strives to ensure 33 that operators of nuclear power plants and certain fuel cycle facilities can implement measures 34 to protect public health and safety in the event of a radiological emergency. Licensees that 35 operate certain nuclear facilities, such as nuclear power plants, must develop and maintain 36 emergency preparedness plans that meet NRC requirements.

37 38 Evaluation: As defined by 5 U.S.C. 311(3), evaluation means an assessment using 39 systematic data collection and analysis of one or more programs, policies, and organizations 40 intended to assess their effectiveness and efficiency.

41 42 Evidence: As defined by 44 U.S.C. 3561(6), evidence means information produced as a 43 result of statistical activities conducted for a statistical purpose. However, evidence, as applied 44 in the context of the Federal Performance Framework for improving organizational and agency 45 performance, is viewed more broadly as the available body of facts or information indicating 46 whether a belief or proposition is true or valid. As such, evidence can be quantitative or 47 qualitative and may come from a variety of sources, including foundational fact finding (e.g.,

48 aggregate indicators, exploratory studies, descriptive statistics, and other research),

19 1 performance measurement, policy analysis, and program evaluation (see OMB Memorandum 2 M-19-23).

3 4 Evidence-Building Activities: The planning, implementation, management, and reporting of 5 evidence (e.g., analyses, research, assessments, and program evaluations) performed by the 6 agency for programmatic, operational, regulatory, and policy decisionmaking.

7 8 Evidence-Building Plan: A systematic approach for identifying and addressing priority 9 questions relevant to the agencys programs, policies, and regulations. More broadly, it is a 10 coordination tool to engage stakeholders in evidence planning and building to help achieve an 11 agencys mission.

12 13 Incident Response: Activities that address the short -term, direct effects of a natural or human-14 caused event and require an emergency response to protect life or property.

15 16 National Materials Program: The broad collective effort within which both the NRC and the 17 Agreement States function in carrying out their respective regulatory programs for radioactive 18 material.

19 20 Radioactive Material: As used in this strategic plan, refers to any substance that produces 21 ionizing radiation and is regulated by the NRC. The NRC regulates civilian uses of material 22 producing ionizing radiation, including the use of such substances for nuclear power generation, 23 all aspects of the nuclear fuel cycle, medical and government uses, and research and industrial 24 applications.

25 26 Radioisotope (radionuclide): An unstable isotope of an element that decays or disintegrates 27 spontaneously, thereby emitting radiation. About 5,000 natural and artificial radioisotopes have 28 been identified.

29 30 Regulatory Framework: The interrelated elements that form the basis for the NRCs oversight 31 of the use of radioactive materials, including (1) the NRCs mandate from Congress in the form 32 of enabling legislation, (2) the NRCs licenses, orders, and regulations in Title 10 of the Code of 33 Federal Regulations (10 CFR), (3) regulatory guides, review plans, and other documents that 34 clarify and guide the application of NRC requirements and amplify agency regulations, (4) the 35 licensing and inspection procedures used by NRC employees, and (5) the agencys 36 enforcement guidance.

37 38 Risk Assessment: A systematic method for addressing three questions as they relate to the 39 performance of a particular system:

40 1. What can go wrong?

41 2. How likely is it?

42 3. What are the consequences?

43 44 Risk-Informed: An approach that considers risk insights along with other factors such as 45 engineering judgment, safety limits, and redundant or diverse safety systems. Such an 46 approach is used to establish requirements that better focus licensee and regulatory attention 47 on design and operational issues and ensure that such attention is commensurate with the 48 importance of those issues to public health and safety.

20 1 Risk-Informed Decisionmaking: An approach to regulatory decisionmaking that considers 2 risk and engineering insights.

3 4 Risk Insights: The results and findings that come from risk assessments. They may include 5 improved understanding of the likelihood of possible outcomes, sensitivity of the results to key 6 assumptions, relative importance of the various system components and their potential 7 interactions, and the areas and magnitude of the uncertainties.

8 9 Safeguards Information: A special category of sensitive unclassified information that must be 10 protected. Safeguards information includes control or accounting procedures or security 11 measures for the physical possession of certain quantities of special nuclear material; security 12 measures for the physical protection of certain quantities of source material or byproduct 13 material; and security measures for the physical protection of and the location of plant 14 equipment vital to safety. Broadly speaking, safeguard information concerns the physical 15 protection of operating power reactors, spent fuel shipments, strategic special nuclear material, 16 or other radioactive material.

17 18 Stakeholders: Members of the public; public interest groups; Federal, State, Tribal, and local 19 agencies; non-governmental organizations; and license applicants and licensees with an 20 interest in a given NRC topic or activity.

21 22 Standards: Technical requirements and recommended practices for any device, apparatus, 23 system, or phenomenon associated with a specific field.

21

NUREG-1614 Vol. 8

Strategic Plan: Fiscal Years 2022-2026 September 2021 Draft Report for Comment

Matthew Meyer and Carla Roque-C ruz Technical

Office of the Executive Director for Operations U.S. Nuclear Regulatory Commission Washington, D.C. 20555-0001

Office of the Executive Director for Operations U.S. Nuclear Regulatory Commission Washington, D.C. 20555-0001

Roque-Cruz, Carla

The U.S. Nuclear Regulatory Commission (NRC or agency) is an independent agency established by the Energy Reorganization Act of 1974 that began operations in 1975 as a successor to the Atomic Energy Commission.The NRCs mission is to license and regulate the Nations civilian use of radioactive materials; to provide reasonable assurance of adequate protection of public health and safety ; to promote the common defense and security; and to protect the environment. This strategic plan, covering the period Fiscal Years 2022-2026, provides the blueprint for the agency to plan, implement and monitor the work needed to achieve its three strategic goals: (1) ensure the safe and secure use of radioactive materials, (2) continue to foster a healthy organization, and (3) inspire stakeholder confidence in the NRC. The strategic plan also provides an overview of the NRCs responsibilities and lays out how the NRC uses data and evidence to inform decisionmaking to accomplish objectives and strategies to achieve the agencys strategic goals.

Strategic Plan, Strategic Planning, Goals, Objectives, Strategies, Organizational Heath, Stakeholder Confidence, Safety and Security, NRC Mission, NRC Vision, Evidence, and Agency Programs

NUREG-1614, Vol. 8 Strategic Plan: Fiscal Years 2022-2026 September 2021 Draft