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NUREG-1100, Vol. 37, U.S. NRC Congressional Budget Justification Fiscal Year 2022
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Issue date:	06/30/2021
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	Malone, Tina
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NUREG-1100 Volume 37

\ SU.S.NRC United States Nuclear Regulatory Commission Protecting People and the Environment CONGRESSIONAL BUDGET JUSTIFICATION FISCAL YEAR 2022

AVAILABILITY OF REFERENCE MATERIALS IN NRC PUBLICATIONS NRC Reference Material Non-NRC Reference Material As of November 1999, you may electronically access Documents available from public and special technical NUREG-series publications and other NRC records at the libraries include all open literature items, such as books, NRCs Library at www.nrc.gov/reading-rm.html. Publicly journal articles, transactions, Federal Register notices, released records include, to name a few, NUREG-series Federal and State legislation, and congressional reports.

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information notices; inspection and investigative reports; licensee event reports; and Commission papers and their Copies of industry codes and standards used in a attachments. substantive manner in the NRC regulatory process are maintained at NRC publications in the NUREG series, NRC regulations, The NRC Technical Library and Title 10, Energy, in the Code of Federal Regulations Two White Flint North may also be purchased from one of these two sources: 11545 Rockville Pike Rockville, MD 20852-2738

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The views expressed in contractor prepared publications in request as follows:

this series are not necessarily those of the NRC.

Address: U.S. Nuclear Regulatory Commission The NUREG series comprises (1) technical and Office of Administration administrative reports and books prepared by the staff (NUREG-XXXX) or agency contractors (NUREG/CR-XXXX),

Digital Communications and Administrative (2) proceedings of conferences (NUREG/CP-XXXX),

Services Branch (3) reports resulting from international agreements Washington, DC 20555-0001 (NUREG/IA-XXXX),(4) brochures (NUREG/BR-XXXX), and E-mail: Reproduction.Resource@nrc.gov (5) compilations of legal decisions and orders of the Facsimile: (301) 415-2289 Commission and the Atomic and Safety Licensing Boards and of Directors decisions under Section 2.206 of the NRCs regulations (NUREG-0750).

Some publications in the NUREG series that are posted at the NRCs Web site address www.nrc.gov/reading-rm/ DISCLAIMER: This report was prepared as an account doc-collections/nuregs are updated periodically and may of work sponsored by an agency of the U.S. Government.

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CONGRESSIONAL BUDGET JUSTIFICATION

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CONTENTS Executive Summary ................................................................................................................................... ix About the U.S. Nuclear Regulatory Commission ................................................................................ 1 Proposed Fiscal Year 2022 Appropriations Legislation .................................................................... 5 Nuclear Reactor Safety ............................................................................................................................ 11 Operating Reactors ........................................................................................................................ 13 New Reactors .................................................................................................................................. 33 Nuclear Materials and Waste Safety ..................................................................................................... 43 Spent Fuel Storage and Transportation ...................................................................................... 45 Nuclear Materials Users ................................................................................................................ 55 Decommissioning and Low-Level Waste .................................................................................... 67 Fuel Facilities ............................................................................................................................... 77 Corporate Support..................................................................................................................................... 87 University Nuclear Leadership Program..............................................................................................99 Annual Performance Plan......................................................................................................................101 Office of the Inspector General ............................................................................................................127 Appendix A: Full Cost of U.S. Nuclear Regulatory Commission Programs ...........................141 Appendix B: Budget Authority by Function ....................................................................................143 Appendix C: Estimated Operating Power Reactors Annual Fee................................................145 Appendix D: Estimated Fee Recovery ..............................................................................................147 Appendix E: Requested Activities by Business Line....................................................................149 Appendix F: Summary of Reimbursable Work ...............................................................................151 Appendix G: Federal Information Technology Acquisition Reform Act Requirements...... 153 Appendix H: Summary of Planned Rulemaking Activities ..........................................................161 Appendix I: Obligations by Control Point .......................................................................................173 Appendix J: Report on Drug Testing.................................................................................................175 Appendix K: Summary of Outstanding U.S. Government Accountability Office and Inspector General Recommendations .............................................................177 Appendix L: Glossary ............................................................................................................................189 Appendix M: Abbreviation and Acronym List. ................................................................................193 FY 2022 Congressional Budget Justification l iii

FIGURES U.S. Nuclear Regulatory Commission FY 2014-FY 2022 Budget .......................................................ix NRC Organizational Chart ......................................................................................................................... 2 U.S. Commercial Nuclear Power Reactors Anticipated to be Operating in FY 2022 .................. ....14 New Reactor Applications under Review ..................................................................................... ..........37 Anticipated Licensed and Operating ISFSIs by State in FY 2022 .............................................. ........46 Spent Fuel Storage and Transportation Workload Assumptions .............................................. ..... ...49 Agreement States in FY 2022 ........................................................................................................ ...... ...56 Nuclear Materials Users Workload Assumptions........................................................................ .........59 Anticipated Locations of NRC-Regulated Sites Undergoing Decommissioning in FY2022..........68 UMTRCA and Complex Materials Sites ............................................................................... .. ...............71 Research and Test Reactors and Power/Early Demonstration Reactors Undergoing Decommissioning........................................................................................................................72 Uranium Recovery Licensed Facilities and Major Licensing Actions ..............................................73 Locations of Licensed Fuel Cycle Facilities .........................................................................................78 Fuel Facilities Licensing Actions and Inspections Workload .................................................. .......... 81 FY 2022 Congressional Budget Justification l v

TABLES Budget Authority and Full-Time Equivalents ............................................................................................. x Budget Authority by Appropriation ............................................................................................................ xii Nuclear Reactor Safety ............................................................................................................................... 11 Operating Reactors by Product Line ......................................................................................................... 13 Power Reactor License Renewals Schedule........................................................................................... 19 Reactors Transitioning from Operating to Decommissioning Status..................................................... 21 New Reactors by Product Line .................................................................................................................. 33 Nuclear Materials and Waste Safety......................................................................................................... 43 Spent Fuel Storage and Transportation by Product Line ...................................................................... 45 Nuclear Materials Users by Product Line ................................................................................................. 55 Decommissioning and Low-Level Waste by Product Line .................................................................... 67 Fuel Facilities by Product Line ................................................................................................................... 77 Corporate Support by Product Line........................................................................................................... 87 University Nuclear Leadership Program. 99 Alignment of Resources to NRC Goals..102 Strategic Plan Strategies and Supporting Business Lines ..................................................................122 NRC OIG Budget Authority and Full-Time Equivalents .......................................................................127 Audits Budget Authority ............................................................................................................................128 Investigations Budget Authority ...............................................................................................................130 NRC OIG Budget Resources Linked to OIGs Strategic Goals ..........................................................134 Full Cost Budget Authority and Full-Time Equivalents .........................................................................141 Corporate Support by Business Line ......................................................................................................142 Budget Authority by Function ...................................................................................................................143 Estimated FY 2022 Operating Power Reactors Annual Fee ...............................................................145 Budgetary Resources for Fee-Relief Activities ......................................................................................147 Estimated Fee Recovery ..........................................................................................................................148 Requested Activity by Business Line ......................................................................................................149 Summary of Reimbursable Work.............................................................................................................151 NRC IT Spending .......................................................................................................................................155 NRC IT Table ..............................................................................................................................................156 Summary of Planned Rulemaking Activities ..........................................................................................161 U.S. Nuclear Regulatory Commission Monthly Congressional Status Report .................................174 Summary of Outstanding U.S. Government Accountability Office and Inspector General Recommendations......................................................................................................................177 FY 2022 Congressional Budget Justification l vii

EXECUTIVE

SUMMARY

EXECUTIVE

SUMMARY

The mission of the U.S. Nuclear Regulatory Commission (NRC) 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. The NRCs fiscal year (FY) 2022 budget request is $887.7 million, including 2,879 full-time equivalents (FTE). When compared to the NRCs FY 2021 Enacted Budget including authorized carryover, the FY 2022 budget request increases by approximately 3 percent, or $24.4 million, primarily to support salaries and awards adjustments, in accordance with the U.S. Office of Management and Budget (OMB) Circular A-11, Preparation, Submission, and Execution of the Budget, and the workload changes described within each business line section. The FY 2022 budget request does not include resources to support licensing activities for the proposed Yucca Mountain deep geologic repository for spent nuclear fuel and other high-level radioactive waste nor resources for the University Nuclear Leadership Program (UNLP), formerly Integrated University Program (IUP).

1,100 4,000 3,500 1,000 3,000 Dollars in Millions 2,500 900 2,000 FTE 1,500 800 1,000 500 700 -

FY 2014 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 Enacted Enacted Enacted Enacted Enacted Enacted Enacted Enacted Request Authorized Carryover ($M) 0.0 34.2 0.0 23.0 15.0 20.0 40.0 19.0 0.0 IUP / UNLP ($M) 15.0 15.0 15.0 15.0 15.0 15.0 16.0 16.0 0.0 Program and Corporate ($M) 1,040.9 1,000.3 987.1 902.1 907.0 896.0 842.8 863.4 887.7 Total Budget $(M) 1,055.9 1,015.3 1,002.1 917.1 922.0 911.0 858.8 863.4 887.7 Total FTE 3,800 3,779 3,595 3,396 3,186 3,106 2,970 2,868 2,879 Notes: In FY 2020, NRC received a $3.3M supplemental appropriation under the CARES Act on March 27, 2020.

In FY 2021, the explanatory statement for the Consolidated Appropriations Act, 2021 directed that $16M of unobligated carryover be used to fund the FY 2021 University Nuclear Leadership Program.

Figure 1: U.S. NRC FY 2014-FY 2022 Budget (Includes the Office of the Inspector General)

As shown in Figure 1, excluding resources for the University Nuclear Leadership Program, the FY 2022 budget request reflects a decrease of approximately 16 percent when compared to the FY 2014 Enacted Budget. The agency has also reduced FTE by 24 percent during this period.

FY 2022 Congressional Budget Justification l ix

EXECUTIVE

SUMMARY

Budget Authority and Full-Time Equivalents (Dollars in Millions)

FY 2020 FY 2021 FY 2022 Changes from Business Line/

Actuals Enacted Request FY 2021 Major Program

$M FTE $M FTE $M FTE $M FTE Operating Reactors 358.5 1,446.8 374.3 1,471.0 388.2 1,474.0 13.8 3.0 New Reactors 74.8 276.9 78.5 284.0 89.3 309.0 10.7 25.0 Nuclear Reactor 433.4 1,723.7 452.8 1,755.0 477.4 1,783.0 24.6 28.0 Safety Spent Fuel Storage 25.2 98.1 28.1 102.0 28.0 99.0 (0.1) (3.0) and Transportation Nuclear Materials 59.7 204.3 55.5 201.0 60.3 198.0 4.8 (3.0)

Users Decommissioning 21.4 83.0 22.8 86.0 22.9 85.0 0.1 (1.0) and Low-Level Waste Fuel Facilities 18.2 75.8 19.3 73.0 19.0 71.0 (0.2) (2.0)

Nuclear Materials 124.5 461.2 125.6 462.0 130.2 453.0 4.6 (9.0) and Waste Safety Corporate Support 289.1 541.6 271.4 588.0 266.3 580.0 (5.1) (8.0)

Subtotal 846.9 2,726.5 849.9 2,805.0 873.9 2,816.0 24.1 11.0 Inspector General 12.1 55.3 13.5 63.0 13.8 63.0 0.3 -

Total 859.0 2,781.8 863.4 2,868.0 887.7 2,879.0 24.4 11.0 University Nuclear 2.5 - 16.0 - - - (16.0) -

Leadership Program Authorized Carryover (38.4) - (35.0) - - - 35.0 -

Total 823.1 2,781.8 844.4 2,868.0 887.7 2,879.0 43.3 11.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

Note: FY 2021 enacted amounts include authorized carryover with the total authorized carryover subtracted in the last row of the table.

Resources requested for the Nuclear Reactor Safety Program increase by $24.6 million when compared to the FY 2021 Enacted Budget. The increase is primarily due to salaries and awards adjustments, consistent with OMB guidance. Resources also increase to support licensing activities for new light-water reactors (LWRs), advanced non-LWRs, and medical isotope facilities. Additionally, resources increase in the information technology (IT) program to support the Mission Analytics Portal (MAP), a tool to enhance the agencys ability to leverage data to support mission activities; to develop infrastructure to increase analytics capabilities using artificial intelligence; and to develop mobile applications for resident inspectors. These increases are partially offset by a decline in workload, including the closure of Indian Point Nuclear Generating Plant, Units 2 and 3; the planned completion of the first Oklo, Inc., (Oklo) custom combined license application review; and fewer construction inspection activities based on the anticipated timeline for transition from construction to operations of Vogtle Electric Generating Plant, Units 3 and 4. The requested resources for the Nuclear Reactor Safety Program include a total of $23.0 million for the continued development of a regulatory infrastructure for advanced nuclear reactor technologies, an increase of $5.3 million when compared to the FY 2021 Enacted Budget.

FY 2022 Congressional Budget Justification l x

EXECUTIVE

SUMMARY

Resources for the Nuclear Materials and Waste Safety Program increase by $4.6 million when compared to the FY 2021 Enacted Budget primarily due to salaries and awards adjustments, consistent with OMB guidance. Resources also increase to restore funding to support the operations of materials licensing and tracking systems and to support international assistance to foreign regulatory counterparts to develop or enhance their national regulatory infrastructures and programs, and to complement ongoing high priority U.S. Government initiatives. These increases are partially offset by an anticipated decline in workload within the program.

The FY 2022 Corporate Support request is 30 percent of the agencys total budget authority, which reflects the agencys efforts to comply with Section 102(a)(3)(A) of the Nuclear Energy Innovation and Modernization Act (NEIMA). Resources requested for Corporate Support decrease by $5.1 million or approximately 2 percent, including 8.0 fewer FTE, when compared to the FY 2021 Enacted Budget. The decrease is primarily due to a reduction in permanent change of station resources based on an anticipated decline in internal NRC transfers and other Federal transfers, as well as reductions to align with historical expenditures. Additional reductions include anticipated cost savings due to the migration of the NRCs procurement application from an on-premise system to a cloud hosted solution. This decrease is partially offset by salaries and awards adjustments, consistent with OMB guidance.

The Office of the Inspector Generals (OIGs) component of the FY 2022 proposed budget is

$13.8 million, including 63 FTE, of which $12.7 million is for auditing and investigation activities for NRC programs, and $1.1 million is for the auditing and investigation activities of the Defense Nuclear Facilities Safety Board (DNFSB).

FY 2022 Congressional Budget Justification l xi

EXECUTIVE

SUMMARY

Budget Authority by Appropriation (Dollars in Millions)

FY 2021 FY 2022 Changes from Enacted Request FY 2021 NRC Appropriation $M $M $M Salaries and Expenses (S&E)

Budget Authority 830.9 873.9 43.0 Offsetting Fees 710.2 745.3 35.1 Net Appropriated S&E $120.6 $128.6 $8.0 Office of the Inspector General (OIG)

Budget Authority 13.5 13.8 0.3 Offsetting Fees 11.1 11.4 0.3 Net Appropriated OIG $2.4 $2.4 $0.0 Total NRC Budget Authority 844.4 887.7 43.3 Offsetting Fees 721.4 756.7 35.3 Total Net Appropriated $123.0 $131.0 $8.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The NRCs FY 2022 budget request provides for approximately 100-percent fee recovery less fee-relief activities identified by the Commission; which include activities associated with generic homeland security activities, waste incidental to reprocessing (WIR) activities under Section 3116 of the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005; the University Nuclear Leadership Program; advanced reactor regulatory infrastructure activities; and OIG services for DNFSB. The NRC will recover $756.7 million of the FY 2022 budget from fees assessed to NRC licensees. This will result in a net appropriation of $131.0 million, which is an increase of $8.0 million when compared to the FY 2021 Enacted Budget.

In accordance with the OMB Circular A-11, Preparation, Submission, and Execution of the Budget, issued July 2020, Appendix A, Full Cost of U.S. Nuclear Regulatory Commission Programs, provides the full cost of NRC programs.

In accordance with NEIMA, Appendix C, Estimated Operating Power Reactors Annual Fee, details the calculation for the FY 2022 estimated operating power reactors annual fee amount of

$4.8 million per licensee. The FY 2022 estimate is approximately $0.6 million lower than the FY 2015 fee per licensee adjusted for inflation.

Appendix D, Estimated Fee Recovery, lists the activities excluded from fee recovery in this budget request and provides the estimated adjusted fee recovery amounts for FY 2022 under Title 10 of the Code of Federal Regulations (10 CFR) Part 170, Fees for Facilities, Materials, Import and Export Licenses, and Other Regulatory Services under the Atomic Energy Act of 1954, as Amended, and 10 CFR Part 171, Annual Fees for Reactor Licenses and Fuel Cycle Licenses and Materials Licenses, Including Holders of Certificates of Compliance, Registrations, and Quality Assurance Program Approvals and Government Agencies Licensed by the NRC.

FY 2022 Congressional Budget Justification l xii

EXECUTIVE

SUMMARY

Appendix E, Requested Activities by Business Line, summarizes the budgeted resources for requested activities of the Commission, as defined in NEIMA, by business line.

SIGNIFICANT AGENCYWIDE ACCOMPLISHMENTS IN FY 2020 The NRCs significant agency-wide accomplishments include the following:

Continued to oversee the safe and secure operation of nuclear power plants and fuel cycle facilities, as well as the possession and use of radioactive materials.

Continued the technical reviews of large light-water reactor (LWR) and small modular reactor (SMR) applications and conducted regulatory oversight of construction activities.

The NRC conducted more than 800 public meetings including in-person and virtual to address a full range of NRC issues.

Continued focus on the NRCs innovation and transformation initiatives to adapt to the evolving nuclear industry and the future regulatory environment.

Coordinated the first NRC and National Atomic Energy Agency of Poland technical workshop to assist Poland as its regulator prepares to license the countrys first nuclear power plant.

The NRC issued a Final Supplemental Environmental Impact Statement as part of the review of the Dominion Energy Virginia's subsequent license renewal application to operate the Surry Power Station Units 1 and 2 for an additional 20 years.

The NRC staff sought public comment on the Generic Environmental Impact Statement (GEIS) scoping process for advanced reactor designs.

The NRC accepted for review the Aurora reactor combined license application from Oklo Power LLC for an advanced non-light water reactor and subsequently published in the Federal Register a notice of opportunity to intervene in an adjudicatory hearing on the application.

The NRC signed a Memorandum of Understanding with the Environmental Protection Agency to improve coordination and cooperation in the regulation of the in-situ recovery process of uranium extraction.

The NRC staff issued the final safety evaluation report for the NuScale small modular reactor design, completing the final phase of this review.

In response to the COVID-19 pandemic, the agency implemented precautionary measures to ensure the health and safety of its workforce, licensees' staff, and stakeholders in accordance with guidance provided by the Federal Government, including the Centers for Disease Control and Prevention and the Office of Personnel Management, as well as State and local authorities.

The NRC effectively conducted inspection and oversight activities while limiting opportunities for the spread of COVID-19. Impacts to NRC licensing activities and regulatory duties were minimal.

FY 2022 Congressional Budget Justification l xiii

EXECUTIVE

SUMMARY

The NRC staff efficiently processed a number of exemptions stemming from the COVID-19 pandemic while ensuring that issuance of the exemptions would not compromise public health, safety, or security.

The NRC implemented a first of a kind, deferral of all fee billings from March to July 2020, to alleviate the financial impacts of the COVID-19 pandemic.

Participated in more than 300 cooperative bilateral and multilateral meetings, in person and then virtually during the COVID-19 pandemic, providing expertise to International Atomic Energy Agency (IAEA) projects, workshops, and technical documents, demonstrating U.S. leadership in nuclear and radiation safety, security, and safeguards.

Additional FY 2020 accomplishments specific to each business line are included in each chapter.

FY 2022 Congressional Budget Justification l xiv

ABOUT THE U.S. NUCLEAR REGULATORY COMMISSION ABOUT THE U.S. NUCLEAR REGULATORY COMMISSION Mission 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.

The NRC is an independent Federal agency established by Congress. It regulates commercial nuclear power plants; research, test, and training reactors; nuclear fuel cycle facilities; and radioactive materials used in medicine, academia, and industry. The agency also regulates the transport, storage, and disposal of radioactive materials and waste and the export and import of radioactive materials. The NRC regulates industries within the United States and works with agencies around the world to enhance global nuclear safety and security. The NRCs key regulatory functions include the following:

Developing regulations and guidance, including participating in consensus standards development.

Licensing and certifying the use of nuclear materials, the operation of nuclear facilities, and the decommissioning of nuclear facilities.

Inspecting and assessing licensee operations and nuclear facilities, including incident response and investigation, and taking enforcement actions when necessary.

Evaluating domestic and international operational experience and taking generic action when appropriate.

Conducting research, holding hearings, and obtaining independent insights that support sound regulatory decision-making.

The NRCs Commission has up to five members nominated by the President and confirmed by the Senate for 5-year terms. The President designates one member to serve as Chairman.

The Chairman is the principal executive officer and spokesperson for the Commission. As a collegial body, the Commission formulates policies and regulations governing the safety and security of nuclear reactors and materials, issues orders to licensees, and adjudicates legal matters brought before it. The Executive Director for Operations carries out the policies and decisions of the Commission and directs the activities of the program and regional offices (see Figure 2).

FY 2022 Congressional Budget Justification l 1

ABOUT THE U.S. NUCLEAR REGULATORY COMMISSION Figure 2: NRC Organizational Chart FY 2022 Congressional Budget Justification l 2

ABOUT THE U.S. NUCLEAR REGULATORY COMMISSION The NRC is headquartered in Rockville, MD. The agency has four regional offices, located in King of Prussia, PA (Region I); Atlanta, GA (Region II); Lisle, IL (Region III); and Arlington, TX (Region IV). The major program offices within the NRC include the following:

The Office of Nuclear Reactor Regulation licenses and oversees activities for existing nuclear power reactors and research and test reactors and design, siting, licensing, and construction of new commercial nuclear power reactors, advanced reactor technologies, and nonpower production and utilization facilities.

The Office of Nuclear Regulatory Research provides independent expertise and information for making timely regulatory judgments, anticipating potentially significant safety problems, and resolving safety issues. It supports the development of technical regulations and standards and collects, analyzes, and disseminates information about the safety of commercial nuclear power plants and certain nuclear materials activities.

The Office of Nuclear Material Safety and Safeguards licenses and oversees the production of commercial nuclear fuel; uranium-recovery activities; decommissioning of nuclear facilities; and the use of radioactive materials in medical, industrial, academic, and commercial applications. It regulates safe storage, transportation, and disposal of high- and low-level radioactive waste and spent nuclear fuel. The office also works with other Federal agencies and State, Tribal, and local governments on regulatory matters.

The Office of Nuclear Security and Incident Response supports the program offices in overseeing the implementation of agency security policy for nuclear facilities and users of radioactive material and coordinates with other Federal agencies and international organizations on security issues. This office also maintains the NRCs emergency preparedness and incident response programs.

The regional offices conduct inspections and investigations (in conjunction with the Office of Investigations); take enforcement actions (in coordination with the Office of Enforcement); and maintain emergency response programs for nuclear reactors, fuel facilities, and materials licensees. In addition, the regions carry out licensing for certain materials licensees.

FY 2022 Congressional Budget Justification l 3

PROPOSED FY 2022 APPROPRIATIONS LEGISLATION PROPOSED FISCAL YEAR 2022 APPROPRIATIONS LEGISLATION The NRCs proposed appropriations legislation for Fiscal Year (FY) 2022 is as follows:

SALARIES AND EXPENSES For expenses necessary for the Commission in carrying out the purposes of the Energy Reorganization Act of 1974 and the Atomic Energy Act of 1954, $873,901,000, including official representation expenses not to exceed $25,000, to remain available until expended: Provided, That of the amount appropriated herein, not more than $9,500,000 may be made available for salaries, travel, and other support costs for the Office of the Commission, to remain available until September 30, 2023: Provided further, That revenues from licensing fees, inspection services, and other services and collections estimated at $745,258,000 in fiscal year 2022 shall be retained and used for necessary salaries and expenses in this account, notwithstanding 31 U.S.C. 3302, and shall remain available until expended: Provided further, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 2022 so as to result in a final fiscal year 2022 appropriation estimated at not more than $128,643,000.

OFFICE OF INSPECTOR GENERAL For expenses necessary for the Office of the Inspector General in carrying out the provisions of the Inspector General Act of 1978, $13,799,000, to remain available until September 30, 2023:

Provided, That revenues from licensing fees, inspection services, and other services and collections estimated at $11,442,000 in fiscal year 2022 shall be retained and be available until September 30, 2023, for necessary salaries and expenses in this account, notwithstanding section 3302 of title 31, United States Code: Provided further, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 2022 so as to result in a final fiscal year 2022 appropriation estimated at not more than $2,357,000: Provided further, That of the amounts appropriated under this heading, $1,146,000 shall be for Inspector General services for the Defense Nuclear Facilities Safety Board.

GENERAL PROVISIONSINDEPENDENT AGENCIES SEC. 401. (a) The amounts made available by this title for the Nuclear Regulatory Commission may be reprogrammed for any program, project, or activity, and the Commission shall notify the Committees on Appropriations of both Houses of Congress at least 30 days prior to the use of any proposed reprogramming that would cause any program funding level to increase or decrease by more than $500,000 or 10 percent, whichever is less, during the time period covered by this Act.

(b)(1) The Nuclear Regulatory Commission may waive the notification requirement in subsection (a) if compliance with such requirement would pose a substantial risk to human health, the environment, welfare, or national security.

(2) The Nuclear Regulatory Commission shall notify the Committees on Appropriations of both Houses of Congress of any waiver under paragraph (1) as soon as practicable, but not later than 3 days after the date of the activity to which a requirement or restriction would otherwise have applied. Such notice shall include an explanation of the substantial risk under paragraph (1) that permitted such waiver and shall provide a detailed report to the Committees of such waiver and changes to funding levels to programs, projects, or activities.

(c) Except as provided in subsections (a), (b), and (d), the amounts made available by this title for Nuclear Regulatory CommissionSalaries and Expenses shall be expended as directed in the joint explanatory statement accompanying this Act.

FY 2022 Congressional Budget Justification l 5

PROPOSED FY 2022 APPROPRIATIONS LEGISLATION (d) None of the funds provided for the Nuclear Regulatory Commission shall be available for obligation or expenditure through a reprogramming of funds that increases funds or personnel for any program, project, or activity for which funds are denied or restricted by this Act.

(e) The Commission shall provide a monthly report to the Committees on Appropriations of both Houses of Congress, which includes the following for each program, project, or activity, including any prior year appropriations (1) total budget authority; (2) total unobligated balances; and (3) total unliquidated obligations.

ANALYSIS OF PROPOSED FY 2022 APPROPRIATIONS LEGISLATION The analysis of the NRCs proposed appropriations legislation for FY 2022 is as follows:

SALARIES AND EXPENSES

1. FOR EXPENSES NECESSARY FOR THE COMMISSION IN CARRYING OUT THE PURPOSES OF THE ENERGY REORGANIZATION ACT OF 1974 AND THE ATOMIC ENERGY ACT OF 1954:

The NRC was established by the Energy Reorganization Act of 1974, as amended (42 United States Code (USC) 5841). This act abolished the Atomic Energy Commission (AEC) and transferred to the NRC all of the AECs licensing and related regulatory functions. These functions included those of the Atomic Safety and Licensing Board Panel and the Advisory Committee on Reactor Safeguards; responsibilities for licensing and regulating nuclear facilities and materials; and conducting research for the purpose of confirmatory assessment related to licensing, regulation, and other activities, including research related to nuclear materials safety and regulation under the provisions of the Atomic Energy Act of 1954, as amended (42 USC 2011 et seq.).

2. INCLUDING OFFICIAL REPRESENTATION EXPENSES:

47 Comp. Gen. 657, 43 Comp. Gen. 305 This language is required because of the established rule restricting an agency from charging appropriations with the cost of official representation unless the appropriations involved are specifically available for such purpose. Congress has appropriated funds for official representation expenses to the NRC and its predecessor, the AEC, each year since FY 1950.

3. TO REMAIN AVAILABLE UNTIL EXPENDED:

31 USC 1301 provides that no regular, annual appropriation shall be construed to be permanent or available continuously unless the appropriation expressly provides that it is available after the fiscal year covered by the law in which it appears (or is for specific uses not applicable here).

FY 2022 Congressional Budget Justification l 6

PROPOSED FY 2022 APPROPRIATIONS LEGISLATION

4. REVENUES FROM LICENSING FEES, INSPECTION SERVICES, AND OTHER SERVICES AND COLLECTIONS SHALL BE RETAINED AND USED FOR NECESSARY SALARIES AND EXPENSES IN THIS ACCOUNT, NOTWITHSTANDING 31 U.S.C. 3302, AND SHALL REMAIN AVAILABLE UNTIL EXPENDED:

Under Title V of the Independent Offices Appropriation Act, 1952, PL 82-137, the NRC is authorized to collect user fees from any person who receives a service or thing of value from the Commission. Pursuant to Section 102(b) of NEIMA, the NRC is required to assess and collect user fees from any person who receives a service or thing of value from the Commission and annual charges from NRC licensees and certificate holders, with the exception of the holders of any license for a federally owned research reactor used primarily for educational training and academic research purposes. In accordance with Section 102(b) of NEIMA, and consistent with this appropriations request, the annual amount of fees assessed and collected, to the maximum extent practicable, shall approximate the total budget authority of the Commission, less the budget authority for the excluded activities described in Section 102(b)(1)(B). The excluded activities are the following: any fee relief activity, as identified by the Commission; amounts appropriated to the Commission from the Nuclear Waste Fund; and amounts appropriated to the Commission for implementation of Section 3116 of the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005 (PL 108-375), generic homeland security, Inspector General services for the Defense Nuclear Facilities Safety Board, research and development at universities in areas relevant to the mission of the Commission, a nuclear science and engineering grant program, and activities related to the development of regulatory infrastructure for advanced nuclear reactor technologies.

31 USC 3302 requires the NRC to deposit all revenues collected to miscellaneous receipts of the Treasury unless specifically authorized by law to retain and use such revenues.

5. THE SUM HEREIN APPROPRIATED SHALL BE REDUCED BY THE AMOUNT OF REVENUES RECEIVED:

Pursuant to Section 102(b) of NEIMA, the NRC is required to assess and collect user fees from any person who receives a service or thing of value from the Commission and annual charges from NRC licensees and certificate holders, with the exception of the holders of any license for a federally owned research reactor used primarily for educational training and academic research purposes. In accordance with Section 102(b) of NEIMA, and consistent with this appropriations request, the annual amount of fees assessed and collected, to the maximum extent practicable, shall approximate the total budget authority of the Commission, less the budget authority for the excluded activities.

OFFICE OF THE INSPECTOR GENERAL

6. FOR EXPENSES NECESSARY FOR THE OFFICE OF THE INSPECTOR GENERAL IN CARRYING OUT THE PROVISIONS OF THE INSPECTOR GENERAL ACT OF 1978:

PL 100-504 amended the Inspector General Act of 1978, PL 95-452, 5 USC app., to establish an Office of the Inspector General (OIG) in the NRC effective in April 1989, and to require the establishment of a separate appropriation account to fund the OIG.

FY 2022 Congressional Budget Justification l 7

PROPOSED FY 2022 APPROPRIATIONS LEGISLATION

7. TO REMAIN AVAILABLE UNTIL SEPTEMBER 30, 2023:

In order for an appropriation to remain available for two fiscal years, 31 USC 1301 requires that the appropriation expressly provide that it is available after the fiscal year covered by the law in which it appears.

8. REVENUES FROM LICENSING FEES, INSPECTION SERVICES, AND OTHER SERVICES AND COLLECTIONS SHALL BE RETAINED AND BE AVAILABLE UNTIL SEPTEMBER 30, 2023, FOR NECESSARY SALARIES AND EXPENSES IN THIS ACCOUNT, NOTWITHSTANDING SECTION 3302 OF TITLE 31, UNITED STATES CODE:

Under Title V of the Independent Offices Appropriation Act, 1952, the NRC is authorized to collect user fees from any person who receives a service or thing of value from the Commission.

Pursuant to Section 102(b) of NEIMA, the NRC is required to assess and collect user fees from any person who receives a service or thing of value from the Commission and annual charges from NRC licensees and certificate holders, with the exception of the holders of any license for a federally owned research reactor used primarily for educational training and academic research purposes. In accordance with Section 102(b) of NEIMA, and consistent with this appropriations request, the annual amount of fees assessed and collected, to the maximum extent practicable, shall approximate the total budget authority of the Commission, less the budget authority for the excluded activities. Section 102(b)(1)(B) of NEIMA identifies the following excluded activity applicable to the OIG appropriation: Inspector General services for the Defense Nuclear Facilities Safety Board.

31 USC 3302 requires the NRC to deposit all revenues collected to miscellaneous receipts of the Treasury unless specifically authorized by law to retain and use such revenue.

9. THE SUM HEREIN APPROPRIATED SHALL BE REDUCED BY THE AMOUNT OF REVENUES RECEIVED:

Pursuant to Section 102(b) of NEIMA, the NRC is required to assess and collect user fees from any person who receives a service or thing of value from the Commission and annual charges from NRC licensees and certificate holders, with the exception of the holders of any license for a federally owned research reactor used primarily for educational training and academic research purposes. In accordance with Section 102(b) of NEIMA, and consistent with this appropriations request, the annual amount of fees assessed and collected, to the maximum extent practicable, shall approximate the total budget authority of the Commission, less the budget authority for the excluded activities.

10. $1,146,000 SHALL BE FOR INSPECTOR GENERAL SERVICES FOR THE DEFENSE NUCLEAR FACILITIES SAFETY BOARD:

The Consolidated Appropriations Act, 2014, PL 113-76, and the Consolidated and Further Continuing Appropriations Act, 2015, PL 113-235, authorize the NRCs Inspector General to exercise the same authorities with respect to the Defense Nuclear Facilities Safety Board, as determined by the NRCs Inspector General, as the Inspector General exercises under the Inspector General Act of 1978 (5 USC app.) with respect to the NRC. This proposed appropriations legislation language makes clear that $1,146,000 of the OIG appropriation request is available only for Inspector General services for the Defense Nuclear Facilities Safety Board.

FY 2022 Congressional Budget Justification l 8

PROPOSED FY 2022 APPROPRIATIONS LEGISLATION GENERAL PROVISIONSINDEPENDENT AGENCIES

11. SEC. 401(A)-(E):

The proposed appropriations legislation language in Section 401(a)-(e) mirrors the provision relating to reprogramming that has been included in the appropriations legislation for the NRC since FY 2016 (see Section 402 of Division D of the Consolidated Appropriations Act, 2016, PL 114-113, and Section 402 of Division A of the Energy and Water, Legislative Branch, and Military Construction and Veterans Affairs Appropriations Act, 2019, PL 115-244).

FY 2022 Congressional Budget Justification l 9

NUCLEAR REACTOR SAFETY NUCLEAR REACTOR SAFETY Nuclear Reactor Safety (Dollars in Millions)

Changes FY 2020 FY 2021 FY 2022 from Actuals Enacted Request FY 2021 Business Line $M FTE $M FTE $M FTE $M FTE Operating Reactors 358.5 1,446.8 374.3 1,471.0 388.2 1,474.0 13.8 3.0 New Reactors 74.8 276.9 78.5 284.0 89.3 309.0 10.7 25.0 Subtotal $433.4 1,723.7 $452.8 1,755.0 $477.4 1,783.0 $24.6 28.0 Authorized Carryover (19.5) (17.8)

Total $413.9 1,723.7 $435.0 1,755.0 $477.4 1,783.0 $42.4 28.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The NRCs Nuclear Reactor Safety Program encompasses licensing and oversight of civilian nuclear power reactors, research and test reactors, and other nonpower production and utilization facilities (e.g., medical radioisotope facilities) in a manner that adequately protects public health and safety. This program also provides reasonable assurance of the security of facilities and protection against radiological sabotage. This program contributes to the NRCs safety and security strategic goals through the activities of the Operating Reactors and New Reactors Business Lines that regulate existing and new nuclear reactors to ensure they meet applicable requirements.

Resources requested in the FY 2022 budget for the Nuclear Reactor Safety Program are

$477.4 million, including 1,783 FTE. This funding level represents an increase of $24.6 million, including 28 additional FTE, when compared to the FY 2021 Enacted Budget, primarily due to salaries and awards adjustments, consistent with OMB guidance and increases to workload and Information Technology resources as described within the subsequent business line sections.

Resources for the Nuclear Reactor Safety Program budget also include $23.0 million for the continued development of a regulatory infrastructure for advanced nuclear reactor technologies, a $5.3 million increase from the FY 2021 Enacted Budget.

FY 2022 Congressional Budget Justification l 11

OPERATING REACTORS OPERATING REACTORS Operating Reactors by Product Line (Dollars in Millions)

FY 2020 FY 2021 FY 2022 Changes from Actuals Enacted Request FY 2021 Product Line $M FTE $M FTE $M FTE $M FTE Event Response 16.2 45.2 15.5 45.0 16.5 48.0 1.0 3.0 Generic Homeland Security 1.5 7.2 1.6 8.0 1.4 7.0 (0.2) (1.0)

International Activities 3.4 16.9 3.6 18.0 4.2 19.0 0.7 1.0 Licensing 82.0 379.7 81.5 378.0 84.7 379.0 3.2 1.0 Oversight 118.2 493.7 116.9 497.0 123.9 493.0 7.1 (4.0)

Research 51.9 111.8 55.1 121.0 55.9 126.0 0.8 5.0 Rulemaking 5.6 26.1 7.0 33.0 6.9 32.0 (0.1) (1.0)

Mission Support and Supervisors 64.9 336.0 66.5 323.0 68.8 325.0 2.2 2.0 Training 8.9 30.2 13.8 48.0 13.4 45.0 (0.4) (3.0)

Travel 6.0 0.0 12.9 0.0 12.4 0.0 (0.5) 0.0 Subtotal $358.5 1,446.8 $374.3 1,471.0 $388.2 1,474.0 $13.8 3.0 Authorized Carryover (19.2) (17.5)

Total $339.3 1,446.8 $356.8 1,471.0 $388.2 1,474.0 $31.4 3.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The Operating Reactors Business Line encompasses the regulation of 94 operating civilian nuclear power reactors and 31 research and test reactors in a manner that provides for reasonable assurance of adequate protection of public health and safety and promotes the common defense and security.

The NRC establishes regulatory requirements for the design, construction, operation, and security of nuclear power plants, research and test reactors, and other non-power production and utilization facilities (e.g., medical isotope production facilities), in accordance with the provisions of the Atomic Energy Act of 1954, as amended (AEA). Through the activities of this business line, the NRC implements programs to meet its safety and security strategic goals in protecting both the public and workers from the radiation hazards of nuclear reactors. To ensure that plants and facilities are operating safely, the NRC licenses the plants to operate and the personnel who operate them. The NRC also supports nuclear safety through rulemaking, research, enforcement, and international activities.

FY 2022 Congressional Budget Justification l 13

OPERATING REACTORS The NRC provides continuing oversight of civilian nuclear reactors and verifies operator adherence to the agencys rules and regulations. The NRC has established requirements to ensure the security of the Nations nuclear facilities. Nuclear power plants must be able to successfully defend against a set of hypothetical threats that the agency refers to as the design-basis threat. These hypothetical threats challenge a plants physical security, personnel security, and cybersecurity. The agency continuously evaluates this set of hypothetical threats against real-world intelligence to ensure safety and security.

Figure 3: U.S. Commercial Nuclear Power Reactors Anticipated to be Operating in FY 20221 1 Palisades Nuclear Plant is scheduled to shut down in May 2022.

FY 2022 Congressional Budget Justification l 14

OPERATING REACTORS CHANGES FROM FY 2021 ENACTED BUDGET 2 Resources increase primarily to support the following:

Salaries and awards adjustments, consistent with OMB guidance (+$8.0M).

An increase in Information Technology (IT) resources and the creation of a cross-functional team to expand the mission analytics portal (MAP), a tool used to enhance and transform the agencys approach to workload planning and analysis, budget planning, communication and outreach, and decision-making, to other business lines (+$4.4M, +2.0 FTE);

The reallocation of vendor inspection resources from the New Reactors Business Line to more accurately budget for current and projected workload (+$1.6M, +8.0 FTE);

Eden Radioisotopes and Atomic Alchemy construction permit and operating licensing application reviews for medical isotope production facilities (+$1.4M, +6.6 FTE);

University of Illinois and Abilene Christian University research and test reactor construction permit application reviews (+$1.1M, +5.4 FTE);

Modernization of the MELCOR severe accident and source term analysis computer code to promote a more flexible code development and maintenance approach and enhanced flexibility for modeling modern nuclear power plant technologies and issues (+$1.0M);

Development of mobile applications for resident inspectors (+$1.0M);

Infrastructure development to enhance agency analytics capabilities using artificial intelligence (+$1.4M);

Oconee Nuclear Station, Units 1, 2, and 3, subsequent license renewal safety and environmental reviews; and generic environmental impact statement updates (+$0.5M);

An increase in licensing actions related to accident-tolerant fuel (ATF) (+$0.6M, +3.0 FTE);

NRC digital instrumentation and control (I&C) regulatory improvements by providing assistance for assessing cybersecurity threats and protective measures at NRC licensed facilities, including the use of research findings to determine whether enhancements are needed for NRC regulatory guidance and to evaluate proposed methods to address potential vulnerabilities introduced by digital I&C upgrades (+$0.5M);

The implementation of the requirements of the Foundations for Evidence-Based Policymaking Act of 2018 and the Federal Data Strategy Action Plan (+$0.8M, +4.0 FTE);

Reallocation of resources from the regional help desk to incident response center support

(+$0.8M, +4.0 FTE);

2 Resource amounts in parentheses within the Changes from the FY 2021 Enacted Budget section in each business line chapter of the FY 2022 Budget Request reflect the resource changes from the FY 2021 Enacted Budget. The list of activities described in the section is a subset of items that represent the drivers for resource changes within the business line.

FY 2022 Congressional Budget Justification l 15

OPERATING REACTORS

Development of a long-term computer code investment plan to support future use and resource requirements (+$0.9M);

Technical support for the agencys modernized headquarters conference rooms (+$0.4M);

Continuance of overall reactor safety, security, and support training in accordance with the agencys human capital strategy to maintain a highly qualified workforce (+$0.7M); and These increases are partially offset by decreases primarily as a result of the following:

The closure of Indian Point Nuclear Generating Plant, Units 2 and 3 (-$2.3M, -11.5 FTE);

The completion of activities related to flaw analysis and mitigation, probabilistic fracture mechanics calculations, and cable degradation (-$1.3M);

A reduction in contract support for molybdenum-99 applications due to work being done by the NRC staff and reductions in FTE due to the completion of the SHINE Medical Technologies, Inc. (SHINE) application review in the first quarter of FY 2022

(-$1.2M, -1.9 FTE);

A reduction of resources for licensing actions and licensing support work to align with historical budget execution (-$0.7M);

The completion of certain risk-informed licensing activities (-$0.6M, -3.0 FTE);

The completion of the Fukushima Near-Term Task Force (NTTF) work

(-$0.9M, -4.5 FTE);

The conversion of baseline inspections contract support to FTE to support operator licensing work, and to align with historical utilization (-$0.7M);

The completion of computer code development activities, planned phenomena identification and ranking tables for ATF (-$0.9M), and high burnup and enrichment extension (-$0.7M);

and

A reduction in funds allocated for travel to align with historical execution (-$0.5M).

Generally, resources budgeted in the Licensing and Oversight Product Lines impact fees for services. All other resources impact annual fees.

FY 2022 Congressional Budget Justification l 16

OPERATING REACTORS MAJOR ACTIVITIES 3 The major activities within the Operating Reactors Business Line include the following:

Perform inspections and ensure that licensed operating nuclear power reactors operate in accordance with the NRCs rules, regulations, and licensing requirements for safety and security. The Reactor Oversight Process uses both NRC inspections and performance indicators reported by licensees to assess the safety performance of each plant ($64.5M, 310.1 FTE).

Conduct safety and environmental reviews for one license renewal application (Comanche Peak Nuclear Power Plant, Units 1 and 2) and three subsequent license renewal applications (North Anna Power Station Units 1 and 2; Oconee Nuclear Station Units 1, 2, and 3; and one unnamed plant) ($11.3M, 52.0 FTE).

Complete licensing actions and other licensing tasks, including the review of license amendment requests related to digital I&C, relief requests, licensing basis reviews, quality assurance program reviews, emergency plan changes, power uprates, and risk-informed initiatives such as adopting Standard Technical Specifications and implementing 10 CFR 50.69, Risk-Informed Categorization and Treatment of Structures, Systems and Components for Nuclear Power Reactors

($44.4M, 205.1 FTE).

Conduct confirmatory and anticipatory research on topics such as seismic and structural stability; fire safety; probabilistic risk assessment, including human reliability; human factors analyses; digital I&C and electrical systems safety, including cybersecurity; materials performance; aging management of operating reactors; fuel performance; codes and standards; development and maintenance of analytical tools that support radiation protection, risk, severe accident, consequence, and thermal hydraulic assessments; evaluation of operational experience; evaluation of generic issues; and evaluation of external hazards, including flooding. Improve data science skills to support artificial intelligence and analytics projects, continue management of the computer code investment plan and the regulatory guide program, manage the agencywide innovation initiative, and conduct agency evaluation and statistical activities related to the Evidence Act and the Federal Data Strategy requirements ($48.2M, 118.6 FTE).

Conduct licensing actions (including amendments, renewals, and exemptions) and oversight activities (including security, inspections, and operator licensing examinations) for 31 non-power production and utilization facilities. Review medical isotope production facility operating license application for SHINE, joint construction permit and operating license applications for Eden Radioisotopes and Atomic Alchemy, construction permit applications for the University of Illinois and the Abilene Christian University for a research and test reactor, and preapplication activities related to reviews of the conversion of highly-enriched uranium to low-enriched uranium fuel ($9.0M, 42.1 FTE).

Conduct nine rulemakings as directed by the Commission, review an estimated 13 petitions for rulemaking, and support the development and maintenance of regulatory analysis guidance and the rulemaking infrastructure ($6.9M, 32.0 FTE).

3 The list of activities described in the Major Activities section of each business line chapter in the FY 2022 Request Budget represents a subset of activities in the business line budget request. Resource amounts in parentheses will not add to the total resources for the business line.

FY 2022 Congressional Budget Justification l 17

OPERATING REACTORS

Review topical reports, excluding those for ATF ($3.0M, 8.6 FTE).

Continue developing the licensing infrastructure and conduct confirmatory research for ATF

($3.1M, 7.6 FTE).

Continue developing the licensing infrastructure for fuel burnup and enrichment extensions

($1.9M, 1.8 FTE).

Support cybersecurity program implementation, oversight, and related program and policy issues ($3.6M, 12.3 FTE).

Satisfy international treaty and convention obligations, as well as statutory mandates. This includes leading and contributing to multilateral efforts on key nuclear safety and security issues and ensuring appropriate representation at U.S.-led interagency initiatives ($0.4M, 2.0 FTE).

Participate in international nuclear safety peer review missions (e.g., Integrated Regulatory Review Service), exchange information (including regulatory best practices) with established regulatory counterparts bilaterally and multilaterally, and participate in or lead international nuclear safety research activities ($3.1M, 15.0 FTE).

Maintain a highly qualified workforce through recruitment and staffing of entry-level positions to support the agencys Strategic Workforce Planning (SWP). Resources include support for the NRCs entry-level hiring program, as well as training and travel for those hired through the program ($4.5M, 20.0 FTE).

Continue efforts to drive transformation and implement positive change initiatives focused on modernizing and risk-informing the regulatory framework and creating a sustained culture of innovation and improvement. Initiatives will primarily focus on the Nuclear Reactor Safety Program but are anticipated to be applicable and beneficial to other NRC programs ($2.1M, 6.0 FTE).

FY 2022 Congressional Budget Justification l 18

OPERATING REACTORS Power Reactor License Renewals Schedule1 Project FY 2020 FY 2021 FY 2022 FY 2023 FY 2024 FY 2025 License Renewal

Comanche New Applications *Perry

Clinton Peak Ongoing Noncomplex *Comanche

Comanche *Clinton Reviews (i.e., no Peak2 Peak

Perry2 hearings or

Perry technical issues)

Subsequent License Renewal

North Anna New Applications *Unnamed *Oconee3 Plant3 Ongoing

Turkey Point 2

North Anna2 *Oconee2 Noncomplex

Surry2

Unnamed *Unnamed Reviews (i.e., no

Peach Bottom2 Plant Plant2 hearing)

Note: This schedule is subject to change.

1Budgeting for the license renewal applications for FY 2021-2025 is based on information received from prospective applicant and licensee correspondence or responses to NRC-issued regulatory information summaries.

2The review has been or is expected to be completed in the FY shown.

3Two subsequent license renewal applications for unnamed plants are included in the FY 2021 Enacted Budget; however, the NRC now expects one of these subsequent license renewal applications (Oconee) to be submitted in FY 2022.

FY 2022 Congressional Budget Justification l 19

OPERATING REACTORS Non-Power Reactor and Medical Radioisotope Facility Review Schedules1 Project FY 2020 FY 2021 FY 2022 FY 2023 FY 2024 FY 2025 Non-Power Reactor License Renewal

National Institute New of Standards and

General Electric Applications Technology Test Reactor (NIST)

Ongoing

Univ. of Mass-Noncomplex Lowell2 *NC State Univ2 *General Electric Reviews (i.e.,

NC State Univ *Univ of Texas2 *Univ of Cal- *General Electric2

NIST

NIST no hearings or

Univ of Texas *Univ of Cal-Davis Davis2 technical

Univ of Cal-Davis issues)

Medical Radioisotope Facilities

Eden CP & OL New

Atomic Alchemy Applications CP & OL

SHINE OL *SHINE OL *SHINE OL2 *Eden CP & OL2 Ongoing *Eden CP & OL *Atomic Alchemy Reviews *Atomic Alchemy CP & OL2 CP & OL New Non-Power Reactor Applications

University of Illinois CP New

Abilene Christian Applications University CP &

OL

University of *University of Illinois CP Illinois CP2 Ongoing *Abilene Christian *Abilene Reviews University CP & Christian OL University CP

& OL2 Notes: (1) This schedule is subject to change. (2) The Coqui RadioPharmaceuticals Corp (Coqui) construction permit (CP) application was budgeted in FY 2021, but Coqui has not provided updates to the NRC staff on the status of the application since December 2018. At this time, the NRC staff does not know when (or if) an application will be submitted and has no basis to continue planning for this review at this time.

1 Budgeting for medical radioisotope facility applications for FY 2020-2025 is based on information received from prospective applicant and licensee correspondence or responses to NRC-issued regulatory issue summaries.

2 The review has been or is expected to be completed in the FY shown.

FY 2022 Congressional Budget Justification l 20

OPERATING REACTORS Reactors Transitioning from Operating to Decommissioning Status Site FY 2020 FY 2021 FY 2022 FY 2023 FY 2024 FY 2025 Site Is with Decommissioning Group in Site Is with Site Is with Site Is with Site Is with Site Transfer Decommissioning Decommissioning Decommissioning Decommissioning Decommissioning Oyster Creek Is Complete and Low-Level Group in DLLW Group in DLLW Group in DLLW Group in DLLW Waste (DLLW) BL BL BL BL Business Line (BL)

Site Is with Site Is with Site Is with Site Is with Site Is with Site Transfer Decommissioning Decommissioning Decommissioning Decommissioning Decommissioning Pilgrim Is Complete Group in DLLW Group in DLLW Group in DLLW Group in DLLW Group in DLLW BL BL BL BL BL Site Is with Site Is with Site Is with Site Is with Site Is with Three Mile Site Transfer Decommissioning Decommissioning Decommissioning Decommissioning Decommissioning Island 1 Is Complete Group in DLLW Group in DLLW Group in DLLW Group in DLLW Group in DLLW BL BL BL BL BL Shut Down Transitioning Year Site Is with Site Is with Site Is with Indian Point April 2020 until Indian Point 3 Site Transfer Is Decommissioning Decommissioning Decommissioning 2 Transitioning Shuts Down Complete Group in DLLW Group in DLLW Group in DLLW Year BL BL BL Shut Down Site Is with Site Is with Site Is with Site Is with Duane October 2020 Decommissioning Decommissioning Decommissioning Decommissioning Operating Arnold Site Transfer Is Group in DLLW Group in DLLW Group in DLLW Group in DLLW Complete BL BL BL BL Site Is with Site Is with Site Is with Shut Down Indian Point Site Transfer Is Decommissioning Decommissioning Decommissioning Operating April 2021 3 Complete Group in DLLW Group in DLLW Group in DLLW Transitioning Year BL BL BL Expected to Site Is with Site Is with Shut Down Site Transfer Is Decommissioning Decommissioning Palisades Operating Operating May 2022 Complete Group in DLLW Group in DLLW Transitioning Year BL BL Expected to Shut Down Diablo Operating Operating Operating Operating Operating November 2024 Canyon 1 Transitioning Year Expected to Shut Down Diablo Operating Operating Operating Operating Operating August 2025 Canyon 2 Transitioning Year Data are current as of May 2021. The status of the plants transitioning from operating to decommissioning is subject to change.

FY 2022 Congressional Budget Justification l 21

OPERATING REACTORS SIGNIFICANT ACCOMPLISHMENTS IN FY 2020 Significant accomplishments within the Operating Reactors Business Line include the following:

Completed the successful merger of the Office Nuclear Reactor Regulation and the Office of New Reactors, while maintaining NRCs focus on ensuring safety and security.

Issued subsequent license renewals for Turkey Point Units 3 and 4, and Peach Bottom Units 2 and 3, within the established 18-month review schedule. This is the first time the NRC has issued renewed licenses authorizing reactor operation from 60 to 80 years.

Issued a revision to Regulatory Guide 1.187 to endorse NEI 96-07, Appendix D to comply with the requirements of 10 CFR 50.59 when performing a digital instrumentation and control (I&C) modification.

Accepted for review Waterfords digital I&C application that will pilot the use of the alternate review process for digital I&C licensing described in interim staff guidance, ISG-06, Revision

2. This alternative process allows the NRC to make an earlier safety determination before detailed design, implementation, and testing are complete.

Issued the first open phase condition (OPC) closure letters for 15 operating units. These were the first letters issued since the release of the OPC bulletin in 2012.

Revised the ATF project plan to detail the preparation strategy for increased fuel burnup and enrichment and, conducted a high burnup fuel public workshop.

Completed all decision-making on post-Fukushima seismic probabilistic risk assessment and external flooding activities, resulting in safety enhancements and an improved ability to cope against the reevaluated hazards. In addition, completed the final three safety evaluations addressing the severe accident capable hardened containment vent system (Order EA-13-109).

Accepted for review an operating license application from SHINE Medical Technologies, LLC, to operate its medical isotope production facility located in Janesville, Wisconsin.

Issued a memorandum containing recommendations for the prompt assessment and resolution of very low safety significance issues within existing regulatory processes to ensure focus on issues of greater safety significance.

Issued the final rules American Society of Mechanical Engineers 20152017 Code Editions Incorporation by Reference and Approval of American Society of Mechanical Engineers Code Cases, Revision 38.

Issued the direct final rule Reactor Vessel Material Surveillance Program Requirements (Appendix H).

Executed two cyber security full implementation inspections verifying licensee implementation of its cyber security plan in accordance with the NRC-approved plan and 10 CFR 73.54.

FY 2022 Congressional Budget Justification l 22

OPERATING REACTORS

Developed and completed eight inspections per Inspection Procedure 92707, Security Inspection of Facilities Impacted by a Local, State, or Federal Emergency Where the NRCs Ability to Conduct Triennial Force-on-Force Exercises is Limited, and evaluated lessons-learned for potential incorporation into the NRCs force-on-force inspection program.

Established the Mission Analytics Portal (MAP) and implemented various initiatives to enhance and modernize operating reactor workload management and budget processes including the development of multiple dashboards to assist in analyzing and visualizing licensing and oversight data for use in decisionmaking.

Improved the Federal Register noticing process by leveraging automated data entry and modifying the noticing schedule for select applications and issuances of amendments to operating reactor licenses resulting in substantial resource savings.

Developed and instituted an operator digitized docket for electronic submission of operator licensing applications, renewals, and medical updates. The system also enables remote completion of all operator licensing actions.

Led and supported U.S. Government delegations to address international nuclear safety conventions, including the Convention on Nuclear Safety (CNS) and the Convention on the Physical Protection of Nuclear Material. In addition, as part of CNS peer review activities, NRC evaluated more than 80 country reports and answered more than 150 questions on NRC regulatory practices.

Led or contributed to teams of international experts to prepare for and complete IAEA review service and advisory service missions (e.g., Integrated Regulatory Review Service [IRRS],

International Physical Protection Advisory Service [IPPAS], Safety Aspects of Long Term Operations (SALTO), and International Nuclear Security Advisory Service [INSServ]) to Armenia, Czech Republic, India, Japan, Malaysia, Uruguay, and the United Kingdom.

These missions review the hosts regulatory frameworks for nuclear and radiation safety and security, comparing the frameworks against the IAEA safety standards.

Negotiated and signed 15 new or renewed international research agreements, which are now in force with seven countries (Armenia, Germany, Italy, Singapore, S. Korea, Spain and the UAE), which allow for international distribution of severe accident, thermal hydraulic and radiation protection computer codes. Six multinational new or renewed agreements were also negotiated, signed, and are in force with the Organization for Economic Co-operation and Development (OECD), focusing on technical areas that include: fire protection, fuel rod behavior, severe accident phenomenology, and an analysis of information from reactor buildings and containment vessels at the Fukushima Dai-ichi nuclear power plant.

FY 2022 Congressional Budget Justification l 23

OPERATING REACTORS OTHER INDICATORS EVENT RESPONSE Emergency Response Performance Index (ERPI)* (OR-26)

Fiscal Year Target Actual Comment New indicator in FY 2021 New for FY 2021. This indicator is being added because a new internally tracked subindicator, Critical Incident Response Positions, is being included as part of the rollup to the ERPI, which provides a more FY 2021 100 accurate measure for monitoring the NRCs readiness.

FY 2022 100

Ensures the NRC maintains its readiness to respond to incidents and emergencies involving NRC-licensed facilities and radioactive materials and other events of domestic and international interest. The specific subindicators that will be included under this indicator will be evaluated and updated on an annual basis to reflect the agencys readiness to respond. Examples may include (1) training and qualifications of the different incident response teams to ensure enough personnel are trained and qualified for different incident response positions and (2) communications systems at NRC Headquarters and in the backup location are properly maintained and tested to ensure licensees and other stakeholders can report incidents consistent with the NRCs regulatory requirements.

LICENSING Number of License Renewal Applications (Units) on which Final Decision Has Been Made* (OR-01)

Fiscal Year Target Actual Comment Diablo Canyon Power Plant was expected to be completed in FY 2016 but was delayed, and the application was suspended. Other units, such as Fermi Unit 2, Grand Gulf Nuclear Station, and Seabrook Station, were expected to be completed in FY 2016, but all were FY 2016 7 5 delayed as a result of technical issues.

The target was not met as the result of the licensees decision to FY 2017 7 6 discontinue pursuit of license renewal for Diablo Canyon Power Plant.

FY 2018 1 2 FY 2019 1 3 FY 2020 2 2 FY 2021 0 Due to the low quantity of license renewal applications, this indicator FY 2022 Discontinued has been discontinued.

The targets are based on the scheduled completion of the license renewal applications under review and the schedule for future applications.

Percentage of Licensing Actions Completed in 2 Years or Less* (OR-04)

Fiscal Year Target Actual Comment FY 2016 100 100 This target was not met as a result of the need to resolve the technical FY 2017 100 99 adequacy of applications to risk-inform technical specifications.

FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 Discontinued This indicator has been consolidated into OR-27.

Excludes improved Standard Technical Specification conversions, licensing actions associated with the Fukushima NTTF recommendations, and power uprates. Also excludes license amendment requests that are unusually complex. This indicator only includes licensing actions that were accepted before July 13, 2019.

FY 2022 Congressional Budget Justification l 24

OPERATING REACTORS Percentage of Other Licensing Tasks Completed in 2 Years or Less* (OR-08)

Fiscal Year Target Actual Comment FY 2016 100 99 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 Discontinued This indicator was consolidated into OR-27.

Excludes multi-plant actions, licensing tasks associated with the Fukushima NTTF recommendations, and other unusually complex licensing tasks.

Percentage of Timely Completion of Final Safety Evaluations by the Generic Milestone Date for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (OR-27)

Fiscal Year Target Actual Comment New indicator in FY 2021 FY 2021 100 FY 2022 100

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation accepted after July 13, 2019, for this business line. This includes design certifications, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

Percentage of Reviews Completed within Resource Estimates* (OR-28)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 80

Percentage of reviews, including issuance of final safety evaluations, that do not exceed 125 percent of resource estimates when issued to licensees or applicants for all requested activities of the Commission, as identified by NEIMA.

Average Percentage of Time Allotted Used in the Established Schedule for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (OR-29)

Fiscal Year Target Actual Comment New indicator in FY 2022 115 or FY 2022 75

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation. This includes design certifications, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

A result of 100 percent indicates that, on average, actions within the reporting period were completed on the established schedule completion date. A result above or below 100 percent indicates that actions were completed after or before the established schedule completion date on average (e.g., a result of 90 percent indicates that the actions within the reporting period were completed, on average, 10 percent earlier than the established schedule completion date).

FY 2022 Congressional Budget Justification l 25

OPERATING REACTORS OVERSIGHT Percentage of All Required Baseline Inspection Procedures Completed for All Plants (OR-12.1)

Fiscal Year Target Actual Comment FY 2018 99 100 New target in FY 2018 (replacing OR-12).

FY 2019 99 100 FY 2020 99 100 FY 2021 99 FY 2022 99 Number of Final Significance Determinations Issued More Than 255 Days from the Start Date for All Potentially Greater-Than-Green Findings* (OR-13.1)

Fiscal Year Target Actual Comment New indicator in FY 2021 FY 2021 <1 This is a new indicator in FY 2021 and replaces OR-13.

>10 then 10% or 10 then FY 2022 1

This metric applies to all findings for which a preliminary determination that the finding is potentially greater than Green (e.g., to be determined, apparent violation, or preliminary greater-than-Green finding) is transmitted to the licensee, regardless of final significance. The 255-day timeframe is based on the identification date of the issue of concern (i.e., the date an issue of concern was self-revealed or the date the NRC became aware of the underlying condition leading to the issue of concern) and is the target the agency strives for when conducting significance determination process reviews. If there are more than ten greater-than-Green findings in the FY, the target is less than or equal to 10 percent. If there are 10 or fewer greater-than-Green findings in the FY, the target is less than or equal to one finding.

The 90-day timeframe referenced in OR-13 was based on the date of initial licensee notification of the preliminary significance in an inspection report, or the date the item was otherwise documented in an inspection report as an apparent violation or finding pending completion of a significance determination. Because of the low number of potentially greater-than-Green findings in the past several years, and the agencys decision to extend the period to perform reviews when voluminous documentation is submitted, one review extending beyond 90-days exceeds the 90 percent target for OR-13. The replacement of OR-13.1 accounts for the low number of potential greater-than-Green reviews the agency conducts in a year, based on its experience over the past several years.

Percentage of Technical Allegation Reviews Completed in 180 Days or Less* (OR-15)

Fiscal Year Target Actual Comment FY 2016 95 99 FY 2017 95 99 FY 2018 95 99 FY 2019 95 100 FY 2020 95 96 FY 2021 95 FY 2022 Discontinued This indicator was consolidated into OR-16.

This target also includes the calculations for New Reactors for the same indicator and is reported under Operating Reactors.

FY 2022 Congressional Budget Justification l 26

OPERATING REACTORS Percentage of Technical Allegation Reviews Completed in 360 Days or Less* (OR-16)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 100

This target also includes the calculations for New Reactors for the same indicator and is reported under Operating Reactors.

Percentage of Enforcement Actions where No Investigation Is Involved Completed in 160 Days or Less (OR-17)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 Of the three cases, one missed the metric because substantial new supplemental information was provided that needed to be reviewed and FY 2019 100 67 considered before final disposition.

FY 2020 100 100 FY 2021 100 FY 2022 Discontinued This indicator was consolidated into OR-18.

Percentage of Enforcement Actions where Investigation Is Involved Completed in 330 Days or Less (OR-18)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 100 Percentage of Investigations that Developed Sufficient Information to Reach a Conclusion on Wrongdoing Completed in 12 Months or Less (OR-19)

Fiscal Year Target Actual Comment FY 2016 80 95 FY 2017 80 97 FY 2018 80 95 FY 2019 85 92 FY 2020 85 97 FY 2021 85 FY 2022 85 FY 2022 Congressional Budget Justification l 27

OPERATING REACTORS Percentage of Investigations Completed in Time to Initiate Civil and/or Criminal Enforcement Action (OR-20)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 100 RESEARCH Combined Score on a Scale of 1 to 5 for the Technical Quality of Agency Research Technical Products*

(OR-23)

Fiscal Year Target Actual Comment FY 2016 3.75 4.43 FY 2017 3.75 4.50 Reintroduced in FY 2019. The Technical Quality Survey was discontinued in FY 2018 because of the low response rate. The agency reexamined its performance indicators and believes the Technical Quality Survey indicator provides the best quality measure for research products. The agency is focused on improving the response rate for the surveys and will explore revising the survey questions to enhance FY 2019 4.0 4.26 the value of this tool.

FY 2020 4.0 4.64 FY 2021 4.0 FY 2022 4.0

The NRC has developed a process to measure the quality of research products on a five-point scale using surveys of end users to determine the usability and added value of the products. As appropriate, the NRC will develop and add other mechanisms to this process to measure the quality of research products.

FY 2022 Congressional Budget Justification l 28

OPERATING REACTORS DISCONTINUED INDICATORS Number of Licensing Actions Completed* (OR-02)

Fiscal Year Target Actual Comment FY 2016 900 837 754 license amendment requests were submitted in FY 2016.

FY 2017 900 967 905 license amendment requests were submitted in FY 2017.

FY 2018 700 861 835 license amendment requests were submitted in FY 2018.

FY 2019 700 847 824 license amendment requests were submitted in FY 2019.

FY 2018 Discontinued Indicator tracked internally.

The timeliness metrics associated with licensing actions are better indicators of staff performance. This metric is dependent on the number of licensing actions submitted by licensees in the prior year and not solely on staff performance. Given that the NRC expects up to 10 plants to shut down over the next 4 years, combined with the potential implementation of the decommissioning rulemaking (which could reduce the number of licensing actions required to transition to decommissioning), the number of actions that will be submitted cannot FY 2020 Discontinued be estimated with sufficient accuracy.

The timeliness metrics associated with licensing actions are better indicators of staff performance. This metric is dependent on the number of licensing actions submitted by licensees in the prior year and not solely on staff performance. Given that up to 10 plants may shut down over the next 4 years, combined with the potential implementation of the decommissioning rulemaking (which could reduce the number of licensing actions required to transition to decommissioning), the number of actions that will be submitted cannot be estimated with sufficient FY 2020 Discontinued accuracy.

This indicator is no longer useful, as the NRC has issued no Information FY 2020 Discontinued Assessment Team advisories since 2014.

Replaced with indicator OR-13.1. Because of the low number of potentially greater-than-Green findings over the past several years, and the agencys decision to extend the period to perform reviews when voluminous documentation is submitted, one review extending beyond 90 days exceeds the 90 percent metric. OR-13.1 is expected to better account for the low number of potential greater-than-Green reviews the agency conducts in a year, based on its experience over the past FY 2021 Discontinued several years.

As limited by the number of licensing action requests submitted or accepted during the previous FY.

Percentage of Licensing Actions Completed in 1 Year or Less* (OR-03)

Fiscal Year Target Actual Comment FY 2016 95 95 FY 2017 95 96 FY 2018 95 98 FY 2019 95 95 FY 2020 95 92 FY 2021 Discontinued

Excludes improved Standard Technical Specification conversions, licensing actions associated with the Fukushima NTTF recommendations, and power uprates. Also excludes license amendment requests that are unusually complex.

FY 2022 Congressional Budget Justification l 29

OPERATING REACTORS Number of Other Licensing Tasks Completed* (OR-06)

Fiscal Year Target Actual Comment FY 2016 500 641 597 other licensing tasks were submitted in FY 2016.

FY 2017 500 644 655 other licensing tasks were submitted in FY 2017.

226 other licensing tasks were submitted in FY 2018.

The NRC revised the definition of other licensing tasks during FY 2016 to more accurately reflect the Congressional Budget Justification definition, remove actions that the staff initiates, and keep actions that result from licensee submittals. This revision decreased the number of actions counted as other licensing tasks for FY 2017. The target for FY 2018 more accurately reflects other licensing tasks expected to be FY 2018 300 362 completed under this new definition.

FY 2019 300 337 302 other licensing tasks were submitted in FY 2019.

As limited by the number of other licensing task requests submitted or accepted during the previous FY.

Percentage of Other Licensing Tasks Completed in 1 Year or Less* (OR-07)

Fiscal Year Target Actual Comment FY 2016 90 90 FY 2017 90 100 FY 2018 90 98 FY 2019 90 98 FY 2020 90 97

Excludes multi-plant actions, licensing tasks associated with the Fukushima NTTF recommendations, and other unusually complex licensing tasks.

Percentage of Final Significance Determinations Made within 90 Days for All Potentially Greater-Than-Green Findings (OR-13)

Fiscal Year Target Actual Comment FY 2016 90 100 FY 2017 90 100 The target was not met as a result of exceeding the 90-day target for a White finding at the Clinton Power Station. The agency decided to exceed the target by 2 weeks to allow the staff to conduct a thorough review of the high volume of additional information provided by the FY 2018 90 83 licensee.

The target was not met due to the extended review of the previously mentioned White finding at Clinton. Also, fewer greater-than-Green findings were being processed during the year due to the overall FY 2019 90 67 decreasing trend in the number of inspection findings.

The target was not met due to the extended review of a White finding at Vogtle. Also, there were fewer greater-than-Green findings were being processed during the year due to the overall decreasing trend in the FY 2020 90 67 number of inspection findings.

Percentage of Proposed Final Rules Completed in Accordance with Schedules Approved by the Commission (OR-21)

Fiscal Year Target Actual Comment FY 2016 80 100 FY 2017 80 100 FY 2018 80 100 FY 2019 80 100 FY 2020 Discontinued Indicator tracked internally.

FY 2022 Congressional Budget Justification l 30

OPERATING REACTORS Percentage Assessment of the Agency's Readiness to Respond to a Nuclear or Terrorist Emergency Situation or Other Events of National Interest* (OR-24)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 Discontinued Indicator tracked internally.

This performance index provides a single overall performance indicator of the agencys readiness to respond to a nuclear or terrorist emergency situation or other events of national interest. The index measures several activities within the Incident Response Program that are critical to support the agencys preparedness and response ability.

Percentage of Information Assessment Team Advisories Issued within 24 Hours of Notification (OR-25)

Fiscal Year Target Actual Comment No threat met the threshold for the issuance of an Information FY 2016 90 100 Assessment Team advisory for FY 2016.

No threat met the threshold for the issuance of an Information FY 2017 90 100 Assessment Team advisory for FY 2017.

No threat met the threshold for the issuance of an Information FY 2018 90 100 Assessment Team advisory for FY 2018.

No threat met the threshold for the issuance of an Information FY 2019 90 100 Assessment Team advisory for FY 2019.

FY 2022 Congressional Budget Justification l 31

NEW REACTORS NEW REACTORS New Reactors by Product Line (Dollars in Millions)

FY 2020 FY 2021 FY 2022 Changes from Actuals Enacted Request FY 2021 Product Line $M FTE $M FTE $M FTE $M FTE International Activities 0.6 2.6 0.7 3.0 1.0 4.0 0.3 1.0 Licensing 29.0 110.1 26.8 106.0 38.0 149.0 11.2 43.0 Oversight 10.1 48.6 10.8 51.0 5.7 26.0 (5.1) (25.0)

Research 19.3 47.3 17.5 37.0 20.2 40.0 2.6 3.0 Rulemaking 2.6 10.8 4.9 22.0 7.7 27.0 2.8 5.0 Mission Support and Supervisors 10.6 52.1 10.8 51.0 10.7 49.0 0.0 (2.0)

Training 2.1 5.4 4.7 14.0 3.6 14.0 (1.0) 0.0 Travel 0.6 0.0 2.3 0.0 2.3 0.0 0.1 0.0 Subtotal $74.8 276.9 $78.5 284.0 $89.3 309.0 $10.7 25.0 Authorized Carryover (0.3) (0.3)

Total $74.5 276.9 $78.2 284.0 $89.3 309.0 $11.1 25.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The New Reactors Business Line encompasses licensing and oversight of the design, siting, and construction of new nuclear power reactors, including small modular reactors (SMRs) and advanced non-light-water reactors (LWR). The new reactor activities ensure that new civilian nuclear power reactor facilities are developed and regulated in a manner consistent with the NRCs public health and safety mission.

The NRC reviews new nuclear power reactor design certification (DC), combined license (COL),

standard design approval (SDA), and early site permit (ESP) applications, consistent with 10 CFR Part 52, Licenses, Certifications, and Approvals for Nuclear Power Plants. The NRC also reviews construction permit (CP) and operating license (OL) applications for new nuclear power reactors, consistent with 10 CFR Part 50, Domestic Licensing of Production and Utilization Facilities.

The NRC conducts oversight of construction activities through inspections of facilities under construction. The NRC also updates its new reactor regulatory infrastructure to account for lessons learned, as well as interactions with all stakeholders during its licensing and oversight activities.

The NRC continues to interact with vendors about prospective SMR and advanced reactor applications and to develop novel regulatory approaches for licensing the next generation of nuclear reactors in accordance with the legislative direction provided in NEIMA.

FY 2022 Congressional Budget Justification l 33

NEW REACTORS CHANGES FROM FY 2021 ENACTED BUDGET Resources increase primarily to support the following:

Technical reviews of three advanced (non-LWR) reactor COL applications (Oklo-2, Oklo-3, and an unnamed applicant) (+$6.7M, +29.1 FTE);

10 CFR Part 53 Technology-Inclusive, Risk-Informed, and Performance-Based Regulatory Framework rulemaking (+$4.4M, +14.2 FTE);

Pre-application activities for two COL applications (Utah Associated Municipal Power System (UAMPS) and Clinch River); one standard design approval (SDA) application (NuScale) (partial year); one SMR CP application (BWRX-300) (partial year); and nine advanced reactor applications (TerraPower Molten Chloride Fast Reactor (MCFR),

TerraPower Traveling Wave Reactor (TWR), Kairos, Terrestrial, General Atomics EM2, Westinghouse eVinci (partial year), Flibe, Oklo second reactor design, and X-Energy)

(+$2.5M, +10.7 FTE);

Technical review (partial year) of the BWRX-300 SMR CP application (+$2.5M, +12.2 FTE);

Technical reviews (partial year) of one SDA application (NuScale) and one DC application (Westinghouse eVinci) (+$2.8M, +11.2 FTE);

Development of the Alignment of Licensing Processes and Lessons Learned from New Reactor Licensing (10 CFR Parts 50/52) rulemaking (+$1.0M, +2.6 FTE);

Participation in the New Halden Man-Technology-Organization Project (+$0.6M);

Operations, maintenance, and upgrades to environmental review infrastructure tools, including (1) a reviewer collaboration tool, (2) a comment response database, and (3) knowledge management tools to support reviews in the Environmental Center of Expertise associated with licensing actions (+$0.5M);

International assistance support for NRC technical and regulatory expertise requests related to large LWR, advanced reactors, and SMRs for key regulatory counterparts (e.g., Poland, Romania, etc.) under recently signed government-to-government agreements (+$0.3 M,

+1.0 FTE); and

Salaries and awards adjustments consistent with OMB guidance (+$2.6M).

These increases are partially offset by decreases primarily as a result of the following:

Fewer construction inspection activities based on the anticipated timeline for transition from construction to operation for Vogtle Electric Generating Plant, Units 3 and 4,

(-$3.7M, -17 FTE);

The movement of vendor inspections to the Operating Reactors Business Line since the majority of vendor inspection activity supports the operating reactor fleet

(-$1.6M, -8.0 FTE);

FY 2022 Congressional Budget Justification l 34

NEW REACTORS

Planned completion of the first Oklo COL application review in FY 2022

(-$2.8M, -13.2 FTE);

Expected decreased requests for licensing amendments and other licensing actions associated with the completion of Vogtle Electric Generating Plant, Units 3 and 4

(-$1.3M, -6.5 FTE);

Completion of the direct final rule for the Advanced Boiling Water Reactor DC Renewal and the NuScale DC rulemakings (-$0.4M, -1.7 FTE);

Reduced operational support for new reactor IT planning tools (-$1.3M, -1 FTE); and

Resource decreases in the New Reactors Business Line are commensurate with offsetting increases in the Operating Reactors Business Line to maintain overall reactor safety and security and support training related to the agencys human capital strategy to maintain a highly qualified workforce (-$1.0M).

Generally, resources budgeted in the Licensing and Oversight Product Lines impact fees for services. All other resources impact annual fees.

MAJOR ACTIVITIES The major activities within the New Reactors Business Line include the following:

Develop the infrastructure for advanced reactors in accordance with NEIMA and at a rate consistent with NRC projections for interest in new technologies and cognizance of prospective applicants plans ($23.0M, 56.0 FTE).

Continue to support licensing and oversight activities at Vogtle Electric Generating Plant, Units 3 and 4 ($4.0M, 19.5 FTE).

Conduct the technical review of one CP application (partial year) for BWRX-300

($2.6M, 12.2 FTE).

Conduct the technical review of one SDA application (partial year) for NuScale and one DC application (partial year) for Westinghouse eVinci ($5.1M, 22.2 FTE).

Perform preapplication activities for two COL applications (UAMPS and Clinch River); one SDA application (NuScale) (partial year); one SMR CP application (BWRX-300) (partial year); and nine advanced reactor applications (TerraPower MCFR, TerraPower TWR, Kairos, Terrestrial, General Atomics EM2, Westinghouse eVinci (partial year), Flibe, Oklo second design, and X-Energy) ($7.3M, 31.7 FTE).

Conduct the technical review of four advanced (non-LWR) reactor COL applications (Oklo, Oklo-2, Oklo-3, and an unnamed applicant) ($8.5M, 36.9 FTE).

Continue to review license amendment requests and other licensing actions for post-COL activities ($1.3M, 6.5 FTE).

Maintain a highly qualified workforce through recruitment and staffing of entry-level positions to support the agencys SWP ($1.4M, 7 FTE).

FY 2022 Congressional Budget Justification l 35

NEW REACTORS

Continue innovative approaches toward a Technology-Inclusive, Risk-Informed, and Performance-Based Regulatory Framework (10 CFR Part 53) rulemaking for advanced reactors ($4.4M, 14.2 FTE).

Conduct six rulemakings as directed by the Commission ($7.7M, 27 FTE).

Provide research support for new reactor reviews and analyses and support the development of guidance for human factors reviews and efforts to maintain and develop codes and models ($1.7M, 7 FTE).

Continue to support multilateral cooperation on new reactor design, licensing, and commissioning, including strategic information sharing with the IAEA and Nuclear Energy Agency. Continue to support bilateral cooperation activities, including the execution of work plans under the memorandum of cooperation between the NRC and the Canadian Nuclear Safety Commission on advanced reactors and SMRs. Continue to provide targeted international assistance to key regulatory counterparts (e.g., Poland, Romania, etc.) that complements ongoing U.S. Government nuclear energy priorities. In addition, continue to develop, coordinate, and implement policies related to export or import of new/advanced nuclear facilities and equipment that fall under the NRC's jurisdiction, as set forth in 10 CFR Part 110. ($1.0M, 4.0 FTE).

FY 2022 Congressional Budget Justification l 36

NEW REACTORS New Reactor FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 Reviews COL Oklo UAMPS1 UAMPS1 Oklo Oklo Oklo-2 Oklo-2 Oklo-3 Oklo-3 Oklo-2nd Design1 Unnamed Clinch River 1 DC US-APWR US-APWR US-APWR NuScale SDA1 NuScale SDA ABWR ABWR ABWR TerraPower TerraPower KHNP NuScale NuScale MCFR1,2 MCFR1,2 (APR-1400) NuScale SDA1 TerraPower TerraPower TWR1,2 NuScale TWR1,2 Kairos1,2 Kairos1,2 Terrestrial1,2 Terrestrial1,2 General Atomics General Atomics EM21,2 EM21,2 Westinghouse Westinghouse eVinci eVinci1 X-Energy1,2 X-Energy1,2 Flibe1,2 ESP Blue Castle TVA Clinch TVA Clinch River TVA Clinch River River CP GEH BWRX-300 GEH BWRX-300 SMR1 SMR 1Preapplication review 2Type of application not yet specified Figure 4: New Reactor Applications Under Review FY 2022 Congressional Budget Justification l 37

NEW REACTORS SIGNIFICANT ACCOMPLISHMENTS IN FY 2020 Significant accomplishments within the New Reactors Business Line include the following:

Issued the final safety evaluation report for the NuScale small modular reactor (SMR), the first for a SMR design, within 42-months and ahead of the scheduled final milestone date and issued the standard design approval for the NuScale design.

Issued RG 1.233, Revision 0, Guidance for a Technology-Inclusive, Risk-Informed, and Performance-Based Approach to Inform the Licensing Basis and Content of Applications for Licenses, Certifications, and Approvals for Non-Light-Water Reactors.

Risk-informed the baseline inspection program sample sizes appropriate for the AP1000 and finalized plans to transition Vogtle Electric Generating Plant, Units 3 and 4 from construction to the operating reactor oversight process.

Accepted for review a custom COL application for a novel advanced reactor design from Oklo Power, LLC to build and operate the Aurora reactor at the Idaho National Laboratory site in Idaho.

Issued proposed rule Emergency Preparedness for SMRs and Other New Technology for public comment in the Federal Register.

Implemented various data-analytic initiatives to enhance and modernize new reactor workload management including availability of dashboards to visualize Vogtle construction activities progress.

Signed two programs of work in support of the first-of-a-kind memorandum of cooperation with the Canadian Nuclear Safety Commission on the technical reviews of advanced reactors and SMRs.

Led the NRC's regulatory capacity-building support for Poland, as the country prepares to license its first nuclear power plant complementing ongoing interagency efforts on the U.S.

Government's highest, immediate term civil nuclear energy-related priority. These efforts entailed multiple NRC-National Atomic Energy Agency of Poland technical workshops that focused on workforce planning, staffing development, and other topics of interest to the Polish regulator.

Spearheaded the development of an Advanced Reactors Export Working Group, which completed a high-quality assessment of export controls for five different advanced reactor designs with support from the Department of Energy, Department of Commerce, and Department of State.

FY 2022 Congressional Budget Justification l 38

NEW REACTORS OTHER INDICATORS LICENSING LWR Application Review Timeliness and Quality* (NR-20)

Fiscal Year Target Actual Comment New indicator in FY 2020 Consolidated indicators NR-02, NR-04, NR-06, and NR-14.

FY 2020 85 97 FY 2021 85 FY 2022 Discontinued This indicator was consolidated into NR-21.

Percentage of LWR application review milestones (for ESPs, COLs, DCs, and license amendment requests) completed in accordance with the schedules and quality standards agreed upon with the applicants (within the NRCs control). This indicator only includes LWR application reviews that were accepted before July 13, 2019.

Percentage of Timely Completion of Final Safety Evaluations by the Generic Milestone Date for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (NR-21)

Fiscal Year Target Actual Comment New indicator in FY 2021 FY 2021 100 FY 2022 100

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation accepted after July 13, 2019, for this business line. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

Average Percentage of Time Allotted Used in the Established Schedule for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (NR-22)

Fiscal Year Target Actual Comment New indicator in FY 2022 115 or FY 2022 75

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

A result of 100 percent indicates that on average, actions within the reporting period were completed on the established schedule completion date. A result above or below 100 percent indicates that actions were completed after or before the established schedule completion date on average (e.g., a result of 90 percent indicates that the actions within the reporting period were completed, on average, 10 percent earlier than the established schedule completion date).

FY 2022 Congressional Budget Justification l 39

NEW REACTORS RESEARCH Acceptable Technical Quality of Agency Research Technical Products* (NR-18)

Fiscal Year Target Actual Comment FY 2016 3.75 4.31 FY 2017 3.75 4.42 FY 2018 Discontinued Indicator tracked internally.

Reintroduced in FY 2019. The Technical Quality Survey was discontinued in FY 2018 because of the low response rate. The agency reexamined its performance indicators and believes the Technical Quality Survey indicator provides the best quality measure for research products. The agency is focused on improving the response rate for the surveys and will explore revising the survey questions to enhance FY 2019 4.0 4.68 the value of this tool.

FY 2020 4.0 4.41 FY 2021 4.0 FY 2022 4.0

The NRC has developed a process to measure the quality of research products on a five-point scale using surveys of end users to determine the usability and added value of the products. As appropriate, the NRC will develop and add other mechanisms to this process to measure the quality of research products.

DISCONTINUED INDICATORS Percentage of ESP Review Interim Milestones Completed on Time (NR-02)

Fiscal Year Target Actual Comment FY 2016 85 100 FY 2017 85 100 FY 2018 85 100 FY 2019 85 100 This indicator was consolidated into NR-20 to streamline indicators for FY 2020 Discontinued timeliness of LWR application reviews.

Percentage of DC Review Interim Milestones Completed on Time (NR-04)

Fiscal Year Target Actual Comment FY 2016 85 100 FY 2017 85 100 FY 2018 85 100 This target was not met after missing the Phase 2 milestone for FY 2019 85 75 NuScale SMR review.

This indicator was consolidated into NR-20 to streamline indicators for FY 2020 Discontinued timeliness of LWR application reviews.

FY 2022 Congressional Budget Justification l 40

NEW REACTORS Percentage of Milestones for COL Application Reviews Completed in Accordance with the Schedules Agreed Upon with the Applicants (NR-06)

Fiscal Year Target Actual Comment FY 2016 85 100 FY 2017 85 100 FY 2018 85 100 FY 2019 85 No Data This indicator was consolidated into NR-20 to streamline indicators for FY 2020 Discontinued timeliness of LWR application reviews.

Percentage of License Amendment Reviews Completed on the Schedules Agreed Upon with the Licensee (within the NRC's Control) (NR-14)

Fiscal Year Target Actual Comment FY 2016 85 100 FY 2017 85 100 Although the NRC was meeting tracked dates, the agency conservatively considered the metric as not met because of a lack of supporting documentation on the determination of the schedule. In September 2018, the NRC developed a new process that better FY 2018 85 80 documents discussions about the feasibility of dates.

FY 2019 85 100 This indicator was consolidated with NR-20 to streamline indicators for FY 2020 Discontinued timeliness of LWR application reviews.

Number of Domestic and International Vendor Inspections Completed (NR-15)

Fiscal Year Target Actual Comment FY 2016 30 34 FY 2017 35 37 The target was increased based on increased workload.

Fewer inspections were performed as a result of reduced nuclear FY 2018 30 25 construction activity.

FY 2019 20 20 The target was decreased based on decreased workload.

FY 2020 Discontinued Workload is expected to decrease. Indicator tracked internally.

FY 2022 Congressional Budget Justification l 41

NEW REACTORS Percent of Proposed Final Rules Completed in Accordance with the Schedule Approved by the Commission (NR-16)

Fiscal Year Target Actual Comment FY 2016 80 N/A There were no final rulemakings in FY 2016.

FY 2017 80 N/A There were no final rulemakings in FY 2017.

FY 2018 80 100 FY 2019 80 100 FY 2020 Discontinued Rulemaking tracked with a different indicator internally.

Non-LWR Licensing Application Review Timeliness and Quality* (NR-19)

Fiscal Year Target Actual Comment New indicator in FY 2019 There were no new non-LWR licensing applications for review in FY 2019 85 No Data FY 2019.

FY 2020 85 94 FY 2021 Discontinued This indicator was consolidated into NR-21.

Percentage of interim milestones supporting non-LWR regulatory engagement plans and license application reviews that are completed on time in accordance with the schedules and quality standards agreed upon with reactor designers and applicants (within the NRCs control). This indicator only includes non-LWR licensing applications that were accepted before July 13, 2019.

FY 2022 Congressional Budget Justification l 42

NUCLEAR MATERIALS AND WASTE SAFETY NUCLEAR MATERIALS AND WASTE SAFETY Nuclear Materials and Waste Safety (Dollars in Millions)

Changes FY 2020 FY 2021 FY 2022 from Actuals Enacted Request FY 2021 Business Line $M FTE $M FTE $M FTE $M FTE Spent Fuel Storage and Transportation 25.2 98.1 28.1 102.0 28.0 99.0 (0.1) (3.0)

Nuclear Materials Users 59.7 204.3 55.5 201.0 60.3 198.0 4.8 (3.0)

Decommissioning and Low-Level Waste 21.4 83.0 22.8 86.0 22.9 85.0 0.1 (1.0)

Fuel Facilities 18.2 75.8 19.3 73.0 19.0 71.0 (0.2) (2.0)

Subtotal $124.5 461.2 $125.6 462.0 $130.2 453.0 $4.6 (9.0)

Authorized Carryover (5.7) (1.2)

Total $118.8 461.2 $124.4 462.0 $130.2 453.0 $5.8 (9.0)

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The Nuclear Materials and Waste Safety Program encompasses the NRCs licensing and oversight of nuclear materials in a manner that adequately protects public health and safety.

This program provides assurance of the physical security of the materials and waste and protection against radiological sabotage, theft, or diversion of nuclear materials. Through this program, the NRC regulates uranium processing and fuel facilities; research and pilot facilities; nuclear materials users (medical, industrial, research, and academic); spent fuel storage; spent fuel material transportation and packaging; decontamination and decommissioning of facilities; and low-level and high-level radioactive waste. The program contributes to the NRCs safety and security strategic goals through the activities of the Spent Fuel Storage and Transportation, Nuclear Materials Users, Decommissioning and Low-Level Waste, and Fuel Facilities Business Lines.

Overall resources requested in the FY 2022 budget for the Nuclear Materials and Waste Safety Program are $130.2 million, including 453.0 FTE. This funding level represents an increase of

$4.6 million, yet includes a decrease of 9.0 FTE, when compared to the FY 2021 Enacted Budget. The increase is primarily due to salaries and awards adjustments, consistent with OMB guidance, and to fully fund the Integrated Source Management Portfolio (ISMP). The FY 2022 budget does not include resources for the proposed Yucca Mountain deep geologic repository for spent nuclear fuel and other high-level radioactive waste.

FY 2022 Congressional Budget Justification l 43

SPENT FUEL STORAGE AND TRANSPORTATION SPENT FUEL STORAGE AND TRANSPORTATION Spent Fuel Storage and Transportation by Product Line (Dollars in Millions)

FY 2020 FY 2021 FY 2022 Changes from Actuals Enacted Request FY 2021 Product Line $M FTE $M FTE $M FTE $M FTE International Activities 0.2 0.7 0.2 1.0 0.2 1.0 0.0 0.0 Licensing 15.5 60.2 16.6 61.0 14.1 55.0 (2.5) (6.0)

Oversight 2.6 13.7 2.7 13.0 3.9 18.0 1.2 5.0 Research 1.5 1.6 2.7 4.0 4.1 4.0 1.4 0.0 Rulemaking 2.0 7.1 1.3 6.0 1.3 4.0 0.0 (2.0)

Mission Support and Supervisors 3.1 14.6 3.2 15.0 3.3 15.0 0.1 0.0 Training 0.2 0.2 0.7 2.0 0.7 2.0 0.0 0.0 Travel 0.3 0.0 0.6 0.0 0.5 0.0 (0.2) 0.0 Subtotal $25.2 98.1 $28.1 102.0 $28.0 99.0 $(0.1) (3.0)

Authorized Carryover (1.5) (1.0)

Total $23.7 98.1 $27.1 102.0 $28.0 99.0 $0.9 (3.0)

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The Spent Fuel Storage and Transportation Business Line activities support the safe and secure storage of spent nuclear fuel and the safe and secure transport of radioactive materials.

These activities include conducting safety, security, and environmental reviews of license applications for spent nuclear fuel storage casks and independent spent fuel storage installations (ISFSIs), as well as performing safety and security reviews of radioactive material transportation packages. This work also includes reviewing storage system and ISFSI renewal applications, developing and updating related regulations and guidance, conducting safety inspections of transportation package and storage cask vendors and fabricators, observing ISFSI operations, and performing security inspections of ISFSIs.

FY 2022 Congressional Budget Justification l 45

SPENT FUEL STORAGE AND TRANSPORTATION Figure 5: Anticipated Licensed and Operating ISFSIs by State in FY 2022 FY 2022 Congressional Budget Justification l 46

SPENT FUEL STORAGE AND TRANSPORTATION CHANGES FROM FY 2021 ENACTED BUDGET Resources decrease primarily as a result of the following:

Completion of the license application reviews for consolidated interim storage facilities and renewals for other ISFSIs (-$3.0M, -6.0 FTE); and

Near completion of the ISFSI Security and the Harmonization of Transportation Safety Requirements with IAEA Standards rulemakings (-$0.4M, -2.0 FTE).

These decreases are partially offset by increases primarily to support the following:

Development of technical bases for the review of transportation packages loaded with batch quantities of fresh ATF (+$1.3M);

Oversight activities in the regions for ISFSI pad construction, dry-run operations, and initial loading operations (+$0.4M, +2.0 FTE); and

Centralization of ISFSI resources for the oversight of the inspections from those assigned to operating reactors (+$0.7M, +3.0 FTE).

Salaries and awards adjustments consistent with OMB guidance (+$0.3M).

Generally, resources budgeted in the Licensing and Oversight Product Lines impact fees for services. All other resources impact annual fees.

MAJOR ACTIVITIES The major activities within the Spent Fuel Storage and Transportation Business Line include the following:

Perform safety, security, and environmental reviews for approximately 10 license amendment requests ($2.0M, 9.0 FTE); four general license applications for storage ($1.3M, 6.0 FTE); 69 transportation package reviews, including reviews of ATF ($4.1M, 15.0 FTE);

and develop and update related regulations and guidance ($1.3M, 6.0 FTE).

Develop technical bases for the review of transportation packages loaded with batch quantities of fresh ATF and for the establishment of regulatory guidance and infrastructure for future license applications ($2.4M, 1.0 FTE).

Support research activities for the development of technical bases for the review of transportation packages loaded with ATF ($2.4M, 1.0 FTE).

Review eight storage renewal applications ($1.3M, 6.0 FTE).

Perform security-related activities, such as security plan reviews and transportation security route approvals, which include supporting physical security inspections of ISFSI operations, reviewing security for onsite storage, and issuing ISFSI security orders for new facilities

($1.3M, 6.0 FTE).

Conduct safety inspections of ISFSI pad construction, dry-run operations, initial loading operations, and routine operations ($1.3M, 6.0 FTE).

FY 2022 Congressional Budget Justification l 47

SPENT FUEL STORAGE AND TRANSPORTATION

Conduct one rulemaking as directed by the Commission, multiple rulemaking activities to codify approval of spent fuel storage casks and support the development and maintenance of regulatory analysis guidance and the rulemaking infrastructure ($1.3M, 4.0 FTE).

Maintain a highly qualified workforce through recruitment and staffing of entry-level positions to support the agencys SWP ($0.5M, 2.0 FTE).

Perform innovation initiatives based on FY 2020 pilots, which include work to characterize storage cask safety margins to better leverage risk principles and ensure the agencys focus on the most safety significant issues, updating the topical report review process, and using graded approaches to cask certificate format and content. The latter will advance a framework such that the NRC approves general methodologies that reduce unnecessary regulatory submittals ($1.1M, 5.0 FTE).

Perform safety, security, and environmental reviews, which may include adjudicatory hearing activities for two consolidated interim storage facility applications ($0.4M, 1.0 FTE).

Satisfy international treaty and convention obligations as well as statutory mandates, including the Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management. Coordinate with IAEA to compare regulatory frameworks, share research information on storage and transportation matters, and harmonize the certification of transport packages and the licensing of storage cask designs with international standards ($0.2M, 1.0 FTE).

FY 2022 Congressional Budget Justification l 48

SPENT FUEL STORAGE AND TRANSPORTATION 80 69 69 69 70 66 60 Number of Actions 50 43 40 30 22 20 20 20 16 17 16* 16* 16*

15 13 10 2 2 2 2 2 0

FY 2018 Actual FY 2019 Actual FY 2020 FY 2021 FY 2022 Workload Inventory Workload Inventory Target/Planned Target/Planned Target/Planned Workload Inventory Workload Inventory Workload Inventory Transport Package Reviews Storage System and Storage Site Reviews Consolidated and Interim Storage Facility and Topical Safety Analysis Report Application Reviews

The 16 inspections for FY 2020, FY 2021, and FY 2022 represents the vendor and transportation inspections performed by NRC headquarters office and reported in SF-06.

Figure 6: Spent Fuel Storage and Transportation Workload Assumptions FY 2022 Congressional Budget Justification l 49

SPENT FUEL STORAGE AND TRANSPORTATION SIGNIFICANT ACCOMPLISHMENTS IN FY 2020 Significant accomplishments within the Spent Fuel Storage and Transportation Business Line include the following:

Issued several regulatory approvals to support the use of ATF. For example, (1) issued an amendment to GE Hitachi for transportation of ATF rod segments to Oak Ridge National Laboratory for post-irradiation examination; and (2) issued a Revision of a Certificate of Compliance for the Model No. Traveler package. This amendment allows Westinghouse to include in the package new contents for ATF and 7 weight percent Uranium-235 fuel rods.

Issued license renewals to two ISFSI, Rancho Seco and Humboldt Bay, for an additional 40-year term.

Continued independent oversight of continuous spent fuel loading campaigns at the San Onofre Nuclear Generating Station and Fort Calhoun Station, during the transfer of all spent fuel at the sites to dry storage containers.

Successfully implemented the ISFSI safety and security inspection programs during the COVID-19 pandemic. In responding to the pandemic, the NRC adjusted its program to include remote components of the inspection program using technology enhancements and innovative approaches to inspection. This adjustment allowed the inspection program to remain focused on nuclear and public safety. This inspection approach represents the first time that a holistic remote/onsite inspection framework has been implemented within the ISFSI inspection program.

Conducted ten Webinars to gather public comments following completion of the draft environmental impact statements (DEIS) for the two consolidated interim storage facilities. The Webinars were in addition to traditional means to comment on the DEIS such as comments via Web page, e-mail, or traditional mail. The virtual format enabled safe venues for gathering public comments in light of the COVID-19 pandemic.

Completed the pilot rulemaking implementing a graded approach for safety focused Certificates of Compliance (COC) for spent fuel storage systems. The new graded approach places the primary focus of the COC on safety related items and allows non-safety related or duplicative items to either be relocated to other regulatory documents or removed, as appropriate, which is expected to increase flexibility for certificate holders to make changes and reduce the number of subsequent amendments.

Supported international engagements including meetings with NEA and IAEA to compare regulatory frameworks and share research information on storage and transportation matters, and harmonize the certification of transport packages and licensing of storage cask designs with international standards. Continued to align internationally on the certification of transport packages through a partnership with the Department of Transportation (DOT) and assisted the DOT in revalidating five transportation certificates of foreign regulators.

FY 2022 Congressional Budget Justification l 50

SPENT FUEL STORAGE AND TRANSPORTATION OTHER INDICATORS EVENT RESPONSE Emergency Response Performance Index (ERPI)* (SF-13)

Fiscal Year Target Actual Comment New indicator in FY 2022 New for FY 2022. This indicator is being added because a new internally tracked subindicator, Critical Incident Response Positions, is being included as part of the rollup to the ERPI, which provides a more FY 2022 100 accurate measure for monitoring the NRCs readiness.

Ensures the NRC maintains its readiness to respond to incidents and emergencies involving NRC-licensed facilities and radioactive materials and other events of domestic and international interest. The specific subindicators that will be included under this indicator will be evaluated and updated on an annual basis to reflect the agencys readiness to respond. Examples may include (1) training and qualifications of the different incident response teams to ensure enough personnel are trained and qualified for different incident response positions and (2) communications systems, at NRC Headquarters and in the backup location, are properly maintained and tested to ensure licensees and other stakeholders can report incidents consistent with the NRCs regulatory requirements.

LICENSING Percentage of Spent Fuel Storage and Transportation Container and Installation Design Reviews, Renewals, and Major Licensing Actions Completed in 3 Years or Less* (SF-10)

Fiscal Year Target Actual Comment New indicator in FY 2020 Consolidated indicators SF-01, SF-02, SF-03, and SF-04.

FY 2020 85 100 FY 2021 85 FY 2022 Discontinued This indicator was consolidated into SF-14.

This indicator includes all spent fuel storage container and installation design reviews previously captured under SF-01 and SF-02; spent fuel transportation container design reviews previously captured under SF-03 and SF-04; renewals; and major licensing actions, including the review of two consolidated interim storage facilities. This indicator only includes spent fuel storage and transportation container and installation design reviews, renewals, and major licensing actions that were accepted before July 13, 2019.

Percentage of Timely Completion of Final Safety Evaluations by the Generic Milestone Date for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (SF-12)

Fiscal Year Target Actual Comment New indicator in FY 2021 FY 2021 100 FY 2022 100

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation accepted after July 13, 2019, for this business line. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

FY 2022 Congressional Budget Justification l 51

SPENT FUEL STORAGE AND TRANSPORTATION Average Percentage of Time Allotted Used in the Established Schedule for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (SF-14)

Fiscal Year Target Actual Comment New indicator in FY 2022 115 or FY 2022 75

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

A result of 100 percent indicates that on average, actions within the reporting period were completed on the established schedule completion date. A result above or below 100 percent indicates that actions were completed after or before the established schedule completion date on average (e.g., a result of 90 percent indicates that the actions within the reporting period were completed, on average, 10 percent earlier than the established schedule completion date).

OVERSIGHT Number of Spent Fuel Storage and Transportation Inspections Completed (SF-06)

Fiscal Year Target Actual Comment FY 2016 16 16 FY 2017 16 16 FY 2018 16 17 FY 2019 16 17 FY 2020 16 16 FY 2021 16 FY 2022 Discontinued This indicator is superseded by SF-15.

Percentage of Inspections Completed in accordance with Inspection Manual Chapter 2690 (SF-15)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 98 DISCONTINUED INDICATORS Percentage of Storage Container and Installation Design Reviews Completed in 13 Months or Less*

(SF-01)

Fiscal Year Target Actual Comment FY 2016 80 89 The target was not met as a result of insufficient staffing to support design reviews. Management developed staffing strategies to address FY 2017 80 63 timeliness.

FY 2018 80 100 FY 2019 80 93 FY 2020 Discontinued This indicator was consolidated into SF-10.

Modified from 12.6 months to 13 months in FY 2018 to simplify the measurement period.

FY 2022 Congressional Budget Justification l 52

SPENT FUEL STORAGE AND TRANSPORTATION Percentage of Storage Container and Installation Design Reviews Completed in 2 Years or Less (SF-02)

Fiscal Year Target Actual Comment The NRC developed a revised work prioritization strategy to improve FY 2016 100 95 this metric.

FY 2017 100 100 The target was reduced to allow for a few complex cases that are FY 2018 90 100 expected to take significantly longer than 2 years to complete.

FY 2019 90 93 FY 2020 Discontinued This indicator was consolidated into SF-10.

Percentage of Transportation Container Design Reviews Completed in 8 Months or Less* (SF-03)

Fiscal Year Target Actual Comment FY 2016 80 93 FY 2017 80 96 FY 2018 80 88 FY 2016 80 93 FY 2017 80 96 FY 2019 80 94 This indicator was incorporated and captured under SF-10 for spent fuel transportation design reviews and SF-11 for non-spent-fuel FY 2020 Discontinued transportation design reviews.

Modified from 7.4 months to 8 months in FY 2018 to simplify the measurement period.

Percentage of Transportation Container Design Reviews Completed in 2 Years or Less (SF-04)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 The target was reduced to allow for a few complex cases that are FY 2018 90 100 expected to take significantly longer than 2 years to complete.

FY 2019 90 97 This indicator was incorporated and captured under SF-10 for spent fuel transportation design reviews and SF-11 for non-spent-fuel FY 2020 Discontinued transportation design reviews.

Percentage of Non-Spent-Fuel Transportation Container Design Reviews Completed in 1 Year or Less*

(SF-11)

Fiscal Year Target Actual Comment New indicator in FY 2020 Previously part of SF-04.

FY 2020 85 100 FY 2021 Discontinued This indicator was consolidated into SF-12.

This indicator accounts for and tracks non-spent-fuel transportation container design reviews that were previously tracked under SF-04. The timeframe is being decreased from 2 years to 1 year to specify that this indicator will only capture non-spent-fuel transportation container design reviews, which generally take less time.

FY 2022 Congressional Budget Justification l 53

NUCLEAR MATERIALS USERS NUCLEAR MATERIALS USERS Nuclear Materials Users by Product Line (Dollars in Millions)

Changes FY 2020 FY 2021 FY 2022 from Actuals Enacted Request FY 2021 Product Line $M FTE $M FTE $M FTE $M FTE Event Response 0.4 1.9 0.6 3.0 0.6 3.0 0.0 0.0 Generic Homeland Security 12.3 11.0 7.5 14.0 10.4 13.0 2.9 (1.0)

International Activities 7.3 9.2 7.6 12.0 8.5 11.0 0.8 (1.0)

Licensing 9.0 47.2 8.9 43.0 9.0 42.0 0.0 (1.0)

Oversight 10.9 49.5 10.7 46.0 11.1 46.0 0.4 0.0 Research 0.7 1.1 0.4 2.0 0.4 2.0 0.0 0.0 Rulemaking 2.2 10.2 2.2 10.0 1.7 7.0 (0.6) (3.0)

State, Tribal and Federal Programs 5.3 25.0 4.7 23.0 5.3 25.0 0.6 2.0 Mission Support and Supervisors 9.3 47.1 8.8 44.0 9.4 45.0 0.6 1.0 Training 1.4 2.0 1.7 4.0 1.8 4.0 0.1 0.0 Travel 0.9 0.0 2.4 0.0 2.3 0.0 (0.1) 0.0 Subtotal $59.7 204.3 $55.5 201.0 $60.3 198.0 $4.8 (3.0)

Authorized Carryover (2.7) (0.0)

Total $57.0 204.3 $55.5 201.0 $60.3 198.0 $4.8 (3.0)

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The Nuclear Materials Users Business Line activities support the licensing and oversight of industrial, medical, and academic uses of radioactive materials. These activities include licensing, inspection, event response and evaluation, research, allegations review, enforcement, source security, import and export authorizations, rulemaking, the Integrated Materials Performance Evaluation Program (IMPEP), and programmatic assistance to Agreement States.

Activities also include intergovernmental communication and coordination, implementation of the Tribal Policy Statement and coordination with other Federal agencies on Tribal matters, and maintenance of major IT systems to support the regulatory safety and security infrastructure needed to track the possession and use of nuclear materials.

Agreement States are those States that have signed an agreement with the NRC in accordance with Section 274.b of the AEA, which authorizes the NRC to discontinue, and the State to assume, regulatory authority over certain materials cited in the AEA. With respect to Agreement States, the NRC has programmatic oversight responsibility to periodically review the State programs to ensure adequacy and compatibility. There are currently a total of 39 Agreement States.

FY 2022 Congressional Budget Justification l 55

NUCLEAR MATERIALS USERS Figure 7: Agreement States in FY 2022*

On December 10, 2020, the state of Connecticut submitted a letter of intent to become an Agreement State.

Security activities in the Nuclear Materials Users Business Line include the implementation of a national registry to ensure the control of radioactive sources of concern 4 and to prevent their malevolent use. The ISMP integrates three core systems: The National Source Tracking System, Web-Based Licensing, and the License Verification System. These systems provide one management mechanism to license and track sources and other radioactive materials.

Security-related activities also include inspecting materials facilities with radioactive materials in quantities of concern and performing prelicensing reviews of new materials license applicants.

CHANGES FROM FY 2021 ENACTED BUDGET Resources increase primarily to support the following:

To fully fund the ISMP, including streamlining materials licensee and external user community interfaces and enhance tools for materials tracking (+$3.0M);

To fully fund the international assistance support for NRC technical and regulatory expertise requests related to (1) large LWR, advanced reactors, and SMRs for key regulatory counterparts (e.g., Poland, Romania) under recently-signed government-to-government agreements and (2) the regulatory oversight of the safety and security of radioactive sources to help regulatory authorities develop appropriate skills and infrastructure to protect 4 Radioactive sources of concern refers to sources with quantities of radioactive material meeting or exceeding the category 1 and category 2 activity levels contained in 10 CFR Part 37, Physical Protection of Category 1 and Category 2 Quantities of Radioactive Materials.

FY 2022 Congressional Budget Justification l 56

NUCLEAR MATERIALS USERS radiological material from falling into the hands of terrorists in high-threat areas. Resources increase to support targeted international assistance to foreign regulatory counterparts, to develop or enhance their national regulatory infrastructures and programs, and to complement ongoing high priority U.S. Government initiatives (+$0.7M);

Organizational restructuring, including additional contract administrative assistants (+$0.3M,

+1.0 FTE); and

Salaries and awards adjustments, consistent with OMB guidance (+$0.5M).

These increases are partially offset by decreases primarily due to the following:

Alignment with historical utilization in the Generic Homeland Security Product Line

(-$0.4M, -1.0 FTE);

Discontinuation of two rulemakings: Industrial Radiographic Operations and Training rulemaking and Items Containing Byproduct Material Incidental to Production rulemaking (-

$0.6M, -3.0 FTE); and

Transferring one FTE to provide support for international assistance, such as NRC technical and regulatory expertise requests related to large LWR, advanced reactors, and SMRs for key regulatory counterparts (e.g., Poland, Romania) under recently-signed government-to-government agreements (-$0.2M, -1.0 FTE).

Generally, budgeted resources for the Nuclear Materials Users Business Line impact annual fees.

MAJOR ACTIVITIES The major activities within the Nuclear Materials Users Business Line include the following:

Complete reviews of approximately 2,000 materials licensing actions (new applications, amendments, renewals, and terminations) and approximately 900 routine health, safety, and security inspections, as well as reciprocity and reactive inspections

($10.0M, 51.0 FTE).

Support the IMPEP, outreach activities to potential new Agreement States, the assessment of Agreement State incidents/events, engagement in cooperative regulatory development with States, coordination of State participation in agency training courses, responses to State technical assistance requests, activities related to allegations about Agreement State licensees or regulatory programs, and interactions with the Conference of Radiation Control Program Directors and Organization of Agreement States regarding procedures for the Agreement State program ($4.5M, 22.0 FTE).

Implement the agencys Tribal Policy Statement, including outreach, guidance development, and staff training; coordinate with other Federal agencies on Tribal matters and NRC projects involving Tribal consideration; and update Tribal contact databases and mapping tools ($0.6M, 3.0 FTE).

Support the annual National Source Tracking System inventory reconciliation; implementation of 10 CFR Part 37; international coordination related to source security FY 2022 Congressional Budget Justification l 57

NUCLEAR MATERIALS USERS activities; intergovernmental coordination related to source security with entities such as the U.S. National Nuclear Security Administration, U.S. Department of Energy (DOE), U.S.

Department of Homeland Security, and the Radiation Source Protection and Security Task Force ($10.4M, 13.0 FTE).

Support international programs and activities to develop or enhance regulatory capacity and global controls over nuclear material and radioactive sources, consistent with the Code of Conduct on the Safety and Security of Radioactive Sources ($6.9M, 4.0 FTE).

Agreement State staff training and travel, IMPEP reviews, and IMPEP management review boards ($0.7M).

Conduct three high-priority rulemakings, review one petition for rulemaking, and maintain regulatory analysis guidance and the rulemaking infrastructure ($1.7M, 7.0 FTE).

Maintain a highly qualified workforce through recruitment and staffing of entry-level positions to support the agencys SWP ($0.2M, 1.0 FTE).

Conduct transformation and innovation initiatives to nuclear materials inspections (Inspection Manual Chapter 2800, Materials Inspection Program) related to the reassessment of inspection frequency and scope, disposition of issues of low safety-significance, and use of IT to complete inspections. Innovations include the use of technology to issue an inspection report in the field and of risk insights to strategically focus inspection activities ($0.2M, 1.0 FTE).

Satisfy international treaty and convention obligations, commitments, and statutory mandates including developing, coordinating and implementing policies related to export or import of nuclear materials and equipment that fall under the NRC's jurisdiction, as set forth in 10 CFR Part 110 ($1.6M, 7.0 FTE).

Support the sharing of cooperative information, knowledge, and technical expertise with established international regulatory counterparts for enhancing both the NRC's and international counterparts' regulatory programs ($0.2M, 1.0 FTE).

FY 2022 Congressional Budget Justification l 58

NUCLEAR MATERIALS USERS Figure 8: Nuclear Materials Users Workload FY 2022 Congressional Budget Justification l 59

NUCLEAR MATERIALS USERS SIGNIFICANT ACCOMPLISHMENTS IN FY 2020 Significant accomplishments within the Nuclear Materials Users Business Line include the following:

Developed three exemption templates for use by materials licensees, conducted three public meetings, issued an enforcement guidance memorandum to address enforcement discretion, and processed more than 30 exemptions for temporary regulatory relief during the COVID-19 pandemic.

Issued a major revision to Inspection Manual Chapter (IMC) 2800, Materials Inspection Program. This revision enhances coordination and communication among the NRC Agreement States, revises the documentation of materials inspections, allows flexibility for in-office reviews, and incorporates reciprocity inspection information.

Issued two information notices related to medical issues, IN-19-11, Strontium-82/Rubidium-82 Generator Elution Events and Issues, and IN-19-12, Recent Reported Medical Events Involving the Administration of Yttrium-90 Microspheres for Therapeutic Medical Procedures.

Applied several process efficiencies to complete the development and submission of the Individual Monitoring Devices direct final rule. The direct final rule was effective on June 16, 2020, and allows radiographic, irradiator, and well logging licensees to use modern digital personnel dosimetry.

Hosted two Champions Chat via Webex. The Champions Chat is an outreach vehicle to encourage communication in an open forum among the NRC and the Agreement States on topics of interest to the National Materials Program.

Developed a feature in Web-based Licensing, part of the ISMP, for generating materials inspection reports and inspection trip planning.

Developed a system to efficiently update the tribal leader and tribal historic preservation officer contact information in the NRCs State and Tribal phone book. The new system and associated contact information updates should significantly improve efficiency in contacting Tribes for environmental reviews and other outreach activities.

Managed the NRCs export/import licensing program to ensure all proposed exports met legal and regulatory requirements.

Led bilateral and regional (Africa, Latin America and the Caribbean, Eastern Europe and Central Asia) regulatory assistance efforts, including continued development and completion of verified national registries of radioactive sources, support with review of regulatory development, and execution of workshops on oversight of medical and industrial sources.

Latter half of FY 2020 activities were accomplished virtually due to the COVID-19 pandemic.

Engaged internationally and domestically to enhance nuclear safety and security through regulatory oversight of radioactive sources, including coordination with IAEA to compare regulatory frameworks, share information on, and develop international safety standards and guidance on the safety of radioactive sources and radiation safety.

FY 2022 Congressional Budget Justification l 60

NUCLEAR MATERIALS USERS

Approved a plan to coordinate with Department of Commerce (DOC) to issue companion final rules amending NRCs regulations and corresponding DOC regulations to transfer to DOC the authority for licensing exports of deuterium, heavy water, deuterium gas, or deuterated compounds intended for non-nuclear end uses.

FY 2022 Congressional Budget Justification l 61

NUCLEAR MATERIALS USERS OTHER INDICATORS EVENT RESPONSE Emergency Response Performance Index (ERPI)* (NM-22)

Fiscal Year Target Actual Comment New indicator in FY 2021 New for FY 2021. This indicator is being added because a new internally tracked subindicator, Critical Incident Response Positions, is being included as part of the rollup to the ERPI, which provides a more FY 2021 100 accurate measure for monitoring the NRCs readiness.

FY 2022 100

Ensures the NRC maintains its readiness to respond to incidents and emergencies involving NRC-licensed facilities and radioactive materials and other events of domestic and international interest. The specific subindicators that will be included under this indicator will be evaluated and updated on an annual basis to reflect the agencys readiness to respond. Examples may include (1) training and qualifications of the different incident response teams to ensure enough personnel are trained and qualified for different incident response positions and (2) communications systems at NRC Headquarters and in the backup location are properly maintained and tested to ensure licensees and other stakeholders can report incidents consistent with the NRCs regulatory requirements.

LICENSING Percentage of Licensing Application Reviews for New Materials Licenses and License Amendments (Excluding Change of Control Amendments)* Completed in 90 Days or Less (NM-01)

Fiscal Year Target Actual Comment FY 2016 92 95 FY 2017 92 93 FY 2018 92 96 FY 2019* 92 97 FY 2020 92 95 FY 2021 92 FY 2022 92

Beginning in FY 2019, this indicator description excludes change of control amendments. The process for reviewing change of control amendments involves public notification and legal steps that are more complex and require more time than for other typical amendment reviews. Change of control amendments are now captured under NM-03.

Percentage of Licensing Application Reviews for New Materials Licenses and License Amendments (Excluding Change of Control Amendments)* Completed in 2 Years or Less (NM-02)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019* 100 100 FY 2020 100 100 FY 2021 100 FY 2022 Discontinued This indicator was consolidated into NM-01.

Beginning in FY 2019, change of control amendments are captured under NM-04.

FY 2022 Congressional Budget Justification l 62

NUCLEAR MATERIALS USERS Percentage of Licensing Application Reviews for Materials License Renewals and Sealed Source and Devices Reviews and Associated Licensing Actions, and Change of Control Amendments* Completed in 180 Days or Less (NM-03)

Fiscal Year Target Actual Comment FY 2016 92 94 FY 2017 92 96 FY 2018 92 100 FY 2019* 92 99 FY 2020 92 97 FY 2021 92 FY 2022 92

Change of control amendments were added to this indicator description beginning in FY 2019. As of FY 2019, change of control amendments that were being captured in NM-01 are captured under NM-03.

Percentage of Licensing Application Reviews for Materials License Renewals and Sealed Source and Devices Reviews and Associated Licensing Actions and Change of Control Amendments* Completed in 2 Years or Less (NM-04)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019* 100 100 FY 2020* 100 100 FY 2021* 100 FY 2022 Discontinued This indicator was consolidated into NM-03.

Change of control amendments were added to this indicator description beginning in FY 2019. As of FY 2019, change of control amendments that were being captured in NM-02 are captured under NM-04.

OVERSIGHT Percentage of Safety Inspections of Materials Licensees Completed on Time (NM-05)

Fiscal Year Target Actual Comment FY 2016 98 100 FY 2017 98 100 FY 2018 98 99 FY 2019 98 100 FY 2020 98 99 FY 2021 98 FY 2022 98 Percentage of Technical Allegation Reviews Completed in 180 Days or Less* (NM-07)

Fiscal Year Target Actual Comment FY 2016 95 95 FY 2017 95 100 FY 2018 95 100 FY 2019 95 100 FY 2020 95 97 FY 2021 95 FY 2022 Discontinued This indicator was consolidated into NM-08.

This indicator also includes technical allegation reviews for Decommissioning and Low-Level Waste.

FY 2022 Congressional Budget Justification l 63

NUCLEAR MATERIALS USERS Percentage of Technical Allegation Reviews Completed in 360 Days or Less*(NM-08)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 100

This target also includes the calculations for Decommissioning and Low-Level Waste for the same indicator and is reported under Nuclear Materials Users.

Percentage of Enforcement Actions Where No Investigation Is Involved Completed in 160 Days or Less (NM-09)

Fiscal Year Target Actual Comment The staff focused on the early identification of enforcement cases that were likely to involve complex technical, legal, or policy issues that FY 2016 100 96 needed to be resolved across multiple program offices to ensure timely resolution.

FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 The staff identified the need for additional internal controls to engage FY 2020 100 94 the appropriate decision-makers earlier to resolve issues, prior to exceeding the timeliness goal.

FY 2021 100 FY 2022 Discontinued This indicator was consolidated into NM-10.

Percentage of Enforcement Actions in which Investigation Is Involved Completed in 330 Days or Less*

(NM-10)

Fiscal Year Target Actual Comment FY 2016 100 100 One action was completed beyond the target date because of the FY 2017 100 86 challenging nature of the issues involved.

FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 100

This indicator also includes calculations for the same indicator for the Decommissioning and Low-Level Waste, Fuel Facilities, and Spent Fuel Storage and Transportation Business Lines.

FY 2022 Congressional Budget Justification l 64

NUCLEAR MATERIALS USERS Percentage of Investigations that Developed Sufficient Information to Reach a Conclusion on Wrongdoing Completed within 12 Months or Less* (NM-11)

Fiscal Year Target Actual Comment FY 2016 85 88 FY 2017 85 89 FY 2018 85 87 FY 2019 85 94 Investigations are un-predictable in nature and issues related to complexity, Department of Justice involvement, or investigative standards to conduct thorough investigations can cause them to go beyond the self-imposed timeliness standard. During this Fiscal Year, there were only 12 investigation closed in this category of which four FY 2020 85 58 were delayed in closing in order to resolve unforeseeable issues.

However, this did result in a comprehensive review of the investigation timeliness standards and the Office of Investigations has updated policy and guidance, increased operational oversight, and updated performance standards.

FY 2021 85 FY 2022 85

This indicator also includes calculations for the same indicator for the Decommissioning and Low-Level Waste, Fuel Facilities, and Spent Fuel Storage and Transportation Business Lines.

Percentage of Investigations Completed in Time to Initiate Civil Enforcement and/or Criminal Prosecution Action* (NM-12)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 100

This indicator also includes calculations for the same indicator for the Decommissioning and Low-Level Waste, Fuel Facilities, and Spent Fuel Storage and Transportation Business Lines.

FY 2022 Congressional Budget Justification l 65

NUCLEAR MATERIALS USERS STATE, TRIBAL, AND FEDERAL PROGRAMS Number of Integrated Materials Performance Evaluation Program Review Reports Not Completed within 30 Days of the Management Review Board Meeting (NM-21)

Fiscal Year Target Actual Comment New indicator in FY 2018 FY 2018 <2 1 FY 2019 <2 0 FY 2020 <2 0 FY 2021 <2 A new indicator was created (NM-23) that will track the health of the NRC and Agreement State programs at a national level by focusing on FY 2022 Discontinued the outcomes of the IMPEP reviews.

Percentage of Materials Programs with More than One Unsatisfactory Performance Indicator (NM-23)

Fiscal Year Target Actual Comment New indicator in FY 2022 This indicator would track the percentage of materials programs with FY 2022 0 more than one unsatisfactory performance indicator.

DISCONTINUED INDICATORS Percentage Assessment of the Agencys Readiness To Respond to a Nuclear or Terrorist Emergency Situation or Other Event of National Interest (NM-17)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 Discontinued Indicator tracked internally.

Percentage of Information Assessment Team Advisories Issued within 24 Hours of Notification (NM-18)

Fiscal Year Target Actual Comment FY 2016 90 100 FY 2017 90 100 FY 2018 90 100 FY 2019 90 100 This indicator is no longer useful, as the NRC has issued no Information FY 2020 Discontinued Assessment Team advisories since 2014.

FY 2022 Congressional Budget Justification l 66

DECOMMISSIONING AND LOW-LEVEL WASTE DECOMMISSIONING AND LOW-LEVEL WASTE Decommissioning and Low-Level Waste by Product Line (Dollars in Millions)

Changes FY 2020 FY 2021 FY 2022 from Actuals Enacted Request FY 2021 Product Line $M FTE $M FTE $M FTE $M FTE International Activities 0.6 2.5 0.7 3.0 0.5 2.0 (0.2) (1.0)

Licensing 10.6 41.5 10.6 39.0 10.0 36.0 (0.6) (3.0)

Oversight 4.8 20.3 4.8 21.0 5.4 23.0 0.6 2.0 Research 0.8 1.7 0.8 1.0 0.8 1.0 0.0 0.0 Rulemaking 1.3 5.4 1.5 7.0 1.6 7.0 0.0 0.0 Mission Support and Supervisors 2.4 11.4 2.7 13.0 3.0 14.0 0.3 1.0 Training 0.6 0.2 0.9 2.0 0.9 2.0 0.0 0.0 Travel 0.2 0.0 0.8 0.0 0.7 0.0 (0.1) 0.0 Subtotal $21.4 83.0 $22.8 86.0 $22.9 85.0 $0.1 (1.0)

Authorized Carryover (1.1) (0.2)

Total $20.3 83.0 $22.6 86.0 $22.9 85.0 $0.3 (1.0)

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The Decommissioning and Low-Level Waste Business Line activities support the licensing and oversight of uranium recovery facilities and sites undergoing decommissioning. This business line also oversees the national low-level waste program and monitors DOEs WIR activities at the Savannah River Site and the Idaho National Laboratory consistent with the NRCs responsibilities under the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005. Other business line activities include interfacing with licensees, applicants, Federal and State agencies, Tribal governments, and the public.

Decommissioning is the safe removal of a nuclear facility from service and the reduction of residual radioactivity to a level that permits the termination of the NRC license. The NRC has established site release criteria and provides for unrestricted or, under certain conditions, restricted release of a site. The NRC regulates the decommissioning of complex materials sites, fuel cycle facilities, uranium recovery facilities, power reactors, and research and test reactors, with the goal of license termination.

FY 2022 Congressional Budget Justification l 67

DECOMMISSIONING AND LOW-LEVEL WASTE Figure 9: Anticipated Locations of NRC-Regulated Sites Undergoing Decommissioning in FY 2022 FY 2022 Congressional Budget Justification l 68

DECOMMISSIONING AND LOW-LEVEL WASTE CHANGES FROM FY 2021 ENACTED BUDGET Resources increase primarily to support the following:

Workload for decommissioning reviews (+$0.4M, +2.0 FTE);

An increase in inspection activities for decommissioning power reactors

(+$0.2M, +1.0 FTE);

Greater-than-Class C waste case-by-case reviews (+$0.5M, +1.0 FTE);

Administrative support for non-WIR licensing actions (+$0.2M, +1.0 FTE); and

Salaries and awards adjustments, consistent with OMB guidance (+$0.3M).

These increases are offset by decreases primarily as a result of the following:

A reduction in expected workload on decommissioning guidance development and updates and a reduction in licensing activities for research and test reactors in decommissioning

(-$0.4M, -1.0 FTE);

An anticipated reduction in workload for materials and decommissioning reactor licensing actions (-$0.6M, -2.0 FTE);

Reduced casework for uranium recovery licensing actions associated with new applications, expansions, and restarts (-$0.2M, -1.0 FTE); and

A reduction to align with historical execution in the Licensing Product Line

(-$0.2M, -1.0 FTE).

Generally, resources budgeted in the Licensing and Oversight Product Lines impact fees for services. All other resources impact annual fees.

MAJOR ACTIVITIES The major activities within the Decommissioning and Low-Level Waste Business Line include the following:

Perform licensing and oversight activities for decommissioning three research and test reactors ($0.3M, 1.0 FTE).

Perform licensing and oversight activities for 22 power reactors within the power reactor decommissioning program, including the addition of Indian Point Nuclear Generating Station, Unit 2 and 3 ($2.9M, 12.0 FTE).

Perform licensing and oversight associated with one licensed uranium recovery facility and two licensed, but not yet constructed, uranium recovery facilities ($0.7M, 3.0 FTE).

Perform licensing and oversight of 10 complex materials sites undergoing decommissioning, including the West Valley Demonstration Project and depleted uranium sites. Perform activities under the Memorandum of Understanding with the U.S. Department of Defense to minimize dual regulation and duplicative regulatory requirements at military sites with radioactive materials ($2.4M, 10.0 FTE).

FY 2022 Congressional Budget Justification l 69

DECOMMISSIONING AND LOW-LEVEL WASTE

Perform licensing and oversight of five private uranium mill sites undergoing decommissioning. Conduct oversight of 30 decommissioned Uranium Mill Tailings Radiation Control Act (UMTRCA) Title I sites and eight decommissioned UMTRCA Title II sites that are under long-term care and maintenance by DOE ($1.5M, 7.0 FTE).

Coordinate the National Low-Level Waste (LLW) Program, including developing guidance, supporting IMPEP evaluations in the low-level waste area, addressing requests under 10 CFR 20.2002, Methods for Obtaining Approval of Proposed Disposal Procedures, and responding to inquiries from Agreement States ($1.1M, 5.0 FTE).

Conduct four rulemakings, review one petition for rulemaking, conduct environmental reviews for three rulemakings, and develop and maintain regulatory analysis guidance and the rulemaking infrastructure ($1.6M, 7.0 FTE).

Provide oversight of the activities related to WIR, including monitoring activities at the DOE Savannah River Site and Idaho National Laboratory ($0.8M, 4.0 FTE).

Conduct research activities to support the application of new technologies at complex sites and analytical tools used in decommissioning reviews ($0.8M, 1.0 FTE).

Maintain a highly qualified workforce through recruitment and staffing of entry-level positions to support the agencys SWP ($0.5M, 2.0 FTE).

Support cooperative programs to exchange information with regulatory counterparts bilaterally and multilaterally on decommissioning issues, the licensing of uranium recovery facilities, the development of regulations for the handling and disposal of low-level waste, and the decommissioning process for power reactors and other nuclear facilities ($0.2M, 1.0 FTE).

Satisfy international treaty and convention obligations as well as statutory mandates, including the Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management ($0.3M, 1.0 FTE).

FY 2022 Congressional Budget Justification l 70

DECOMMISSIONING AND LOW-LEVEL WASTE Figure 10: UMTRCA and Complex Materials Sites FY 2022 Congressional Budget Justification l 71

DECOMMISSIONING AND LOW-LEVEL WASTE Figure 11: Research and Test Reactors and Power/Early Demonstration Reactors Undergoing Decommissioning FY 2022 Congressional Budget Justification l 72

DECOMMISSIONING AND LOW-LEVEL WASTE Figure 12: Uranium Recovery Licensed Facilities and Major Licensing Actions FY 2022 Congressional Budget Justification l 73

DECOMMISSIONING AND LOW-LEVEL WASTE SIGNIFICANT ACCOMPLISHMENTS IN FY 2020 Significant accomplishments within the Decommissioning and Low-Level Waste Business Line include the following:

Approved the transfer of the license for Crystal River 3 from Duke Energy Florida to Accelerated Decommissioning Partners LLC subsidiary ADP CR3, for the purpose of decommissioning.

Conducted oversight activities associated with the non-military radium program and revised an MOU with the U.S. National Park Service (NPS) for NRC's involvement in the cleanup of unlicensed radioactive material, including discrete sources of radium, at NPS' Gateway National Recreation Area in New York City.

Executed the MOU with the U.S. Department of Defense to minimize dual regulation and duplicative regulatory requirements at military sites with radioactive materials under the Defense Environmental Restoration Program.

Completed a Safety Evaluation Report for the relocation of Northeast Church Rock uranium mine waste to on top of the existing tailings impoundment at the Church Rock site in New Mexico.

Issued the guidance document for alternative disposal requests entitled, "Guidance for the Reviews of Proposed Disposal Procedures and Transfers of Radioactive Material Under 10 CFR 20.2002 and 10 CFR 40.13(a)."

Completed a consultative review and issued a Technical Evaluation Report for the WIR Evaluation of Hanford Vitrified Low Activity Waste.

Issued the Reactor Decommissioning Financial Assurance Working Group final report which addressed the sufficiency of funding for power reactor decommissioning and identified enhancements for guidance and procedures to improve the programs effectiveness, efficiency, and transparency.

Submitted the final report to Congress in accordance with the Nuclear Energy Innovation and Modernization Act (NEIMA), Section 108 outlining the best practices for establishment and operation of local community advisory boards.

Issued the results of the implementation plan to identify depleted uranium on military ranges and determine its licensing status.

FY 2022 Congressional Budget Justification l 74

DECOMMISSIONING AND LOW-LEVEL WASTE OTHER INDICATORS LICENSING Percentage of Licensing Actions Including Interim Milestones Completed as Scheduled* (DL-05)

Fiscal Year Target Actual Comment The target was changed to a percentage beginning in FY 2016 to FY 2016 90 100 provide a more informative indicator.

FY 2017 90 98 FY 2018 90 94 FY 2019 90 97 FY 2020 90 97.5 FY 2021 90 FY 2022 Discontinued This indicator was consolidated into DL-10.

This indicator only includes decommissioning and low-level waste licensing actions that were accepted before July 13, 2019.

Percentage of Timely Completion of Final Safety Evaluations by the Generic Milestone Date for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (DL-10)

Fiscal Year Target Actual Comment New indicator in FY 2021 FY 2021 100 FY 2022 100

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation accepted after July 13, 2019, for this business line. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

Average Percentage of Time Allotted Used in the Established Schedule for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (DL-11)

Fiscal Year Target Actual Comment New indicator in FY 2022 115 or FY 2022 75

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

A result of 100 percent indicates that on average, actions within the reporting period were completed on the established schedule completion date. A result above or below 100 percent indicates that actions were completed after or before the established schedule completion date on average (e.g., a result of 90 percent indicates that the actions within the reporting period were completed, on average, 10 percent earlier than the established schedule completion date).

FY 2022 Congressional Budget Justification l 75

DECOMMISSIONING AND LOW-LEVEL WASTE OVERSIGHT Percentage of Required Inspections Completed in Accordance with the Applicable Inspection Manual Chapter *(DL-12)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 98

This indicator includes the completion of required inspections under Inspection Manual Chapter 2561, Decommissioning Power Reactor Inspection Program, for decommissioning power reactors and Inspection Manual Chapter 2602, Decommissioning Oversight and Inspection Program for Fuel Cycle Facilities and Materials Licensees, for decommissioning materials sites.

DISCONTINUED INDICATORS Percentage of Environmental Reviews and Environmental Review Documents Completed as Scheduled (DL-01)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 Completion of environmental reviews associated with licensing actions is reported as a part of DL-05. The discontinuation of this indicator reduces the duplication of reporting requirements, as environmental FY 2020 Discontinued reviews are an interim step of a licensing action.

FY 2022 Congressional Budget Justification l 76

FUEL FACILITIES FUEL FACILITIES Fuel Facilities by Product Line (Dollars in Millions)

Changes FY 2020 FY 2021 FY 2022 from Actuals Enacted Request FY 2021 Product Line $M FTE $M FTE $M FTE $M FTE Event Response 0.3 1.4 0.4 2.0 0.4 2.0 0.0 0.0 Generic Homeland Security 2.1 2.9 2.7 3.0 2.5 3.0 (0.2) 0.0 International Activities 1.4 7.1 1.4 7.0 1.6 7.0 0.0 0.0 Licensing 4.8 20.1 4.8 19.0 4.9 19.5 0.1 0.5 Oversight 5.2 25.6 5.8 26.0 5.6 24.5 (0.1) (1.5)

Rulemaking 0.1 0.6 0.2 1.0 0.0 0.0 (0.2) (1.0)

Mission Support and Supervisors 3.5 18.1 2.8 14.0 2.9 14.0 0.1 0.0 Training 0.5 0.0 0.5 1.0 0.4 1.0 0.0 0.0 Travel 0.3 0.0 0.8 0.0 0.7 0.0 (0.1) 0.0 Subtotal $18.2 75.8 $19.3 73.0 $19.0 71.0 $(0.2) (2.0)

Authorized Carryover (0.4) (0.0)

Total $17.8 75.8 $19.3 73.0 $19.0 71.0 $(0.2) (2.0)

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The Fuel Facilities Business Line encompasses the licensing and oversight of fuel cycle facilities in a manner that adequately protects public health and safety and promotes the common defense and security. The uranium fuel cycle begins with uranium ore that is mined and then milled to extract uranium from the ore. The Fuel Facilities Business Line includes licensing and oversight activities related to fuel conversion, enrichment, and fuel fabrication.

Conversion of the uranium changes it into a form suitable for enrichment. The enrichment process makes uranium suitable for use as nuclear fuel.

The Fuel Facilities Business Line also provides licensing and oversight support for a number of additional licensees that possess greater-than-critical-mass quantities of special nuclear material (SNM), such as universities and research and test facilities.

FY 2022 Congressional Budget Justification l 77

FUEL FACILITIES Figure 13: Locations of Licensed Fuel Cycle Facilities Some licensed fuel facilities possess SNM, such as plutonium and enriched uranium. Those licensees verify and document their inventories and material transfers in the Nuclear Materials Management and Safeguards System database. This database is operated by DOEs Office of Nuclear Materials Integration and is jointly supported by DOE and the NRC under the Fuel Facilities Business Line. Fuel Facilities Business Line activities also include the implementation of international safeguards in the United States at NRC-licensed facilities and NRC representation on multiple interagency safeguards groups. In addition, the Fuel Facilities Business Line supports interactions with the Nuclear Materials Information Program (NMIP) and the interagency agreement with DOE for the certification and accreditation of classified computer systems at enrichment facilities.

The NMIP is an interagency effort managed by DOEs Office of Intelligence and Counterintelligence, in close coordination with the U.S. Departments of State, Defense, Homeland Security, and Justice, as well as the NRC and agencies under the Director of National Intelligence. The goal of the NMIP is to consolidate information from all sources pertaining to worldwide nuclear materials holdings and their security status into an integrated and continuously updated information management system.

Other activities supported by the Fuel Facilities Business Line include licensing reviews, inspections, allegation and enforcement, rulemaking, emergency preparedness, international cooperation and assistance, IAEA missions, and import and export licensing.

FY 2022 Congressional Budget Justification l 78

FUEL FACILITIES CHANGES FROM FY 2021 ENACTED BUDGET Resources decrease primarily as a result of the following:

Efficiencies gained as a result of implemented enhancements to the licensing program

(-$0.6M, -3.0 FTE);

Enhancements made to the Fuel Facility Oversight Program through the implementation of the Smarter Inspection Program (-$0.2M, -1.0 FTE) and to align with historical utilization

(-$0.2M, -1.0 FTE);

A decline in expected workload for generic homeland security (-$0.2M); and

Elimination of funding for the Cyber Security for Fuel Facilities rulemaking (-$0.2M,

-1.0 FTE).

These decreases are partially offset by increases primarily to support the following:

An environmental review for a major fuel manufacturing facility license application (X-Energy), one greater-than-critical-mass application (University of Texas), and three greater-than-critical-mass renewal applications (Sensor Concepts & Applications, Oregon State University, and Idaho State University) (+$0.8M, +4.0 FTE); and

Salaries and awards adjustments, consistent with OMB guidance (+$0.3M).

Generally, resources budgeted in the Licensing and Oversight Product Lines impact fees for services. All other resources impact annual fees.

MAJOR ACTIVITIES The major activities within the Fuel Facilities Business Line include the following:

Conduct licensing, oversight, and regulatory activities for 10 major fuel facilities and 9 greater-than-critical-mass SNM licensees ($8.4M, 39.0 FTE).

Review one new fuel facility license application (X-Energy), including the environmental review ($1.7M, 5.0 FTE).

Maintain the Nuclear Materials Management and Safeguards System for SNM

($2.1M, 1.0 FTE).

Support national obligations related to nonproliferation ($1.2M, 6.0 FTE).

Sustain U.S. nonproliferation activities by supporting national obligations, implementing international safeguards, and licensing the import and export of nuclear materials and equipment ($1.0M, 5.0 FTE).

FY 2022 Congressional Budget Justification l 79

FUEL FACILITIES

Support the NRCs work with international counterparts including reciprocal commitments under bilateral peaceful nuclear cooperation agreements and activities involving obligation tracking, treaty compliance, and reviews under 10 CFR Part 810. Assistance to Foreign Atomic Energy Activities. Support bilateral visits to other countries possessing or obtaining U.S.-origin SNM with regard to physical protection and material control and accounting. Provide technical assistance to IAEA and support U.S. initiatives to enhance international safeguards and verification programs ($0.4M, 2.0 FTE).

Maintain a highly qualified workforce through recruitment and staffing of entry-level positions to support the agencys SWP ($0.2M, 1.0 FTE).

Perform innovation initiatives, including implementation of workload planning tools developed in FY 2021 that will provide data analytics capabilities, to ensure effective and efficient completion of activities and management of resources ($0.1M, 0.5 FTE).

FY 2022 Congressional Budget Justification l 80

FUEL FACILITIES 1

2 Figure 14: Fuel Facilities Licensing Actions and Inspections Workload FY 2022 Congressional Budget Justification l 81

FUEL FACILITIES SIGNIFICANT ACCOMPLISHMENTS IN FY 2020 Significant accomplishments within the Fuel Facilities Business Line include the following:

Implemented the fuel facility safety and security inspection programs during the COVID-19 pandemic. In response to the COVID-19 pandemic, the NRC adjusted its inspections to include remote components of the core inspection program using technology enhancement and innovative inspection approaches. This transition allowed the inspection program to remain focused on nuclear and public safety while protecting the health of NRC and licensee staff during the public health emergency.

Issued a license amendment for Global Nuclear Fuel Americas, LLC. to increase its minimum margin of subcriticality to support enrichments up to 8 percent. This amendment supports a larger future initiative for high-assay low enriched uranium fuel fabrication.

Issued the Honeywell license renewal, the first 40-year renewal for a Part 40 facility.

Proactively engaged industry and efficiently processed a number of exemptions stemming from the COVID-19 pandemic, while ensuring that issuance of the exemptions would not compromise safety.

Supported evaluation of a petition for rulemaking on cyber security, including a detailed analysis of cyber security considerations at fuel cycle facilities.

Supported U.S. nonproliferation activities by implementation of international safeguards at domestic facilities as required under the U.S. agreements with the International Atomic Energy Agency, and the review of 95 import and export licenses and 18 requests under 10 CFR Part 810.

Supported the NRCs work with international counterparts, including obligation tracking, approvals and treaty compliance through the Nuclear Material Management and Safeguards System (NMMSS) and supported bilateral interactions with other countries possessing or obtaining U.S. origin special nuclear material with regard to physical protection and material control and accounting.

FY 2022 Congressional Budget Justification l 82

FUEL FACILITIES OTHER INDICATORS EVENT RESPONSE Percentage of Emergency Response Performance Index (ERPI)* (FF-12)

Fiscal Year Target Actual Comment New indicator in FY 2021 New for FY 2021. This indicator is being added because a new internally tracked subindicator, Critical Incident Response Positions, is being included as part of the rollup to the ERPI, which provides a more FY 2021 100 accurate measure for monitoring the NRCs readiness.

FY 2022 100

Ensures the NRC maintains its readiness to respond to incidents and emergencies involving NRC-licensed facilities and radioactive materials and other events of domestic and international interest. The specific subindicators that will be included under this indicator will be evaluated and updated on an annual basis to reflect the agencys readiness to respond. Examples may include (1) training and qualifications of the different incident response teams to ensure enough personnel are trained and qualified for different incident response positions and (2) communications systems at NRC Headquarters and in the backup location are properly maintained and tested to ensure licensees and other stakeholders can report incidents consistent with the NRCs regulatory requirements.

LICENSING Percentage of Timely Completion of Final Safety Evaluations by the Generic Milestone Date for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (FF-13)

Fiscal Year Target Actual Comment New indicator in FY 2021 FY 2021 100 FY 2022 100

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation accepted after July 13, 2019, for this business line. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

Average Percentage of Time Allotted Used in the Established Schedule for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (FF-14)

Fiscal Year Target Actual Comment New indicator in FY 2022 115 or FY 2022 75

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed under this business line.

A result of 100 percent indicates that on average, actions within the reporting period were completed on the established schedule completion date. A result above or below 100 percent indicates that actions were completed after or before the established schedule completion date on average (e.g., a result of 90 percent indicates that the actions within the reporting period were completed, on average, 10 percent earlier than the established schedule completion date).

FY 2022 Congressional Budget Justification l 83

FUEL FACILITIES OVERSIGHT Percentage of Technical Allegation Reviews Completed in 180 Days or Less* (FF-07)

Fiscal Year Target Actual Comment FY 2016 95 100 FY 2017 95 100 FY 2018 95 100 FY 2019 95 100 FY 2020 95 100 FY 2021 95 FY 2022 Discontinued Indicator will be tracked internally.

This target also includes the calculations for Spent Fuel Storage and Transportation for the same indicator and is reported under Fuel Facilities.

Percentage of Technical Allegation Reviews Completed in 360 Days or Less* (FF-08)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 100

This target also includes the calculations for Spent Fuel Storage and Transportation for the same indicator and is reported under Fuel Facilities.

Percentage of Operating Fuel Facilities for which the Core Inspection Program Was Completed as Planned during the Most Recently Ended Inspection Cycle (FF-09)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 100 100 FY 2021 100 FY 2022 Discontinued This indicator is superseded by FF-15.

Percentage of Core Inspection Procedures Completed for Fuel Facilities as Required by Inspection Manual Chapter 2600 (FF-15)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 98 DISCONTINUED INDICATORS Percentage Assessment of the Agencys Readiness to Respond to a Nuclear or Terrorist Emergency Situation or Other Events of National Interest* (FF-10)

Fiscal Year Target Actual Comment FY 2016 100 100 FY 2017 100 100 FY 2018 100 100 FY 2019 100 100 FY 2020 Discontinued Indicator tracked internally.

This performance index provides a single overall performance indicator of the agencys readiness to respond to a nuclear or terrorist emergency situation or other event of national interest. The index measures several activities in the Incident Response Program that are critical for supporting the agencys preparedness and response ability.

FY 2022 Congressional Budget Justification l 84

FUEL FACILITIES Percentage of Information Assessment Team Advisories Issued within 24 Hours of Notification (FF-11)

Fiscal Year Target Actual Comment FY 2016 90 100 FY 2017 90 100 FY 2018 90 100 FY 2019 90 100 This indicator is no longer useful because the NRC has not issued FY 2020 Discontinued Information Assessment Team advisories since 2014.

Percentage of Fuel Cycle Licensing Reviews Completed in 150 Days or Less (FF-04)

Fiscal Year Target Actual Comment FY 2016 80 91 FY 2017 80 90 FY 2018 80 100 FY 2019 80 96 FY 2020 80 80 This indicator was consolidated into FF-13, which includes the timeliness of all requested activities of the Commission by licensees or FY 2021 Discontinued applicants in the Fuel Facilities Business Line that involve a final safety evaluation.

FY 2022 Congressional Budget Justification l 85

CORPORATE SUPPORT CORPORATE SUPPORT Corporate Support by Product Line (Dollars in Millions)

Changes FY 2020 FY 2021 FY 2022 from Actuals Enacted Request FY 2021 Product Line $M FTE $M FTE $M FTE $M FTE Administrative Services 89.9 70.4 73.6 71.0 71.2 70.0 (2.5) (1.0)

Financial Management 30.1 91.2 30.7 93.0 30.7 92.0 0.0 (1.0)

Human Resource Management 19.2 37.3 20.2 43.0 19.9 44.0 (0.3) 1.0 IT/IM Resources 101.8 160.5 94.9 174.0 96.0 170.0 1.1 (4.0)

Outreach 3.1 11.0 3.2 13.0 3.3 13.0 0.1 0.0 Policy Support 25.5 114.8 29.8 133.0 29.9 131.0 0.1 (2.0)

Training 3.9 11.9 3.9 12.0 3.8 12.0 0.0 0.0 Acquisitions 15.6 44.4 15.1 49.0 11.6 48.0 (3.5) (1.0)

Total $289.1 541.6 $271.4 588.0 $266.3 580.0 (5.1) (8.0)

Authorized Carryover (13.2)

Total $275.9 541.6 $271.4 588.0 $266.3 580.0 (5.1) (8.0)

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The NRCs Corporate Support Business Line involves centrally managed activities that are necessary for the agency to accomplish its mission. These activities include administrative services, financial management, human resource management, IT/information management (IM), outreach, policy support, training, and acquisitions.

The FY 2022 resources requested for the Corporate Support Business Line constitute 30 percent of the agencys total budget authority and comply with Section 102(a)(3)(A) of NEIMA. Resources reflect a $5.1 million decrease, including 8.0 fewer FTE, when compared to the FY 2021 Enacted Budget. The FY 2022 budget request supports continuing efforts to modernize IT to increase productivity and security, leverage data as a strategic asset, share quality services, leverage common contracts and best practices to drive cost reductions and efficiencies, improve outcomes through Federal IT spending transparency, better manage major acquisitions, increase the efficiency and effectiveness of administrative services, develop the agency workforce, focus on the highest value work, and improve the customer experience with Federal services.

FY 2022 Congressional Budget Justification l 87

CORPORATE SUPPORT CHANGES FROM FY 2021 ENACTED BUDGET Resources decrease primarily as a result of the following:

Reduced costs associated with regional rent based on the anticipated terms of a new lease becoming effective in the last 4 months of FY 2022 for Region I and refined budget estimates for Regions II and III (-$0.8M);

Efficiencies and improved budget estimates that align historical costs with projected workload related to various administrative support services and security guard services

(-$1.1M, -1.0 FTE);

Projected reduction in internal NRC transfers and other Federal transfers related to permanent change of station and the associated workload for processing travel vouchers and logistics coordination as function is being transferred to shared services

(-$1.2M, -1.0 FTE);

Reduced support for IT help desk support and service delivery (-$0.8M, -4.0 FTE);

Reduced operational support for agency content management systems (-$0.6M), agency infrastructure services (-$1.6M), and cybersecurity services (-$0.5M);

Reduced system operational support for agency administrative services, communication, and tracking (-$0.5M);

Anticipated cost savings due to the migration of the NRCs procurement application from an on-premise system to a cloud-hosted solution (-$3.6M); and

Alignment with historical utilization in the Policy Support Product Line (-$0.4M, -2.0 FTE).

These decreases are partially offset by increases primarily as a result of the following:

Support for human resource IT tools and services to sustain the agencys SWP initiative and improve the timeliness of personnel actions, including hiring (+$0.5M, +1.0 FTE).

Support for the agency IT enterprise architecture program, including efforts to evaluate and assess needed changes to the agencys data architecture and governance as well as resources to comply with Office of Management and Budget (OMB) reporting requirements

(+$0.5M).

Increased support for agency telecommunication services based on historical utilization

(+$0.8M);

Resources to support critical agency hardware and software infrastructure tools for monitoring the agencys network (+$1.5M); and

Salaries and awards adjustments, consistent with OMB guidance (+$1.8M).

FY 2022 Congressional Budget Justification l 88

CORPORATE SUPPORT MAJOR ACTIVITIES The major activities within the Corporate Support Business Line include the following:

Provide rent and utilities for NRC Headquarters, regional offices, and the Technical Training Center, as well as subsidized rent and utilities for the space in Three White Flint North occupied by the U.S. Food and Drug Administration and the National Institutes of Health; building operations and maintenance; general building alterations; workstation modifications; space management and planning services; property management and labor services; housekeeping; guard services; security investigations; drug testing; security equipment and support; insider threat program; transportation services; transit subsidies; administrative service center help desk; print and publication services; transcription and adjudicatory hearing support; technical editing; graphic design; audiovisual services; postage and mail services; and office supplies ($71.2M, 70.0 FTE).

Maintain and operate the agencys financial systems and manage budget development and execution, agency financial services, accounting and reporting activities, development of the annual fee rule, and administration of the internal control program ($30.7M, 92.0 FTE).

Conduct human resource management activities, work-life services, employee and labor relations, enhanced SWP, and permanent change of station, including resident inspector moves ($19.9M, 44.0 FTE).

Manage the IT/IM portfolio, including the following ($96.0M, 170.0 FTE):

- Maintain cost-effective enterprise solutions and secure infrastructure technologies and services to enable the agencys mission and corporate functions.

- Promote mobility to respond to mission needs.

- Ensure effective management and appropriate dissemination of physical and electronic information and records.

- Promote public access to agency information and support involvement in the agencys regulatory activities to ensure transparency.

- Support essential information collections and implementation of the Freedom of Information Act and Privacy Act.

- Develop and implement cybersecurity policies and standards to mitigate cybersecurity vulnerabilities, threats, and incidents.

- Prevent unauthorized disclosure of NRC information and protect classified and controlled unclassified information.

- Support Enterprise Architecture, capital planning, IT governance, and other functions of the Chief Information Officer.

- Improve outcomes through Federal IT spending transparency.

- Make targeted investments to enable new capabilities and yield future cost savings or avoidance, such as modernizing IT to increase productivity and security; support disaster recovery and continuity of operations planning, testing, and management; and move from the current tape library backup system to a cloud backup solution.

FY 2022 Congressional Budget Justification l 89

CORPORATE SUPPORT

Maintain the civil rights complaints process; promote affirmative employment, diversity, and inclusion; ensure compliance with small business laws; provide the maximum practicable prime and subcontract opportunities for small businesses; and continue efforts to implement the NRCs Outreach and Compliance Coordination Program ($3.3M, 13.0 FTE).

Provide agencywide policy formulation and guidance; legal advice and appellate adjudicatory support, and independent evaluations of agency programs and implementation of Commission policy directives; conduct congressional, protocol, and public affairs activities; provide management and oversight of agency programs, and operate the Commissioners offices ($29.9M, 131.0 FTE).

Maintain the agencys corporate support training infrastructure, including operation of the Professional Development Center, organizational development, training systems, and corporate-related external training ($3.8M, 12.0 FTE).

Perform the contract operations and oversight necessary to ensure that the agency obtains goods and services to support mission needs ($11.6M, 48.0 FTE).

FY 2022 Congressional Budget Justification l 90

CORPORATE SUPPORT SIGNIFICANT ACCOMPLISHMENTS IN FY 2020 Significant accomplishments within the Corporate Support Business Line include the following:

Released approximately 82,000 usable square feet of leased office and warehouse space yielding savings in annual rent and security costs in FY 2020 and beyond.

Received an A+ Small Business Procurement Scorecard. This marked the eighth consecutive year that the Small Business Administration has recognized the NRC for meeting its goal.

Successfully launched NRCs electronic billing (eBilling) system, a web-based application available for use by our licensees. eBilling provides licensees with immediate delivery of NRC invoices, customizable email notifications, the capability to view and analyze invoice details, and the convenience to access Treasury systems to pay invoices.

Transitioned permanent change of station (PCS) to the U.S. Department of Treasurys Administrative Resource Center (ARC) shared service. This change allowed the NRC to benefit from standardized government-wide tools and processes and supported the agencys modernization efforts.

Recognized by the OMB with a Gears of Government Award for standardized fee billing validation process that improved data quality, transparency, and accountability to licensees.

Launched a two-year Nuclear Regulatory Apprenticeship Network (NRAN) training program for entry-level staff in the Science, Technology, Engineering and Mathematics disciplines.

The cohort was on-boarded and training was delivered virtually as a result of the COVID-19 pandemic. The agency built a unique training program integrating best practices with hands-on learning apprenticeships in targeted mission areas. The NRAN program supports NRCs SWP results, which forecasts skills gaps needed to address shortages resulting from anticipated attrition due to retirements.

Converted approximately 50 training courses from in-class training to virtual instructor-led sessions to meet both stakeholder demands and workforce training development needs in the areas of leadership, professional, and technical training while ensuring workforce safety during the COVID-19 pandemic. Additionally, 98 offerings related to professional development have been delivered.

Implemented suite of collaboration platforms Citrix on Mobile Devices, Microsoft (MS)

Teams, and MS Stream, as enterprise collaboration, conference, and video services in which staff across the agency can collaborate, upload, view and securely share content and videos.

Instituted agencywide mandatory telework in response to the COVID-19 pandemic through training, increased bandwidth, increased Virtual Private Network licenses, and increased External Stakeholder access to Pages and Forms.

FY 2022 Congressional Budget Justification l 91

CORPORATE SUPPORT

Implemented a comprehensive data analytics effort through journey mapping and tabletop exercises, increased customer engagement and data analytics, and improved customer experience by increasing confidence offerings across the agency. Improved strategic access to data by establishing a centralized data warehouse, deployed cloud-based analytics platforms (e.g., Power BI, Tableau), and advanced data-driven processes. Completed digitization of the Nuclear Document System fiche (approximately 43 million images) and provided electronic access of historical agency records to the public.

Transformed infrastructure services, exceeding the target of four newly added cloud services (e.g., ALM TEST Environment, MDMS Azure AD TEST Environment, Cloud Management Gateway, COVID-19 Exception Requests for licensees, IaaS Cloud Base (Azure/Equinix)). Upgraded bandwidth at eight more resident inspector sites; implemented Wi-Fi within the White Flint complex; modernized a significant portion of the NRC network; and led the Federal government in awarding and transitioning to GSAs Enterprise Infrastructure Solutions.

FY 2022 Congressional Budget Justification l 92

CORPORATE SUPPORT OTHER INDICATORS ADMINISTRATIVE SERVICES NRC-Leased Space Compared to the Agencys FY 2015 Freeze the Footprint Baseline (1,079,543 Usable Square Feet (USF)Total NRC Portfolio)* (CS-18)

Fiscal Year Target Actual Comment FY 2020 619,000 USF** 602,000 USF This indicator replaced CS-05.

FY 2021 1,005,000 USF***

FY 2022 Discontinued This indicator was replaced by CS-20.

The title of this indicator for the FY 2020 Congressional Budget Justification referenced 1,033,171 USF, which only included the agencywide office portfolio. The 1,079,543 USF referenced for FY 2021 is the total agency office and warehouse real property footprint.

- The FY 2020 target represents only the White Flint Campus office portfolio goal.

- - The FY 2021 target was amended to include the entire agency portfolio goal, including the regions.

NRC-Total Leased Portfolio in Usable Square Feet* (CS-20)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 855,000 USF This indicator replaces CS-18.

Represents the total agency portfolio, including the Regions and the Technical Training Center.

HUMAN RESOURCE MANAGEMENT Percentage of Key Human Capital Indicators Met* (CS-16)

Fiscal Year Target Actual Comment FY 2016 75 75 FY 2017 75 75 FY 2018 75 75 FY 2019 75 100 FY 2020 75 75 FY 2021 >75 FY 2022 >75

The specific subindicators that will be included under this indicator will be evaluated and updated on an annual basis to reflect agency needs. Examples may include the percentage of time that informal complaints and investigations of formal complaints of discrimination are within time guidelines; whether agency staffing levels are equal to or less than the agency FTE ceiling; the NRCs averaged index scores for employee engagement, global satisfaction, and New IQ 5 (diversity and inclusion); the number of training assessments completed for efficiency and effectiveness gains using blended learning solutions; and the percentage of SWP and competency activities planned that are successfully implemented.

5 The New Inclusion Quotient (New IQ) was developed by the Office of Personnel Management and is comprised of an index of specific questions in the annual Federal Employee Viewpoint Survey (FEVS). The New IQ measures employees sense of inclusion in their workplacesmeaning how fair, open, cooperative, supportive, and empowering they perceive their workplaces to be.

FY 2022 Congressional Budget Justification l 93

CORPORATE SUPPORT FINANCIAL MANAGEMENT Percentage of Collections Achieved When Compared to Projected Collections (CS-06)

Fiscal Year Target Actual Comment FY 2016 100 98.4 FY 2017 100 98.1 The target was reduced to 98 percent to comply with the regulatory requirement to collect approximately 90 percent of the agencys FY 2018 >98 98.9 appropriation.

FY 2019 >98 99 Deferred issuance of invoices for 3 months to temporarily mitigate FY 2020 98 97 economic disruption due to the COVID-19 pandemic.

FY 2021* 98 FY 2022 98

Starting in FY 2021, NEIMA will require the NRC to recover 100 percent of the relevant budget authority of the Commission less the excluded activities to the maximum extent practicable.

INFORMATION TECHNOLOGY/INFORMATION MANAGEMENT The NRC's Score on the Annual American Customer Satisfaction Index for Federal Web Sites (CS-10)

Fiscal Year Target Actual Comment FY 2016 73 81 FY 2017 73 78 FY 2018 73 78 FY 2019 73 80 FY 2020 73 81 FY 2021 76 Target adjusted to better reflect actual performance in this area.

FY 2022 76 FY 2022 Congressional Budget Justification l 94

CORPORATE SUPPORT Percentage of Projects within Schedule and within Budget Based on Information Collected for Major IT Investments Reported to the OMB IT Dashboard (CS-13)

Fiscal Year Target Actual Comment New indicator in FY 2019 80 projects on schedule and on FY 2019 budget 95 85 of projects within schedule, and 80 of projects within FY 2020 budget 94 85 of projects within schedule, and 80 of projects within FY 2021 budget 85 of projects within schedule, and 80 of projects within FY 2022 budget Cybersecurity Threat Management Effectiveness (CS-21)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 B The target for this indicator is based upon a letter grade.

This metric combines the assessment of the agencys Inspector General and cybersecurity performance management goals. Each one is half of the letter grade.

FY 2022 Congressional Budget Justification l 95

CORPORATE SUPPORT ACQUISITIONS Percentage of Spend Under Management* (CS-03)

Fiscal Year Target Actual Comment New indicator in FY 2019 FY 2019 38 52 FY 2020 40 122 Target will be equal to the target set for Chief Financial Officers Act of FY 2021 TBD 1990 agencies by the Presidents Management Council for FY 2021.

Target will be equal to the target set for Chief Financial Officers Act of FY 2022 TBD 1990 agencies by the Presidents Management Council for FY 2022.

Spend under management is a key measure of an agencys use of smart buying practices, such as strong strategic leadership and oversight and the collection and sharing of critical data, including terms and conditions, performance, and prices paid.

DISCONTINUED INDICATORS Percentage of NRC-Leased Space Compared to the Agencys FY 2012 Freeze the Footprint Baseline (1,170,242 USF) (CS-05)

Fiscal Year Target Actual Comment New indicator in FY 2019 FY 2019 96 89 Replaced with indicator CS-18. For FY 2020, the percentage is based upon the 2015 Reduce the Footprint office space baseline of FY 2020 Discontinued 1,033,171 USF.

Percentage of Annual Billings That Are Past Due Accounts Receivable (CS-07)

Fiscal Year Target Actual Comment FY 2016 1 0.7 The target was not met as a result of $3,720,089 in invoices that were only 2 days overdue, and $966,210 in invoices protected by the FY 2017 1 1.6 Westinghouse Electric Company, LLC, bankruptcy filing.

FY 2018 <1 0.7 FY 2019 <1 0.5 Indicator is tracked internally to support streamlining corporate support FY 2020 Discontinued indicator reporting.

Percentage of Non-salary Payments Made Electronically and Accurately within Established Schedule (CS-08)

Fiscal Year Target Actual Comment FY 2016 98 98 FY 2017 98 99.6 FY 2018 98 99 FY 2019 98 99 Indicator is tracked internally to support streamlining corporate support FY 2020 Discontinued indicator reporting.

FY 2022 Congressional Budget Justification l 96

CORPORATE SUPPORT The NRCs Averaged Index Scores for Employee Engagement, Global Satisfaction, and New IQ (Diversity and Inclusion) Remain at Least 7.5 Percent Above the FEVS Government-wide Average Score (CS-15)

Fiscal Year Target Actual Comment New indicator in FY 2018 FY 2018 7.5 10 The NRCs average FEVS indices measuring employee engagement, global satisfaction, and New IQ fell short of the high standard set forth.

FY 2019 7.5 6.76 The agency is investing in improving future FEVS scores.

This indicator is tracked internally to support streamlining corporate FY 2020 Discontinued support indicator reporting.

Percentage of Fee Transformation Items Planned That Are Successfully Implemented (CS-19)

Fiscal Year Target Actual Comment New indicator in FY 2020 FY 2020 80 98 This project is largely completed and the indicator is no longer FY 2021 Discontinued necessary.

FY 2022 Congressional Budget Justification l 97

UNIVERSITY NUCLEAR LEADERSHIP PROGRAM UNIVERSITY NUCLEAR LEADERSHIP PROGRAM University Nuclear Leadership Program (Dollars in Millions)

FY 2020 FY 2021 FY 2022 Changes from Actuals Enacted Request FY 2021 Business Line $M FTE $M FTE $M FTE $M FTE University Nuclear Leadership Program 2.5 0.0 16.0 0.0 0.0 0.0 (16.0) 0.0 Subtotal 2.5 0.0 16.0 0.0 0.0 0.0 (16.0) 0.0 Authorized Carryover 0.0 0.0 (16.0) 0.0 0.0 0.0 16.0 0.0 Total $2.5 0.0 0.0 0.0 0.0 0.0 0.0 0.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The University Nuclear Leadership Program (UNLP), formerly the Integrated University Program (IUP) provides grants to academic institutions to support education in nuclear science and engineering and related fields. The NRC has provided funding for university research and development as well as for scholarships, fellowships, and faculty development. In addition, the agency strives to include minority-serving institutions as part of the program through the competitive grant selection process. The FY 2022 budget request does not include funding for this program.

CHANGES FROM FY 2021 ENACTED

In FY 2021, $16 million in authorized carryover funding was used to fund the UNLP.

SIGNIFICANT ACCOMPLISHMENT IN FY 2020

During FY 2020, NRC obligated approximately $2.5 million of its UNLP funds to award five of its research and development grants.

FY 2022 Congressional Budget Justification l 99

ANNUAL PERFORMANCE PLAN ANNUAL PERFORMANCE PLAN The NRC published its strategic plan (NUREG-1614, Volume 7) for FY 2018-FY 2022 in February 2018. The plan lists the agencys strategic goals and their associated objectives. This chapter of the NRCs Performance Budget provides the performance goals and performance indicators and criteria associated with the NRCs strategic plan.

The Government Performance and Results Act (GPRA) Modernization Act of 2010 requires a more integrated framework for planning and performance management that demonstrates a governance structure showing better connection of plans, programs, and performance information in the Performance Budget. More specifically, the law requires an agency to describe how the performance goals contained in its performance plan contribute to the goals and objectives established in the agencys strategic plan. The performance indicators in this section reflect these goals and objectives.1 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. Therefore, the trends for progress on the agencys strategic goals and objectives are to be at either zero or very low levels. The agency works to prevent or minimize the outcomes tracked by the safety and security performance indicators.

FY 2018-2022 Strategic Goals Goal 1: Safety: Ensure the safe use of radioactive materials.

Safety Objective 1: Prevent, mitigate, and respond to accidents and ensure radiation safety.

Goal 2: Security: Ensure the secure use of radioactive materials.

Security Objective 1: Ensure protection of nuclear facilities and radioactive materials.

Security Objective 2: Ensure protection of classified and Controlled Unclassified Information.

1 On July 20, 2011, OMB exempted the NRC from the GPRA Modernization Act of 2010 requirement for establishing agency or cross-agency priority goals because of the NRCs statutory mission to be an independent regulator of the civilian use of radioactive materials. Thus, this narrative includes no such goals.

RELATING RESOURCES TO GOALS The following table shows the alignment of the NRCs fully costed Nuclear Reactor Safety Program and Nuclear Materials and Waste Safety Program with the safety and security goals.

The full cost includes an allocation of the agencys infrastructure and support costs to specific programs.

FY 2022 Congressional Budget Justification l 101

ANNUAL PERFORMANCE PLAN Alignment of Resources to NRC Goals (Dollars in Millions)

(Excludes Office of the Inspector General)

FY 2021 FY 2022 Enacted Request Safety Security Total Safety Security Total Major Programs $M $M $M $M $M $M Nuclear Reactor Safety 665.1 2.6 667.7 687.5 2.3 689.8 Nuclear Materials and Waste Safety 170.0 12.2 182.2 169.4 14.8 184.1 Total $835.1 14.8 $849.9 $856.8 17.1 $874.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

PERFORMANCE INDICATORS: FY 2018-FY 2022 The NRC developed the following performance indicators in conjunction with the development of the agencys FY 2018-2022 Strategic Plan.

Safety Objective 1: Prevent, mitigate, and respond to accidents and ensure radiation safety.

Performance Goal 1: Prevent radiation exposures that significantly exceed regulatory limits.

Performance Indicator: Number of radiation exposures that meet or exceed Abnormal Occurrence (AO) Criteria I.A.1 (unintended radiation exposure to an adult), I.A.2 (unintended radiation exposure to a minor), or I.A.3 (radiation exposure that has resulted in unintended permanent functional damage to an organ or physiological system)2 Timeframe: Annual 2 All references to the AO criteria in this section refer to the criteria approved by the Commission in SRM-SECY-17-0019, Staff RequirementsSECY-17-0019Final Revision to Policy Statement on Abnormal Occurrence Reporting Criteria, dated August 24, 2017.

Business Line FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 Operating Reactors Target 0 0 0 0 0 0 0 Operating Reactors Actual 0 0 0 0 0 New Reactors Target 0 0 0 0 0 0 0 New Reactors Actual 0 0 0 0 0 Fuel Facilities Target 0 0 0 0 0 0 0 Fuel Facilities Actual 0 0 0 0 0 Decommissioning and Target 0 0 0 0 0 0 0 Low-Level Waste Decommissioning and Actual 0 0 0 0 0 Low-Level Waste Spent Fuel Storage and Target 0 0 0 0 0 0 0 Transportation Spent Fuel Storage and Actual 0 0 0 0 0 Transportation Nuclear Materials Users Target <3 <3 <3 <3 <3 <3 <3 Nuclear Materials Users Actual 2 0 1 1 2 Prevent releases of radioactive materials that significantly exceed FY 2022 Congressional Budget Justification l 102

ANNUAL PERFORMANCE PLAN Performance Goal 2:

regulatory limits.

Performance Indicator: Number of releases of radioactive materials that meet or exceed AO Criterion I.B (discharge or dispersal of radioactive material from its intended place of confinement)

Timeframe: Annual Business Line FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 Operating Reactors Target 0 0 0 0 0 0 0 Operating Reactors Actual 0 0 0 0 0 New Reactors Target 0 0 0 0 0 0 0 New Reactors Actual 0 0 0 0 0 Fuel Facilities Target 0 0 0 0 0 0 0 Fuel Facilities Actual 0 0 0 0 0 Decommissioning and Target 0 0 0 0 0 0 0 Low-Level Waste Decommissioning and Actual 0 0 0 0 0 Low-Level Waste Spent Fuel Storage and Target 0 0 0 0 0 0 0 Transportation Spent Fuel Storage and Actual 0 0 0 0 0 Transportation Nuclear Materials Users Target 0 0 0 0 0 0 0 Nuclear Materials Users Actual 0 0 0 0 0 Performance Goal 3: Prevent the occurrence of any inadvertent criticality events.

Performance Indicator: Number of instances of unintended nuclear chain reactions involving NRC-licensed radioactive materials Timeframe: Annual Business Line FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 Operating Reactors Target 0 0 0 0 0 0 0 Operating Reactors Actual 0 0 0 0 0 Fuel Facilities Target 0 0 0 0 0 0 0 Fuel Facilities Actual 0 0 0 0 0 Decommissioning and Target 0 0 0 0 0 0 0 Low-Level Waste Decommissioning and Actual 0 0 0 0 0 Low-Level Waste Performance Goal 4: Prevent accident precursors and reductions of safety margins at Performance Indicator: commercial nuclear power plants (operating or under construction) that are of high safety significance.

Number of malfunctions, deficiencies, events, or conditions at commercial nuclear power plants (operating or under construction) that meet or exceed AO Criteria II.A-II.E (commercial nuclear Timeframe: power plant licensees)

Annual Business Line FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 Operating Reactors Target <3 <3 <3 <3 <3 <3 <3 Operating Reactors Actual 0 0 0 0 0 New Reactors Target <3 <3 <3 <3 <3 <3 <3 New Reactors Actual 0 0 0 0 0 Prevent accident precursors and reductions of safety margins at FY 2022 Congressional Budget Justification 103

ANNUAL PERFORMANCE PLAN Performance Goal 5: nonreactor facilities or during transportation of nuclear materials that are of high safety significance.

Performance Indicator: Number of malfunctions, deficiencies, events, or conditions at nonreactor facilities or during transportation of nuclear materials that meet or exceed AO Criteria III.A or III.B (events at facilities other than nuclear power plants and all transportation events)

Timeframe: Annual Business Line FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 Fuel Facilities Target 0 0 0 0 0 0 0 Fuel Facilities Actual 1* 0 0 0 0 Decommissioning and Target 0 0 0 0 0 0 0 Low-Level Waste Decommissioning and Actual 0 0 0 0 0 Low-Level Waste Spent Fuel Storage and Target 0 0 0 0 0 0 0 Transportation Spent Fuel Storage and Actual 0 0 0 0 0 Transportation

Reported in the FY 2018 Congressional Budget Justification. As referenced in NUREG-0090, Volume 39, Report to Congress on Abnormal Occurrences, Fiscal Year 2016, dated May 2, 2017 (Agencywide Documents Access and Management System Accession No. ML17103A289), an event occurred at the Westinghouse Columbia Fuel Fabrication Facility, Columbia, SC (NRC16-03).

Security Objective 1: Ensure protection of nuclear facilities and radioactive materials.

Performance Goal 1: Prevent sabotage, theft, diversion, or loss of risk-significant quantities of radioactive material.

Performance Indicator: Number of instances of sabotage, theft, diversion, or loss of risk-significant quantities of radioactive material that meet or exceed AO Criteria I.C.1 (stolen, abandoned, or unrecovered lost),

I.C.2 (radiological sabotage), or I.C.3 (substantiated case of actual theft, diversion, or loss of a formula quantity of SNM or inventory discrepancy)

Timeframe: Annual Business Line FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 All Business Lines Target 0 0 0 0 0 0 0 All Business Lines Actual 0 0 0 1* 0

In 2019, an NRC Agreement State reported the theft of three industrial radiography cameras that were recovered by law enforcement within hours (Event Number: 54033).

Performance Goal 2: Prevent substantial breakdowns of physical security, cybersecurity, or material control and accountability.

Performance Indicator: Number of substantial breakdowns of physical security, cybersecurity, or material control and accountability that meet or exceed AO Criteria I.C.4 (substantial breakdown of physical security, cybersecurity, or material control and accountability), or I.C.3 (substantiated case of actual theft, diversion, or loss of a formula quantity of SNM or an inventory discrepancy)

Timeframe: Annual Business Line FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 All Business Lines Target 1 1 1 1 1 1 1 All Business Lines Actual 0 0 0 0 0 FY 2022 Congressional Budget Justification 104

ANNUAL PERFORMANCE PLAN Security Objective 2: Ensure protection of classified and Controlled Unclassified Information.

Performance Goal 3: Prevent significant unauthorized disclosures of classified or Safeguards Information.

Performance Indicator: Number of significant unauthorized disclosures of classified or Safeguards Information by licensees as defined by AO Criterion I.C.5 (significant unauthorized disclosures of classified information or Safeguards Information) and by NRC employees or contractors, as defined by NRC internal criteria Timeframe: Annual Business Line FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 All Business Lines Target 0 0 0 0 0 0 0 All Business Lines Actual 0 0 0 0 0 VERIFICATION AND VALIDATION OF PERFORMANCE INDICATORS Goal 1: Safety: Ensure the safe use of radioactive materials.

Nuclear Reactor Safety Safety Objective 1: Prevent, mitigate, and respond to accidents and ensure radiation safety.

Performance Indicators:

FY 2018-2022: Performance Goal 1: Number of radiation exposures that meetor exceed AO Criteria I.A.1 (unintended radiation exposure to an adult), I.A.2 (unintended radiation exposure to a minor), or I.A.3 (radiation exposure that has resulted in unintended permanent functional damage to an organ or physiological system)

Reactor Safety Target: Zero Verification: Licensees report overexposures through the licensee event report (LER) process, and the reports are then entered into a searchable database. The database is used to identify those LERs that report overexposures. NRC resident inspectors stationed at each nuclear power plant provide a high degree of assurance that all events meeting reporting criteria are reported to the NRC. In addition, the NRC conducts inspections if there is any indication that an exposure exceeded, or could have exceeded, a regulatory limit. Finally, areas of the facility that may be subject to radiation contamination have monitors that record radiation levels. These monitors would immediately reveal any instances in which high levels of radiation exposure occurred.

FY 2022 Congressional Budget Justification l 105

ANNUAL PERFORMANCE PLAN Validation: Given the nature of the process of using radioactive materials to generate power, overexposure to radiation is a potential danger from the operation of nuclear power plants. Such exposure to radiation in excess of the applicable regulatory limits may potentially occur through either a nuclear accident or other malfunctions at the plant. Consequently, tracking the number of overexposures that occur at nuclear reactors is an important indicator of the degree to which safety is being maintained.

FY 2018-2022: Performance Goal 2: Number of releases of radioactive materials that meet or exceed AO Criterion I.B (discharge or dispersal of radioactive material from its intended place of confinement)

Reactor Safety Target: Zero Verification: Licensees report environmental releases of radioactive materials that are in excess of regulations or license conditions through the LER process, and the reports are then entered into a searchable database. The database is used to identify those LERs reporting releases, and the number of reported releases is then applied tothis indicator. The NRC also conducts periodic inspections of licensees to ensure that they properly monitor and control releases to the environment through effluent pathways. In addition, onsite monitors record any occasions when a plant releases radiation into the environment. If the inspections or the monitors reveal any indication that an accident or inadvertent release has occurred, the NRC conducts follow-up inspections.

Validation: The generation of nuclear power creates radioactive materials that are released into the environment in a controlled manner. These radioactive discharges are subject to regulatory controls that limit the amount discharged and the resultant dose to members of the public. Consequently, the NRC tracks all releases of radioactive materials in excess of regulatory limits as a performance indicator because large releases in excess of regulatory limits have the potential to endanger public safety or harm the environment. The NRC inspects every nuclear power plant for compliance with regulatory requirements and specific license conditions related to radiological effluent releases. The inspection program includes enforcement actions for violations of the regulations or license conditions, based on the severity of the event. This performance indicator includes the public dose limits in 10 CFR Part 20, Standards for Protection Against Radiation.

FY 2022 Congressional Budget Justification l 106

ANNUAL PERFORMANCE PLAN FY 2018-2022: Performance Goal 3: Number of instances of unintended nuclear chain reactions involving NRC-licensed radioactive materials Reactor Safety Target: Zero Verification: An accidental criticality is defined in 10 CFR 70.52(a). Each NRC program office or region reviews event documents for itsspecific program area to identify events as potential AOs.

The program office or regional AO coordinators will assess an event to determine whether it meets the AO criteria. If an event meets the AO criteria, the program office or regional AO coordinator will develop a potential AO event description. The potential AO event description will include the applicable AO criteria and contain the information specified in Section 208 of the Energy Reorganization Act of 1974, such as the nature and probable consequences of the event. The AO coordinator in theNRCs Office of Nuclear Regulatory Research coordinates with the program office and regional AO coordinators about incidents and events.

Validation: The agency is required to submit a Report to Congress on Abnormal Occurrences each FY for those events that, by Commission determination, meet the AO criteria. The staff has developed and revised these AO criteria over several decades, with extensive review by both the Commission and the public. InSECY-95-083, Revised Abnormal Occurrence Criteria, dated April 5, 1995, the staff describes the basis of the AO criteria as follows:

FY 2022 Congressional Budget Justification l 107

ANNUAL PERFORMANCE PLAN The AO reporting policy has been developed to comply with the legislative intent of Section 208 of the Energy Reorganization Act of 1974, as amended, to keep Congress and the public informed of unscheduled incidents or events which the Commission considers significant from the standpoint of public health and safety. The thresholds are generally above the normal level of reporting events by licensees to NRC to exclude those events which involve some variance from regulatory limits, but are not significant enough from the standpoint of public health and safety to be reported to Congress.

For each event that meets the AO criteria, the NRC includes in the report a description of the incident or event, as well as any action taken to prevent recurrence. Such actions include those taken by licensees, as well as more programmatic actions deemed necessary by the Commission to prevent recurrence across a class or classes of licensees. Establishing performance indicators at the threshold levels described by the AO criteria is appropriate and consistent with the principle that the NRCs regulatory processes (e.g., licensing, oversight, enforcement) are adequate to address a wide scope of infractions against regulatory requirements and do not generally warrant a focused reevaluation of the programs associated with those processes for every infraction. Therefore, only significant deviations from the regulatory requirements or unacceptable frequencies of occurrence of such deviations should be indicators of the need to reevaluate regulatory strategies and programs. This principle has been central to the staffs selection of performance goals and performance indicator thresholds for determining whether the NRCs performance in reasonably ensuring the safe and secure use of radioactive material has been adequate.

FY 2018-2022: Performance Goal 4: Number of malfunctions, deficiencies, events, or conditions at commercial nuclear power plants (operating or under construction) that meet or exceed AO Criteria II.A-II.E (commercial nuclear power plant licensees)

Reactor Safety Target: Zero Verification: The data for this performance indicator are collected in two ways as part of the NRCs ROP. NRC inspectors report inspection findings at a minimum on a quarterly basis. Inspectors use formal detailed inspection procedures to review plant operations and maintenance. NRC managers review inspection findings to assess their significance as part of the ROPs significance determination process. Licensees collect the data for performance indicators and submit them to the NRC quarterly.

The significance of the data is determined by thresholds for each indicator. The NRC conducts inspections of licensee processes for collecting and submitting the data to ensure completeness, accuracy, consistency, timeliness, and validity.

FY 2022 Congressional Budget Justification l 108

ANNUAL PERFORMANCE PLAN The NRC enhances the quality of its inspections through inspector feedback and periodic reviews of inspection results.

The NRC inspectors are trained through a rigorous qualification program. The quality of performance indicators is improved through continuous feedback from licensees and inspectors thatis incorporated into guidance documents. The NRC publishes the inspection findings and performance indicators on the agencys Web site and incorporates feedback received from all stakeholders, as appropriate.

Validation: The inspection findings and performance indicators that the ROP uses cover a broad range of plant operations and maintenance.

NRC managers review significant issues that are identified, and inspectors conduct supplemental inspections of selected aspects of plant operations, as appropriate. On an annual basis, senior agency managers review a self-assessment of the ROP and review plants that are identified as having performance issues and report the results to the Commission.

Nuclear Materials and Waste Safety Safety Objective 1: Prevent, mitigate, and respond to accidents and ensure radiation safety.

Performance Indicators:

FY 2018-2022: Performance Goal 1: Number of radiation exposures that meetor exceed AO Criteria I.A.1 (unintended radiation exposure to an adult), I.A.2 (unintended radiation exposure to a minor), or I.A.3 (radiation exposure that has resulted in unintended permanent functional damage to an organ or physiological system)

Materials Safety Target Less than or equal to three (Fuel Facilities, Nuclear Materials Users, and Spent Fuel Storage and Transportation):

Waste Safety Target Zero (Decommissioning and Low-Level Waste):

Verification: This performance indicator includes any event involving licensed radioactive materials that results in significant radiation exposures to members of the public or occupational workers thatexceed the dose limits in the AO reporting criteria. Because of the extremely high doses used during medical applications of radioactive materials, it is also appropriate to use a radiation exposure that results in unintended permanent functional damage to an organ or a physiological system to a radiation therapy patient, as determined by a physician, as a criterion for this indicator. AO Criterion I.A.3 is used as the basis for this indicator.

FY 2022 Congressional Budget Justification l 109

ANNUAL PERFORMANCE PLAN Should an event meeting this threshold occur, it would be reported to the NRC or Agreement States, or both, through a number of sources but primarily through required licensee notifications. These events are summarized in event notifications and preliminary notifications, which are used to widely disseminate the information to internal and external stakeholders.

The processes used in the Fuel Facilities, Nuclear Materials Users, Spent Fuel Storage and Transportation, and Decommissioning and LLW Business Lines contain elements to verify the completeness and accuracy of licensee reports.

IMPEP also provides a mechanism to verify that Agreement States and NRC regions are consistently collecting and reporting such events as received from the licensees and entering them into the Nuclear Material Events Database (NMED).

The NRC promotes timely and effective reviews of materials event data. Agency processes include an assessment of the NMED data during monthly staff reviews; emphasis and analysisduring the IMPEP reviews; NMED training at NRC Headquarters,the regions, and Agreement States; and discussions at Agreement State and Conference of Radiation Control Program Directors meetings.

Validation: The NRC provides regulatory controls that limit or prevent radiation exposures to the public and occupational workers from radioactive material that exceed AO Criterion I.A. An incident or event is considered an AO if it involves a major reduction in the degree of protection of public health or safety.

Events of this magnitude are rare. In the unlikely event that anAO should occur, the NRC or Agreement State technical specialists will confirm whether the criteria were met, with inputfrom expert consultants as necessary.

The NRC does not statistically sample data to determine results.

Rather, the staff reviews all event data to determine whether the performance indicator has been met. There are two important data limitations in determining this performance indicator:

(1) delay time for receiving information and (2) failure to inform the NRC of an event that causes significant radiation exposuresto the public or occupational workers. The NRC regulations associated with event reporting include specific requirements for timely notifications; a lag time separates the occurrence of an event and its known consequences.

The NRC believes the probability of not being aware of an event that causes significant radiation exposures to the public or occupational workers is very small. Periodic licensee inspections and regulatory reporting requirements are sufficient to ensure that an event of this magnitude would become known. If such an FY 2022 Congressional Budget Justification l 110

ANNUAL PERFORMANCE PLAN event occurred, it would result in a prompt and thorough investigation of the event, its consequences, its root causes, and the necessary actions by the licensee and the NRC to mitigate the situation and prevent recurrence. In addition to these immediate actions, the NRC holds periodic meetings during which staff and management validate the occurrence of these events.

FY 2018-2022: Performance Goal 2: Number of releases of radioactive materials that meet or exceed AO Criterion I.B (discharge or dispersal of radioactive material from its intended place of confinement)

Materials and Waste Zero Safety Target:

Verification: This performance indicator is defined as any release to the environment from the activities of the Fuel Facilities, Nuclear Materials Users, Spent Fuel Storage and Transportation, and Decommissioning and LLW Business Lines that exceed applicable regulations, as defined in 10 CFR 20.2203(a)(3). In accordance with Federal requirements, a 30-day written report is required on such releases.

Should an event meeting this threshold occur, it would be reported to the NRC or Agreement States, or both, through a number of sources but primarily through required licensee notifications. These events are summarized in event notifications and preliminary notifications, which are used to widely disseminate the information to internal and external stakeholders.

The fuel facilities, nuclear materials users, spent fuel storage and transportation, and decommissioning and LLW programs contain elements that verify the completeness and accuracy of licensee reports. IMPEP also provides a mechanism to verify that Agreement States and NRC regions are consistently collecting and reporting such events, as received from the licensees, and entering them into NMED.

The NRC promotes timely and effective reviews of materials event data. Agency processes include an assessment of the NMED data during monthly staff reviews; emphasis and analysisduring the IMPEP reviews; NMED training at NRC Headquarters,the regions, and Agreement States; and discussions at Agreement State and Conference of Radiation Control Program Directors meetings.

Validation: The NRC provides regulatory controls to limit radiation releasesto ensure protection of the environment. The regulations in 10 CFR Part 20 provide standards for protection against radiation. Releases subject to a 30-day reporting requirement in 10 CFR 20.2203(a)(3)(ii) serve as a performance indicator for FY 2022 Congressional Budget Justification l 111

ANNUAL PERFORMANCE PLAN ensuring the protection of the environment. The NRCs regulatory process, including licensing, inspection, guidance, regulations, and enforcement activities, is sufficient to ensure that releases of radioactive materials that exceed regulatory limits are infrequent.

In the unlikely event that a release to the environment exceeds regulatory limits, the NRC or Agreement State technical specialists will confirm whether the criteria were met, with input from expert consultants as necessary.

The NRC does not statistically sample data to determine results; rather, the staff reviews all event data to determine whether the performance indicator has been met. There are two important data limitations in determining this performance indicator:

(1) delay time for receiving information and (2) the failure to inform the NRC of an event that causes environmental impacts.

The NRC regulations associated with event reporting include specific requirements for timely notifications. A lag time separates the occurrence of an event and its known consequences.

The NRC believes the probability of not being aware of an event that causes a radiological release to the environment that exceeds applicable regulations is very small. Periodic licensee inspections and regulatory reporting requirements are sufficient to ensure that an event of this magnitude would become known.

If such an event occurred, it would result in a prompt and thorough investigation of the event, its consequences, its root causes, and the necessary actions by the licensee and the NRC to mitigate the situation and prevent recurrence. In addition to these immediate actions, the NRC holds periodic meetings during which staff and management validate the occurrence of these events.

FY 2018-2022: Performance Goal 3: Number of instances of unintended nuclear chain reactions involving NRC-licensed radioactive materials Materials and Waste Zero Safety Target:

Verification: An accidental criticality is defined in 10 CFR 70.52(a). Each NRC office reviews event documents for its specific program area to identify events that meet or exceed AO Criterion III.A.1 (accidental criticality).

The program office or regional AO coordinators will assess an event to determine whether it meets the AO criteria. If an event meets the AO criteria, the program office or regional AO coordinator will develop a potential AO event description. The FY 2022 Congressional Budget Justification l112

ANNUAL PERFORMANCE PLAN potential AO event description will include the applicable AO criteria and contain the information specified in Section 208 of the Energy Reorganization Act of 1974, such as the nature and probable consequences of the event.

The AO coordinator in the NRCs Office of Nuclear Regulatory Research coordinates with the program office and regional AO coordinators on incidents and events identified as potential AOs.

Validation: The agency is required to submit a Report to Congress on Abnormal Occurrences each FY for those events that, by Commission determination, meet the AO criteria. The staff has developed and revised these AO criteria over several decades with extensive review by both the Commission and the public. In SECY-95-083, the staff describes the basis of the AO criteria as follows:

The AO reporting policy has been developed to comply with the legislative intent of Section 208 of the Energy Reorganization Act of 1974, as amended, to keep Congress and the public informed of unscheduled incidents or events which the Commission considers significant from the standpoint of public health and safety. The thresholds are generally above the normal level of reporting events by licensees to NRC to exclude those events which involve some variance from regulatory limits, but are not significant enough from the standpoint of public health and safety to be reported to Congress.

For each event that meets the AO criteria, the NRC includes in the report a description of the incident or event, as well as any action taken to prevent recurrence. Such actions include those taken by licensees, as well as more programmatic actions deemed necessary by the Commission to prevent recurrence across a class or classes of licensees. Establishing performance indicators at the threshold levels described by the AO criteria is appropriate and consistent with the principle that the NRCs regulatory processes (e.g., licensing, oversight, enforcement) are adequate to address a wide scope of infractions against regulatory requirements and do not generally warrant a focused reevaluation of the programs associated with those processes for every infraction. Therefore, only significant deviations from the regulatory requirements or unacceptable frequencies of occurrence of such deviations should be indicators of the need to reevaluate regulatory strategies and programs. This principle has been central to the staffs selection of performance goals and performance indicator thresholds for determining whether the NRCs performance in ensuring the safe and secure use of radioactive material has been adequate.

FY 2022 Congressional Budget Justification l 113

ANNUAL PERFORMANCE PLAN FY 2018-2022: Performance Goal 5: Number of malfunctions, deficiencies, events, or conditions at nonreactor facilities or during transportation of nuclear materials that meet or exceed AO Criteria III.A (events at facilities other than nuclear power plants) or III.B (all transportation events)

Materials and Waste Zero Safety Target:

Verification: Each NRC office reviews event documents for its specific program area to identify events as potential AOs.

The program office or regional AO coordinators will assess an event to determine whether it meets the AO criteria. If an event meets the AO criteria, the program office or regional AO coordinator will develop a potential AO event description. The potential AO event description will include the applicable AO criteria and contain the information specified in Section 208 of the Energy Reorganization Act of 1974, such as the nature and probable consequences of the event.

The AO coordinator of the NRCs Office of Nuclear Regulatory Research coordinates with the program office and regional AO coordinators on incidents and events identified as potential AOs.

FY 2022 Congressional Budget Justification l 114

ANNUAL PERFORMANCE PLAN Validation: The agency is required to submit a Report to Congress on Abnormal Occurrences each FY for those events that the Commission has determined to meet the AO criteria. The staff has developed and revised these AO criteria over several decades with extensive review by both the Commission and the public. In SECY-95-083, the staff describes the basis of the AO criteria as follows:

The AO reporting policy has been developed to comply with the legislative intent of Section 208 of the Energy Reorganization Act of 1974, as amended, to keep Congress and the public informed of unscheduled incidents or events which the Commission considers significant from the standpoint of public health and safety. The thresholds are generally above the normal level of reporting events by licensees to NRC to exclude those events which involve some variance from regulatory limits, but are not significant enough from the standpoint of public health and safety to be reported to Congress.

For each event that meets the AO criteria, the NRC includes in the report a description of the incident or event, as well as any action taken to prevent recurrence. Such actions include those taken by licensees, as well as more programmatic actions deemed necessary by the Commission to prevent recurrence across a class or classes of licensees. Establishing performance indicators at the threshold levels described by the AO criteria is appropriate and consistent with the principle that the NRCs regulatory processes (e.g., licensing, oversight, enforcement) are adequate to address a wide scope of infractions against regulatory requirements and do not generally warrant a focused reevaluation of the programs associated with those processes for every infraction. Therefore, only significant deviations from the regulatory requirements or unacceptable frequencies of occurrence of such deviations should be indicators of the need to reevaluate regulatory strategies and programs. This principle has been central to the staffs selection of performance goals and performance indicator thresholds for determining whether the NRCs performance in ensuring the safe and secure use of radioactive material has been adequate.

Nuclear Reactor and Nuclear Materials and Waste Security Security Objective 1: Ensure protection of nuclear facilities and radioactive materials.

Performance Indicators:

FY 2022 Congressional Budget Justification l 115

ANNUAL PERFORMANCE PLAN Goal 2: Security: Ensure the secure use of radioactive materials.

FY 2018-2022: Performance Goal 1: Number of instances of sabotage, theft, diversion, or loss of risk-significant quantities of radioactive material that meet or exceed AO Criteria I.C.1 (stolen, diverted, abandoned, or unrecovered lost), I.C.2 (radiological sabotage), or I.C.3 (substantiated case of actual theft, diversion, or loss of a formula quantity of SNM or an inventory discrepancy).

Security Target: Zero Verification: Under AO Criterion I.C.1, the agency counts any stolen, diverted, abandoned, or unrecovered lost radioactive material that meets or exceeds the thresholds listed in Appendix A, Category 1 and Category 2 Radioactive Materials, to 10 CFR Part 37, Physical Protection of Category 1 and Category 2 Quantities of Radioactive Material. Excluded from reporting under this criterion are those events involving sources that are lost or abandoned under the following conditions: sources that have been lost and for which a reasonable attempt at recovery has been made without success or irretrievable well logging sources as defined in 10 CFR 39.2, Definitions. These sources are onlyexcluded if there is reasonable assurance that the doses from these sources have not exceeded, and will not exceed, the reporting thresholds specified in AO Criteria I.A.1 and I.A.2 and the agency has determined that the risk of theft or diversion is acceptably low.

Losses or thefts of radioactive material greater than or equal to 1,000 times the quantity specified in Appendix C, Quantities of Licensed Material Requiring Labeling, to 10 CFR Part 20 must be reported (in accordance with 10 CFR 20.2201(a)) by telephone to the NRC Headquarters Operations Center or Agreement State immediately (interpreted as within 4 hours4.62963e-5 days 0.00111 hours 6.613757e-6 weeks 1.522e-6 months ) if the licensee believes that an exposure could result to persons in unrestricted areas. If an event meeting the thresholds described above occurs, it would be reported through a number of sources FY 2022 Congressional Budget Justification l 116

ANNUAL PERFORMANCE PLAN but primarily through this required licensee notification. The staff then enters publicly available information about events in NMED, which is used to collect, store, and track information on such events. Alternate methods are used to track events that are not publicly available. Additionally, licensees must meet the reporting and accounting requirements in 10 CFR Part 73, Physical Protection of Plants and Materials, and 10 CFR Part 74, Material Control and Accounting of Special Nuclear Material.

The NRCs inspection programs are key elements in verifying the completeness and accuracy of licensee reports. IMPEP also provides a mechanism to verify that Agreement States and the NRC regions are consistently collecting and reporting such events as received from the licensees and are entering these events in NMED. In some cases, upon receiving a report, the NRC or Agreement State initiates an independent inspection thatverifies the reliability of the reported information. When performed, these inspections enable the NRC or Agreement State to verify the accuracy of the reported data.

The regulation at 10 CFR 20.2201(b) requires a 30-day written report for lost or stolen sources that are greater than or equal to 10 times the quantity specified in Appendix C to 10 CFR Part 20if the source is still missing at that time. Furthermore, 10 CFR 20.2201(d) requires an additional written report within30 days of a licensee learning any additional substantive information. The NRC interprets this requirement as including reporting the recovery of sources.

The NRC issued guidance in RIS 2005-21, Clarification of the Reporting Requirements in 10 CFR 20.2201, dated November 14, 2005, to clarify the current requirement in 10 CFR 20.2201(d) for reporting recovery of a risk-significant source. The NRC asked the Agreement States to send copies of RIS 2005-21 (or an equivalent document) to Agreement State licensees. The NRC issued the National Source Tracking System (NSTS) final rule in November 2006. On January 31, 2009, NRC licensees and Agreement State licensees were required to begin reporting information on source transactions to the NSTS. Implementation of this system creates an inventory of risk-significant sources. This rulemaking established reporting requirements for risk-significant sources (including reporting timeframes) by adding specific requirements to 10 CFR 20.2201, Reports of Theft or Loss of Licensed Material, for risk-significant sources, including a requirement for licensees to report within 30 days the recovery of a risk-significant source.

Validation: Events collected under this performance indicator are actual losses, thefts, or diversions of materials described above. Such events could compromise public health and safety, the FY 2022 Congressional Budget Justification l117

ANNUAL PERFORMANCE PLAN environment, and the common defense and security. Events of this magnitude are rare. The information reported under 10 CFR Part 73 and 10 CFR Part 74 is required so that the NRCis aware of events that could endanger public health and safety or national security. Any failures at the level of the strategic plan would result in immediate investigation and follow-up.

If an event subject to the reporting requirements described above occurs, it would result in a prompt and thorough evaluation of the event, its consequences, its root causes, and the necessary actions by the licensee, the NRC, or an Agreement State to mitigate the situation and prevent recurrence.

Verification: In AO Criterion I.C.2, radiological sabotage is as defined in 10 CFR 73.2, Definitions. In AO Criterion I.C.3, substantiated means a situation in which there is an indication of loss, theft, or unlawful diversion, such as an allegation of diversion, report of lost or stolen material, or other indication of loss of material control or accountability that cannot be refuted following an investigation and requires further action on the part of the agency or other proper authorities. A formula quantity of SNM is defined in 10 CFR 70.4, Definitions. Licensees subject to the requirements in 10 CFR Part 73 must call the NRC within 1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months of an occurrence to report any breaches of security or other event that may potentially lead to theft or diversion of material or to sabotage at a nuclear facility. The NRC describes its safeguards requirements in 10 CFR 73.71, Reporting of Safeguards Events; Appendix G, Reportable Safeguards Events, to 10 CFR Part 73; and 10 CFR 74.11, Reports of Lossor Theft or Attempted Theft or Unauthorized Production of Special Nuclear Material.

The information assessment team composed of NRC Headquarters and regional staff members would conduct an immediate assessment for any significant events to determine any further actions needed, including coordination with the intelligence community and law enforcement. In accordance with10 CFR 73.71(d), the licensee must also file a written report within 60 days of the incident that describes the event and the steps that the licensee took to protect the nuclear facility. This information will enable the NRC to assess whether radiological sabotage has occurred.

Validation: Events subject to reporting requirements are those that endanger public health and safety and the environment through deliberate acts of theft or diversion of material or through sabotage directed against the nuclear facilities that the agency licenses. Events of this type are extremely rare. If such an event occurs, it would result in a prompt and thorough investigation of the event, its consequences, its root causes, and the necessary actions by the licensee or the NRC to mitigate the situation and prevent recurrence. The investigation ensures the validity of theinformation and assesses the significance of the event.

FY 2022 Congressional Budget Justification l 118

ANNUAL PERFORMANCE PLAN Verification: Licensees must record events associated with AO Criterion I.C.3 within 24 hours2.777778e-4 days 0.00667 hours 3.968254e-5 weeks 9.132e-6 months of the identified event in a safeguards log that the licensee maintains. The licensee must retain the log as a record for 3 years after the last entry is made or until termination of the license. The NRC relies on its safeguards inspection program to ensure the reliability of recorded data. The NRC makes a determination of whether a substantiated breakdown has resulted in a vulnerability to radiological sabotage, theft, diversion, or unauthorized enrichment of SNM. When making substantiated breakdown determinations, the NRC evaluates the materials event data to ensure that licensees are reporting and collecting the proper event data.

Validation: Substantiated means a situation that requires additional action by the agency or other proper authorities because of an indication of loss, theft, or unlawful diversionsuch as an allegation of diversion, report of lost or stolen material, statistical processing difference, other system breakdown closely related tothe material control and accounting program (such as an item control system associated with the licensees facility information technology system), or other indication of a loss of material control or accountabilitythat cannot be refuted following an investigation.

A formula quantity of SNM is defined in 10 CFR 70.4.

Events collected under this performance indicator may indicate a vulnerability to radiological sabotage, theft, diversion, or loss of SNM. Such events could compromise public health and safety, the environment, and the common defense and security. The NRC relies on its safeguards inspection program to help validate the reliability of recorded data and to determine whether a breakdown of a physical protection or material control and accounting system has actually resulted in a vulnerability.

FY 2018-2022: Performance Goal 2: Number of substantial breakdowns of physical security, cybersecurity, or material control and accountability that meet or exceed AO Criteria I.C.4 (substantial breakdown in physical security, cybersecurity, or material control and accountability) or I.C.3 (substantiated case of actual theft, diversion, or loss of a formula quantity of SNM or an inventory discrepancy)

Security Target: Less than or equal to one Verification: AO Criterion I.C.4 defines a substantial breakdown as a red finding under the ROP in the physical security inspection program or any plant or facility determined to have overall unacceptable performance resulting in a determination of overall unacceptable performance or in a shutdown condition (inimical to FY 2022 Congressional Budget Justification l 119

ANNUAL PERFORMANCE PLAN the effective functioning of the Nations critical infrastructure).

Radiological sabotage is defined in 10 CFR 73.2. Licensees are required to report to the NRC, immediately after the occurrence becomes known, any known breakdowns of physical security, based on the requirements in 10 CFR 73.71 and Appendix G to 10 CFR Part 73. If a licensee reports such an event, the headquarters operations officer prepares an official record of the initial event report. The NRC begins responding to such an event immediately upon notification with the activation of its information assessment team. A licensee must follow its initial telephone notification with a written report submitted to the NRCwithin 30 days.

The licensee records breakdowns of physical protection resulting in a vulnerability to radiological sabotage, theft, diversion, or loss of SNM or radioactive waste within 24 hours2.777778e-4 days 0.00667 hours 3.968254e-5 weeks 9.132e-6 months in a safeguards log that the licensee maintains. The licensee must retain the log as a record for 3 years after the last entry is made or until termination of the license. Licensees subject to 10 CFR Part 73 must also meet the reporting requirements detailed in 10 CFR 73.71. The NRC evaluates all of the reported events, based on the criteria in 10 CFR 73.71 and Appendix G to 10 CFR Part 73. The NRC also maintains and relies on its safeguards inspection program to ensure the reliability of recorded and reported data.

Validation: Events assessed under this performance indicator are those that threaten nuclear activities by deliberate acts, such as radiological sabotage, directed against facilities. If a licensee reports such an event, the information assessment team evaluates and validates the initial report and determines any further actions thatmay be necessary. Tracking breakdowns of physical security indicates whether the licensee is taking the necessary security precautions to protect the public, given the potential consequences of a nuclear accident attributable to sabotage or the inappropriate use of nuclear material either in this country or abroad.

Events collected under this performance indicator may indicate a vulnerability to radiological sabotage, theft, diversion, or loss of SNM or radioactive waste. Such events could compromise public health and safety, the environment, and the common defense and security. The NRC relies on its safeguards inspection program to help validate the reliability of recorded data and to determine whether a breakdown of a physical protection or material control and accounting system has actually resulted in a vulnerability.

Security Objective 2: Ensure protection of classified and Controlled Unclassified Information FY 2022 Congressional Budget Justification l 120

ANNUAL PERFORMANCE PLAN Performance Indicators:

FY 2018-2022: Performance Goal 3: Number of significant unauthorized disclosures of classified or Safeguards Information by licensees, as defined by AO Criterion I.C.5 (significant unauthorized disclosures of classified information or Safeguards Information),

and by NRC employees or contactors, as defined by NRC internal criteria Security Target: Zero Verification: In regard to AO Criterion I.C.5, any alleged or suspected violations by NRC licensees of the AEA, Espionage Act, or other Federal statutes related to classified or Safeguards Information must be reported to the NRC under the requirements in 10 CFR 95.57(a) (for classified information), 10 CFR Part 73 (for Safeguards Information), and NRC orders (for Safeguards Information subject to modified handling requirements).

However, for performance reporting, the NRC would only count those disclosures or compromises that actually cause damage to national security or that threaten public health and safety.

Such events would be reported to the cognizant security agency (i.e., the security agency with jurisdiction) and the Regional Administrator of the appropriate NRC regional office, as listed in Appendix A, U.S. Nuclear Regulatory Commission Offices and Classified Mailing Addresses, to 10 CFR Part 73. The Regional Administrator would then contact the Division of Security Operations at NRC Headquarters, which would assess the violation and notify other NRC offices and Government agencies, as appropriate. A determination would be made as to whether the compromise damaged national security or public health and safety. Any unauthorized disclosures or compromises of classified or Safeguards Information that damaged national security or public health and safety would result in immediate investigation and follow-up by the NRC. In addition, NRC inspections verify that licensees routine handling of classified information and Safeguards Information (including Safeguards Information subject to modified handling requirements) conformsto established security information management requirements.

Any alleged or suspected violations of this performance indicator by NRC employees, contractors, or other personnel would be reported, in accordance with NRC procedures, to the Director of the Division of Facilities and Security at NRC Headquarters. The NRC maintains a strong system of controls over national security and Safeguards Information, including (1) annual required training for all employees, (2) safe and secure document storage, and (3) physical access control in the form of guards and badged access.

Validation: Events collected under this performance indicator are unauthorized disclosures of classified information or Safeguards Information that damage the national security or public health FY 2022 Congressional Budget Justification l 121

ANNUAL PERFORMANCE PLAN and safety. Events of this magnitude are not expected and would be rare. If such an event occurs, it would result in a prompt and thorough investigation, including consequences, rootcauses, and necessary actions by the licensees and the NRC to mitigate the consequences and prevent recurrence. NRC investigation teams also validate the materials event data to ensure that licensees are reporting and collecting the proper event data.

STRATEGIC PLAN STRATEGIES AND SUPPORTING BUSINESS LINES The NRC FY 2018-2022 Strategic Plan identifies the strategies needed for the NRC to achieve its strategic goals and objectives. The following table shows which agency business lines support each strategy.

Strategy Business Line Safety Strategy 1: Maintain and enhance Decommissioning and LLW, Fuel Facilities, New the NRCs regulatory programs, using Reactors, Nuclear Materials Users, Operating information gained from domestic and Reactors, Spent Fuel Storage and Transportation international operating experience, lessons learned, and advances in science and technology.

Safety Strategy 2: Further risk-informthe Decommissioning and LLW, Fuel Facilities, New current regulatory framework in response Reactors, Nuclear Materials Users, Operating to advances in science and technology, Reactors, Spent Fuel Storage and Transportation policy decisions, and otherfactors, including prioritizing efforts to focus on the most safety-significant issues.

Safety Strategy 3: Enhance the Decommissioning and LLW, Fuel Facilities, New effectiveness and efficiency of licensing Reactors, Nuclear Materials Users, Operating and certification activities to maintain both Reactors, Spent Fuel Storage and Transportation quality and timeliness of licensing and certification reviews.

Safety Strategy 4: Maintain effectiveand Decommissioning and LLW, Fuel Facilities, New consistent oversight of licensee Reactors, Nuclear Materials Users, Operating performance with a focus on the most Reactors, Spent Fuel Storage and safety-significant issues. Transportation Safety Strategy 5: Maintain material Nuclear Materials Users, Decommissioning and safety through the National Materials LLW Program in partnership with Agreement States.

Safety Strategy 6: Identify, assess, and Decommissioning and LLW, Fuel Facilities, New resolve safety issues. Reactors, Nuclear Materials Users, Operating Reactors, Spent Fuel Storage and Transportation FY 2022 Congressional Budget Justification l122

ANNUAL PERFORMANCE PLAN Safety Strategy 7: Ensure the NRC Corporate Support, Decommissioning and LLW, maintains its readiness to respond to Fuel Facilities, New Reactors, Nuclear Materials incidents and emergencies involving Users, Operating Reactors, Spent Fuel Storage NRC-licensed facilities and radioactive and Transportation materials and other events of domestic and international interest.

Safety Strategy 8: Verify that nuclear Fuel Facilities, New Reactors, Operating facilities are constructed and operated in Reactors, Spent Fuel Storage and accordance with permits and licenses and Transportation that the environmental and safety regulatory infrastructure is adequate to support the issuance of new licenses.

Strategy Business Line Security Strategy 1: Maintain and further Decommissioning and LLW, Fuel Facilities, New risk-inform the current regulatory Reactors, Nuclear Materials Users, Operating framework for security using information Reactors, Spent Fuel Storage and Transportation gained from operating experience, lessons learned, external and internal assessments, technology advances, and changes in the threat environment.

Security Strategy 2: Maintain effective, Decommissioning and LLW, Fuel Facilities, New consistent, and risk-informed oversight of Reactors, Nuclear Materials Users, Operating licensee performance with respect to Reactors, Spent Fuel Storage and meeting NRC security requirements. Transportation Security Strategy 3: Maintain material Nuclear Materials Users security through the National Materials Program in partnership with the safety programs administered by the Agreement States.

Security Strategy 4: Proactively identify, Decommissioning and LLW, Fuel Facilities, New assess, and address threats, Reactors, Nuclear Materials Users, Operating vulnerabilities, and security risks. Reactors, Spent Fuel Storage and Transportation Security Strategy 5: Support Corporate Support, Fuel Facilities, New U.S. national security interests and Reactors, Nuclear Materials Users, Operating nuclear nonproliferation policy objectives Reactors, Spent Fuel Storage and consistent with the NRCs statutory Transportation mandate through cooperation with domestic and international partners.

Security Strategy 6: Ensure material Fuel Facilities, Operating Reactors, Spent Fuel control and accounting for special nuclear Storage and Transportation materials.

Security Strategy 7: Ensure that Corporate Support, Decommissioning and LLW, programs for the handling and control of Fuel Facilities, New Reactors, Nuclear Materials classified and Controlled Unclassified Users, Operating Reactors, Spent Fuel Storage Information are effectively implemented at and Transportation the NRC and at licensed facilities.

FY 2022 Congressional Budget Justification l 123

ANNUAL PERFORMANCE PLAN AGENCYWIDE PERFORMANCE INDICATORS FOR FY 2022 The NRC developed the following agencywide performance indicators for FY 2022, which covers the overall performance of the major program areas for the agency.

EVENT RESPONSE Emergency Response Performance Index (ERPI)* (AW-01)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 100

This indicator measures the NRCs readiness to respond to incidents and emergencies involving NRC-licensed facilities and radioactive materials and other events of domestic and international interest. The specific subindicators that will be included under this indicator will be (1) training and qualifications of the different incident response teams to ensure enough personnel are trained and qualified for different incident response positions and (2) communications systems are properly maintained and tested to ensure licensees and other stakeholders can report incidents consistent with the NRCs regulatory requirements.

LICENSING Percentage of Timely Completion of Final Safety Evaluations by the Generic Milestone Date for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (AW-02)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 100

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation accepted after July 13, 2019. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed for the agency. This is measured per the generic milestone schedules.

Average Percentage of Time Allotted Used in the Established Schedule for All Requested Activities of the Commission, as Identified by NEIMA, from a Licensee or Applicant* (AW-03)

Fiscal Year Target Actual Comment New indicator in FY 2022 115 or FY 2022 75

Includes all requested activities of the Commission from licensees or applicants that involve the issuance of a final safety evaluation accepted after July 13, 2019. This includes DCs, licenses, permits, license amendments, license renewals, certificates of compliance, power uprates, and any other requested activity, as applicable, that involves the issuance of a final safety evaluation processed for the agency. This is measured per the established schedule issued to a licensee or applicant for the requested activity.

A result of 100 percent indicates that on average, actions within the reporting period were completed on the established schedule completion date. A result above or below 100 percent indicates that actions were completed after or before the established schedule completion date on average (e.g., a result of 90 percent indicates that the actions within the reporting period were completed, on average, 10 percent earlier than the established schedule completion date).

FY 2022 Congressional Budget Justification l 124

ANNUAL PERFORMANCE PLAN OVERSIGHT Percentage of Required Inspections Completed in Accordance with the Applicable Inspection Manual Chapters for the Fiscal Year* (AW-04)

Fiscal Year Target Actual Comment New indicator in FY 2022 FY 2022 98

This indicator includes the completion of required inspections under applicable inspection manual chapters agencywide. This indicator is not 100 percent due to the potential deferral of inspections based on licensee requests.

RESEARCH Combined Score on a Scale of 1 to 5 for the Technical Quality of Agency Research Technical Products* (AW-05)

Fiscal Year Target Actual Comment New Indicator in FY 2022 FY 2022 4.0

This indicator includes the average technical quality score of all research products. The NRC has developed a process to measure the quality of research products on a five-point scale using surveys of end users to determine the usability and added value of the products.

MANAGEMENT PRIORITIES AND CHALLENGES As stated in the NRCs FY 2018-2022 Strategic Plan, the agencys vision is to Demonstrate the Principles of Good Regulation (independence, openness, efficiency, clarity, and reliability) in performing our mission. The agency puts these principles into practice with effective, realistic, and timely regulatory actions to meet its safety and security goals and objectives. In addition, the NRC is committed to ensuring the stewardship of agency resources in implementing mission support functions, such as financial management, human resources management, acquisition planning and execution, IT/IM, and administrative support services. The NRC encourages all employees to identify ways of increasing effectiveness, efficiency, and innovation in conducting their work. Based on these efforts, the NRC has not identified any programs or management functions that have greater vulnerability to waste, fraud, abuse, and mismanagement, as defined by GPRA Modernization Act of 2010, to be major management challenges.

The NRC is committed to developing and maintaining a highly qualified workforce. The NRC provides a variety of position-specific training for technical and IT project managers who support the mission programs. The NRC has implemented a Program Management Improvement Accountability Act (PMIAA) community of practice where agency program and project managers share best practices, lessons learned, and discuss project management tools, techniques, and methodologies to manage projects. Additionally, the NRC is implementing program and project manager competencies for the workforce in coordination with the U.S. Office of Personnel Management. In FY 2022, the NRC plans to continue the agencys PMIAA community of practice.

Additionally, the NRC is committed to transforming how it regulates civilian nuclear technology, to ensure the NRC can continue to effectively implement its mission in the future. The NRC wants to ensure that in the future it can effectively license, regulate, and oversee the use of new technologies for nuclear facilities and radioactive material. This includes ensuring that safety, security and protecting the environment remain paramount while embracing innovative approaches, new and diverse ideas, and new technologies to work more efficiently and FY 2022 Congressional Budget Justification l 125

ANNUAL PERFORMANCE PLAN effectively. The NRC is focused on developing its people, particularly the next generation, to successfully address evolving workload while maintaining stewardship of the NRCs mission.

Finally, the NRC is committed to using data and evidence-building activities to drive and support agency decision-making. The Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act) emphasizes collaboration and coordination to advance data and evidence-building functions by statutorily mandating evidence-building activities, open government data, and confidential information protection and statistical efficiency. The Evidence Acts systematic rethinking of government data management, new reporting requirements (i.e., learning agenda, capacity assessment, and annual evaluation plan), advancement of evaluation as an essential component of evidence-building within agencies, and requirement to establish and implement an agency evaluation policy are influencing evidence-building and evaluation activities at the NRC. The NRC will continue efforts on its evidence building plan, capacity assessment, and annual evaluation plan to fulfill, in part, requirements of the Evidence Act in FY 2022.

LOWER-PRIORITY PROGRAM ACTIVITIES The Presidents Budget identifies the lower priority program activities, where applicable, as required under the GPRA Modernization Act of 2010, 31 U.S.C. 1115(b)(10). The public can access the volume at: https://www.whitehouse.gov/omb/budget/.

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OFFICE OF THE INSPECTOR GENERAL OFFICE OF THE INSPECTOR GENERAL The NRCs OIG was established as a statutory entity on April 15, 1989, in accordance with the 1988 amendments to the Inspector General Act. Starting in FY 2014, the NRCs OIG has exercised the same authorities with respect to the DNFSB per the Consolidated Appropriations Act, 2014. OIGs mission is to provide independent, objective audit and investigative oversight of NRC and DNFSB operations to protect people and the environment.

NRC OIG Budget Authority and Full-Time Equivalents (Dollars in Millions)

FY 2021 FY 2022 Changes from Enacted Budget Request FY 2021

$M FTE $M FTE $M FTE Program Support 1.9 0.0 1.9 0.0 0.0 0.0 Program Salaries and Benefits 11.6 63.0 11.9 63.0 0.3 0.0 Total $13.5 63.0 $13.8 63.0 $0.3 0.0 Numbers may not add due to rounding.

The FY 2022 budget request for the NRC OIG is $13.8 million, which includes $11.9 million in salaries and benefits to support 63 FTE, and $1.9 million in program support. These resources will support Inspector General auditing and investigation functions for both the NRC,

$12.7 million, and the DNFSB, $1.1 million, respectively.

OIG is showing the full cost associated with its programs for the FY 2022 budget with the following caveat: as a result of an October 1989 memorandum of understanding between the NRCs Chief Financial Officer and the Inspector General, and a subsequent amendment in March 1991, OIG no longer requests that funding for some OIG management and support services be included in the OIG appropriation. It was agreed that funds for OIG infrastructure requirements and other agency support services would instead be included in the NRCs main appropriation. For the most part, these costs are not readily severable. Thus, this funding continues to be included in NRCs main appropriation.

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OFFICE OF THE INSPECTOR GENERAL AUDITS PROGRAM Audits Budget Authority (Dollars in Millions)

FY 2021 FY 2022 Changes from Enacted Request FY 2021 Budget

$M FTE $M FTE $M FTE Audits Program $9.2 41.0 $9.3 41.0 $0.1 0.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The OIG Audits Program focuses on the agencys management and financial operations; economy and efficiency with which an organization, program, or function is managed; and whether the programs achieve intended results. OIG auditors assess the degree to which an organization complies with laws, regulations, and internal policies in carrying out programs, and they test program effectiveness as well as the accuracy and reliability of financial statements.

The overall objective of an audit is to identify ways to enhance agency operations and promote greater economy and efficiency.

For FY 2022, OIG requests $9.3 million and 41 FTE to carry out its Audits Program activities for NRC and DNFSB programs. With these resources, the Audits Program will conduct approximately 24 audits and evaluations for the NRC. This will enable OIG to provide coverage of the NRCs Nuclear Reactor Safety, Nuclear Materials and Waste Safety, Security, and Corporate Support programs. OIGs assessment of these mission-critical programs will support the agency in accomplishing its goals to ensure adequate protection of public health and safety and the environment, and in the secure use and management of radioactive materials.

In addition, OIG will conduct approximately six audits and evaluations that will cover various DNFSB programs and operations. These assessments will support the DNFSBs primary purpose of ensuring adequate protection of public health and safety in the U.S. Department of Energys defense nuclear facilities and operations.

CHANGES FROM FY 2021 ENACTED BUDGET OIGs FY 2022 budget request reflects the funding level needed to sustain the authorized staffing level, conduct legislatively mandated audits at NRC and DNFSB, and fund essential contract support and travel activities related to audit work at both agencies.

FY 2021-FY 2022 AUDITS PROGRAM PERFORMANCE MEASURES

Ensure that 85 percent of OIG audit products and activities cause the NRC and DNFSB to take corrective action to improve agency safety, security, and corporate management programs; ratify adherence to agency policies, procedures, or requirements; or identify real dollar savings or reduced regulatory burden (i.e., high impact).

Obtain NRC agreement on at least 92 percent of OIG audit recommendations, and DNFSB agreement on at least 50 percent of OIG audit recommendations.

Obtain final action on 70 percent of NRC and 50 percent of DNFSB OIG audit recommendations within 2 years.

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OFFICE OF THE INSPECTOR GENERAL SELECTED FY 2020 AUDITS PROGRAM ACCOMPLISHMENTS In FY 2020, the OIG issued 25 reports, with 17 pertaining to NRC programs and operations and 8 pertaining to DNFSB programs and operations. These reports either evaluated high-risk agency programs or complied with mandatory audits pursuant to financial and computer security-related legislation. Additional information related to work performed may be found on the OIG Web Site at https://www.nrc.gov/insp-gen/pubs.html#Semi-Annual.

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OFFICE OF THE INSPECTOR GENERAL INVESTIGATIONS PROGRAM Investigations Budget Authority (Dollars in Millions)

FY 2021 FY 2022 Changes from Enacted Budget Request FY 2021

$M FTE $M FTE $M FTE Investigations Program $4.3 22.0 $4.5 22.0 $0.2 0.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

The OIGs responsibility for detecting and preventing fraud, waste, and abuse within the NRC and DNFSB includes investigating possible violations of criminal statutes relating to NRC and DNFSB programs and activities, investigating misconduct by NRC and DNFSB employees, interfacing with the U.S. Department of Justice (DOJ) on OIG-related criminal matters, and coordinating investigations and other OIG initiatives with Federal, State, and local investigative agencies and other OIGs. Investigations may be initiated as a result of allegations or referrals from private citizens; licensee employees; NRC and DNFSB employees; Congress; other Federal, State, and local law enforcement agencies; OIG audits; the OIG hotline; and Inspector General initiatives directed at bearing a high potential for fraud, waste, and abuse.

For FY 2022, OIG requests $4.5 million and 22 FTE to carry out its Investigations Program activities for NRC and DNFSB programs. Reactive investigations into allegations of criminal and other wrongdoing will continue to be OIGs priority. The Investigations Programs main concentration of effort will involve investigations of alleged NRC or DNFSB staff misconduct that could adversely impact matters related to the health and safety mission of the NRC and the DNFSB. OIG has also implemented a series of proactive initiatives designed to identify specific high-risk areas that are most vulnerable to fraud, waste, and abuse. With these resources, OIG expects to conduct approximately 40 investigations at the NRC and at DNFSB covering a broad range of allegations concerning misconduct and mismanagement affecting various NRC and DNFSB programs.

CHANGES FROM FY 2021 ENACTED BUDGET OIGs FY 2022 budget request reflects the funding level needed to sustain the authorized staffing level.

FY 2021-FY 2022 INVESTIGATIONS PROGRAM PERFORMANCE MEASURES

Ensure 85 percent of OIG investigative products and activities identify opportunities for improvements to NRC and DNFSB safety, security, and corporate management programs; cause the agency to take corrective action, ratify adherence to policies/procedures; or confirm or disprove allegations of wrongdoing (e.g., high impact).

Obtain 90 percent agency actions taken in response to NRC and DNFSB investigative reports.

Complete 90 percent of NRC cases and 85 percent of DNFSB cases within 18 months.

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OFFICE OF THE INSPECTOR GENERAL

Refer at least 20 percent of closed NRC investigations to DOJ or other relevant authorities.

Ensure that at least 60 percent of closed NRC investigations result in indictments, convictions, civil suits or settlements, judgments, administrative actions, monetary results, or IG clearance letters.

SELECTED FY 2020 INVESTIGATIONS PROGRAM ACCOMPLISHMENTS In FY 2020, the OIG completed 39 investigations. These investigative efforts focused on the NRC and the DNFSB employees and contractor violations of law or misconduct, and allegations of irregularities or inadequacies in agencies programs and operations. Additional information related to work performed may be found on the OIG website at https:/www.nrc.gov/insp-gen/pubs.html#Semi-Annual.

NRC OIGS STRATEGIC GOALS, STRATEGIES, AND ACTIONS The NRC OIG carries out its mission through its Audits and Investigations Programs. The NRC OIG Strategic Plan for FY 2019-2023 features three strategic goals and guides the activities of these programs. This OIG Strategic Plan identifies the major challenges and risk areas facing the NRC and generally aligns with the agencys mission. It also includes a number of supporting strategies and actions that describe OIGs planned accomplishments over the strategic planning period. The NRC OIG strategic plan can be found in its entirety at the following address: https://www.nrc.gov/insp-gen/plandocs.html.

To ensure that each NRC OIG audit and evaluation aligns with these three goals, program areas selected for audit and evaluation are included in the OIG Annual Plan after being cross walked against the NRC OIG Strategic Plan to ensure alignment with the offices strategic goals.

Furthermore, each OIG audit, evaluation, and investigation is informed by one or more of the most serious management and performance challenges facing the agency as identified by the Inspector General. The work performed by OIG auditors and investigators is mutually supportive and complementary in pursuit of these objectives. Below are the NRC OIGs current strategic goals and strategies.

NRC OIG STRATEGIC GOALS (1) Safety: Strengthen NRCs efforts to protect public health and safety and the environment.

Discussion: NRC performs critical functions to ensure the safe use of radioactive materials in the United States and to protect both the public and radiation workers from radiation hazards that could result from the use of radioactive materials. NRC provides licensing and oversight activities for 94 commercial nuclear power reactors; research, test, and training reactors; radioactive materials used in medicine, academia, and industry; and nuclear waste.

NRC is responsible for maintaining an established regulatory framework for the safe and secure use of civilian nuclear reactors, including commercial nuclear power plants as well as research, test, and training reactors. NRCs regulatory oversight responsibilities in the reactor arena include developing policy and rulemaking, licensing and inspecting reactors, licensing reactor operators, and enforcing regulations. The agency is also facing the increased number of plants that are closing down and undergoing decommissioning.

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OFFICE OF THE INSPECTOR GENERAL NRC is also responsible for regulatory oversight of the safe and secure use of nuclear materials; medical, industrial, and academic applications, uranium recovery activities; and for the storage and disposal of high-level and low-level radioactive waste. NRC is authorized to grant licenses for the possession and use of radioactive materials and establish regulations to govern the possession and use of those materials.

Upon a States request, NRC may enter into an agreement to relinquish its authority to the State to regulate certain radioactive materials and limited quantities of special nuclear material. The State must demonstrate that its regulatory program is adequate to protect public health and safety and compatible with NRCs program. The States that enter into an agreement assuming this regulatory authority from NRC are called Agreement States. The number of Agreement States continues to increase.

NRC regulates spent (used) reactor fuel from commercial and research and test reactors.

Because of its highly radioactive nature, spent fuel must be handled and stored with care and in a manner, that provides for adequate protection of the public. NRC has been reviewing the issues associated with storing spent fuel at existing reactor sites or at interim storage facilities.

NRC must address its safety challenges to fulfill its mission of protecting public health and safety and the environment. NRC must be prepared to address emerging technical and regulatory issues in a timely manner as well as be able to capture and transfer knowledge learned through experience. In an ever evolving and resource-constrained climate, it is of paramount importance that the agency implements its programs as effectively and efficiently as possible. Below are the NRC OIGs strategies to support the NRC in facing these and other safety-related challenges.

Strategy 1-1: Identify risk areas associated with NRC's oversight of nuclear facilities, and conduct audits and/or investigations that lead to NRC program and operational improvements.

Strategy 1-2: Identify risk areas facing NRC's oversight of nuclear materials, and conduct audits and/or investigations that lead to NRC program and operational improvements.

Strategy 1-3: Identify risk areas associated with NRC's oversight of high-level and low-level waste, and conduct audits and/or investigations that lead to NRC program and operational improvements.

(2) Security: Strengthen NRCs security efforts in response to an evolving threat environment.

Discussion: NRC must ensure that nuclear power and materials licensees take adequate measures to protect their facilities against radiological sabotage. NRC faces the challenge of adapting to dynamic threats while also maintaining a stable security oversight regime commensurate with the agency's mission as a fair and impartial regulator. NRC has well-established inspection programs for evaluating the physical, cyber, and personnel security activities of nuclear power and materials licensees.

NRC must respond to a cyber threat environment where adversaries' tactics and capabilities rapidly evolve. Cyber security also entails oversight challenges related to the mix of digital and analog systems at NRC licensees. For example, digital equipment upgrades could impact licensee operations and security.

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OFFICE OF THE INSPECTOR GENERAL NRC plays a critical role in overseeing and supporting the emergency preparedness and incident response capabilities of its licensees. This oversight includes the integration of licensee plans with government agencies in light of natural disasters and terrorist threats.

NRC also supports U.S. international interests in the secure use of nuclear material and technology and nuclear nonproliferation. This includes controls on the import and export of nuclear materials and equipment, and exercising its international oversight commitments.

Strategy 2-1: Identify risks involved in securing nuclear reactors, fuel cycle facilities, and materials, and conduct audits and/or investigations that lead to NRC program and operational improvements.

Strategy 2-2: Identify risks in emergency preparedness and incident response, and conduct audits and/or investigations that lead to NRC program and operational improvements.

Strategy 2-3: Identify risks in international security activities, and conduct audits and/or investigations that lead to program and operational improvements.

(3) Corporate Management: Increase the economy, efficiency, and effectiveness with which NRC manages and exercises stewardship over its resources.

Discussion: NRC faces significant challenges to efficiently, effectively and economically manage its corporate resources. NRC must continue to provide infrastructure and support to accomplish its regulatory mission while responding to continuous scrutiny of budgetary levels, evolving regulatory requirements, changing industry and market conditions, and the continuously developing security threat environment.

Addressing corporate resource challenges concerning organizational staffing, human capital, information management and internal financial oversight will require a continuing, well considered process of adaptation throughout the next strategic planning period. NRC must continue its efforts to maintain its capability to effectively use its financial resources and to manage other factors. Such factors include reductions in long-tenured staffing, which require knowledge preservation and transfer, the effective deployment of resources to meet changing regulatory requirements, efficient adaptation to changing industry conditions, and the need for continued improvement in information technology capabilities.

Further, NRC must protect its infrastructure and take the necessary steps to ensure that its staff, facilities, information, and information technology assets are adequately protected against insider and external threats while maintaining operations. NRC faces the challenge of balancing transparency with information security.

OIG will continue to target corporate management risk areas for audits and investigations, to fulfill its statutory responsibilities to evaluate agency financial management, and work with NRC to identify and improve areas of weakness.

Strategy 3-1: Identify areas of corporate management risk within NRC and conduct audits and/or investigations that lead to NRC program and operational improvements.

Strategy 3-2: Identify risks in maintaining a secure infrastructure (i.e., physical, personnel, and cyber security), and conduct audits and/or investigations that lead to NRC program and operational improvements.

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OFFICE OF THE INSPECTOR GENERAL FY 2022 NRC OIG BUDGET RESOURCES LINKED TO STRATEGIC GOALS The following table depicts the relationship of the Inspector General program and associated resource requirements to the NRC OIG strategic goals.

NRC OIG Budget Resources Linked to OIGs Strategic Goals (Dollars in Millions)

Strengthen NRC's Improve NRC's Program Links to Enhance NRCs Public Health & Resource Stewardship Strategic Goals Security Efforts Safety Efforts Efforts

$M $M $M $M FY 2022 Programs ($12.7)1 Audits

$8.4 1.7 1.7 5.0 Investigations

$4.3 1.5 0.5 2.3

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

1The budget resources linked to the NRC OIG strategic goals does not include the $1.1M for the DNFSB.

NRC OIG PROGRAM PERFORMANCE MEASURES OIG Strategic Goal 1: Strengthen the NRCs Efforts to Protect Public Health and Safety and the Environment 2017 2018 2019 2020 2021 2022 Measure 1. Percentage of OIG products and activities that have a high impact1 on improving the NRCs safety program.2 Target 85% 85% - - - -

Actual 100% 91% - - - -

Measure 2. Percentage of OIG audit products and activities that cause the agency to take corrective action to improve agency safety programs; ratify adherence to agency policies, procedures, or requirements; or identify real dollar savings or reduced regulatory burden (i.e., high impact).3 Target - - 85% 85% 85% 85%

Actual - - 100% 100% TBD TBD Measure 3. Percentage of audit recommendations agreed to by agency.

Target 92% 92% 92% 92% 92% 92%

Actual 95% 100% 100% 100% TBD TBD Measure 4. Percentage of final agency actions taken within 2 years of audit recommendations.

Target 70% 70% 70% 70% 70% 70%

Actual 75% 67%4 78% 63%5 TBD TBD Measure 5. Percentage of OIG investigative products and activities that identify opportunities for improvements to agency safety programs; ratify adherence to policies/procedures; or confirm or disprove allegations of wrongdoing (e.g., high impact).6 Target - - 85% 85% 85% 85%

Actual - - 100% 100% TBD TBD Measure 6. Percentage of agency actions taken in response to investigative reports.

Target 90% 90% 90% 90% 90% 90%

Actual 0%7 N/A N/A 100% TBD TBD Target 90% 90% 90% 90% 90% 90%

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OFFICE OF THE INSPECTOR GENERAL OIG Strategic Goal 1: Strengthen the NRCs Efforts to Protect Public Health and Safety and the Environment 2017 2018 2019 2020 2021 2022 Actual 0%8 83%9 N/A 43%10 TBD TBD Measure 8. Percentage of closed investigations referred to DOJ or other relevant authorities.

Target 20% 20% 20% 20% 20% 20%

Actual N/A 0%11 0%12 N/A* TBD TBD Measure 9. Percentage of closed investigations resulting in indictments, convictions, civil suits or settlements, judgments, administrative actions, monetary results, or IG clearance letters. 13 Target 60% 60% 60% 60% 60% 60%

14 15 Actual 0% 0% N/A 67% TBD TBD 1 High impact is the effect of an issued report or activity undertaken that results in: (a) confirming risk areas or management challenges that caused the agency to take corrective action, (b) real dollar savings or reduced regulatory burden, (c) identifying significant wrongdoing by individuals that results in criminal or administrative action, (d) clearing an individual wrongly accused, or (e) identifying regulatory actions or oversight that may have contributed to the occurrence of a specific event or incident or resulted in a potential adverse impact on public health or safety.

2 In FY 2019, this measure was replaced with measures 2 and 5 to clarify the definitions of high impact for audits and investigations.

3This high-impact measure for audits was added in FY 2019.

4Several audit reports included recommendations that required more than 2 years for the agency to finalize action on. These recommendations are now closed.

5Several audit reports included recommendations that required more than 2 years for the agency to finalize action on. These recommendations are now closed.

6This high-impact measure for investigations was added in FY 2019.

7Only one case was applicable to this measure and the agency did not take action in response to the report.

8There was only one case applicable to this measure; the case was not closed within 18 months.

9Five out of six cases were closed within 18 months. The sixth case took longer due to case complexity and the ongoing nature of the issue.

10Three out of seven cases were closed within 18 months. The other four cases took longer due to case complexity and the ongoing nature of the issue.

11Neither of the safety related investigations warranted referral because neither identified a criminal violation of law. 12There was only one applicable case in FY 2019, which was not referred because it was not eligible for referral. 13Starting in FY 2014, OIG began measuring the percentage of closed investigations that resulted in an indictment, conviction, civil suit or settlement, judgment, administrative action, or monetary result. Starting in FY 2017, the OIG added closed investigations that resulted in IG clearance letters to this measure. A clearance letter is a document provided to an employee in cases where an investigation is initiated in response to an allegation of employee misconduct and the misconduct is not substantiated.

14Only one case was applicable to this measure and it did not result in any of the listed outcomes.

15Four technical cases focused on safety related procedures; none involved had individual misconduct and none were substantiated.

There were no investigations applicable to these measues during FY 2020.

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OFFICE OF THE INSPECTOR GENERAL OIG Strategic Goal 2: Enhance the NRCs Efforts To Increase Security in Response to an Evolving Threat Environment 2017 2018 2019 2020 2021 2022 Measure 1. Percentage of OIG products and activities that have a high impact on improving the NRCs security program.1 Target 85% 85% - - - -

Actual 100% 100% - - - -

Measure 2. Percentage of OIG audit products and activities that cause the agency to take corrective action to improve agency security programs; ratify adherence to agency policies, procedures, or requirements; or identify real dollar savings or reduced regulatory burden (i.e., high impact).2 Target - - 85% 85% 85% 85%

Actual - - 100% 100% TBD TBD Measure 3. Percentage of audit recommendations agreed to by the agency.

Target 92% 92% 92% 92% 92% 92%

Actual 100% 100% 100% 100% TBD TBD Measure 4. Percentage of final agency actions taken within 2 years of audit recommendations.

Target 70% 70% 70% 70% 70% 70%

Actual 55%3 88% 78% 59%4 TBD TBD Measure 5. Percentage of OIG investigative products and activities that identify opportunities for improvements to agency security programs; ratify adherence to policies/procedures; or confirm or disprove allegations of wrongdoing (e.g., high impact).5 Target - - 85% 85% 85% 85%

Actual - - 100% N/A* TBD TBD Measure 6. Percentage of agency actions taken in response to investigative reports.

Target 90% 90% 90% 90% 90% 90%

Actual N/A N/A N/A N/A* TBD TBD Measure 7. Percentage of active cases completed in less than 18 months.

Target 90% 90% 90% 90% 90% 90%

Actual 100% N/A 33%6 N/A* TBD TBD Measure 8. Percentage of closed investigations referred to DOJ or other relevant authorities.

Target 20% 20% 20% 20% 20% 20%

Actual 50% N/A 0%7 N/A* TBD TBD Measure 9. Percentage of closed investigations resulting in indictments, convictions, civil suits or settlements, judgments, administrative actions, monetary results or IG clearance letters.

Target 60% 60% 60% 60% 60% 60%

Actual 33%8 N/A 33%9 N/A* TBD TBD 1In FY 2019, this measure was replaced with measures 2 and 5 to clarify the definitions of high impact for audits and investigations.

2This high-impact measure for audits was added in FY 2019.

3Four of eight recommendations on the Independent Evaluation of NRCs Implementation of the Federal Information Security Management Act (FISMA) for Fiscal Year 2012 required additional time to close. These four recommendations have since been closed.

4Several audit reports included recommendations that required more than 2 years for the agency to finalize action on. These recommendations are now closed.

5This high-impact measure for investigations was added in FY 2019.

6The two cases eligible did not meet the target due to case complexity and competing priorities.

7The two cases eligible for referral did not meet the criteria for referral.

8Only one of three closed investigations resulted in an indictment, conviction, civil suit or settlement, judgment, administrative action, monetary result or IG clearance letter, which resulted in an achievement rate of 33 percent.

9Two out of three cases did not meet this measure. One case was a joint operation in which OIG provided support.

In the other, case the employee left before action could be taken.

There were no investigations applicable to these measures during FY 2020.

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OFFICE OF THE INSPECTOR GENERAL NRC OIG Strategic Goal 3: Improve the Economy, Efficiency, and Effectiveness with Which the NRC Manages and Exercises Stewardship over Its Resources 2017 2018 2019 2020 2021 2022 Measure 1. Percentage of OIG completed products and activities that have a high impact on improving corporate management Programs.1 Target 85% 85%

Actual 93% 88%

Measure 2. Percentage of OIG audit products and activities that cause the agency to take corrective action to improve agency corporate management programs; ratify adherence to agency policies, procedures, or requirements; or identify real dollar savings or reduced regulatory burden (i.e., high impact).2 Target 85% 85% 85% 85%

Actual 100% 100% TBD TBD Measure 3. Percentage of audit recommendations agreed to by the agency.

Target 92% 92% 92% 92% 92% 92%

Actual 100% 100% 100% 96% TBD TBD Measure 4. Percentage of final agency actions taken within 2 years on audit recommendations.

Target 70% 70% 70% 70% 70% 70%

Actual 81% 62%3 67%4 75% TBD TBD Measure 5. Percentage of OIG investigative products and activities that identify opportunities for improvements to agency corporate management programs; ratify adherence to policies/procedures; or confirm or disprove allegations of wrongdoing (e.g., high impact).5 Target 85% 85% 85% 85%

Actual 86% 100% TBD TBD Measure 6. Percentage of agency actions taken in response to investigative reports.

Target 90% 90% 90% 90% 90% 90%

Actual 89%6 100% 100% 100% TBD TBD Measure 7. Percentage of active cases completed in less than 18 months.

Target 90% 90% 90% 90% 90% 90%

Actual 85%7 72%8 59%9 14%10 TBD TBD Measure 8. Percentage of closed investigations referred to DOJ or other relevant authorities.

Target 20% 20% 20% 20% 20% 20%

Actual 44% 12%11 25% 44% TBD TBD Measure 9. Percentage of closed investigations resulting in indictments, convictions, civil suits or settlements, judgments, administrative actions, monetary results, or IG clearance letters.

Target 60% 60% 60% 60% 60% 60%

Actual 70% 46%12 42%13 63% TBD TBD 1This measure was replaced, beginning in FY 2019, with measures 2 and 5 to clarify the definitions of high impact for audits and investigations.

2This high-impact measure for audits was added, beginning in FY 2019.

3Several audit reports included recommendations that require more than 2 years for the agency to finalize action on. The agency is working to finalize actions so that these recommendations can be closed.

4Recommendations required additional time to close due to system changes that were needed.

5This high-impact measure for investigations was added beginning in FY 2019.

6One of nine investigative cases resulted in no action taken in response to an investigative report which resulted in an 89 percent achievement rate.

7The complexity of several investigations required additional time to close these investigations.

8The complexity of several investigations required additional time to close.

9Due to the complexity and competing priorities, several investigations required additional time to close.

10Due to the complexity and competing priorities, several investigations required additional time to close.

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OFFICE OF THE INSPECTOR GENERAL NRC OIG Strategic Goal 3: Improve the Economy, Efficiency, and Effectiveness with Which the NRC Manages and Exercises Stewardship over Its Resources 2017 2018 2019 2020 2021 2022 11Although we initially identified 17 cases with potential criminal violations, only 2 developed sufficient evidence to warrant referral.

12Two investigations were inconclusive; therefore, a clearance letter could not be issued. In another case, misconduct was identified; however, the agency did not take action.

13In several cases, either the subject left the agency before the agency could take action or the cases pertained to ownership of prohibited securities; therefore, a clearance memo was not warranted.

VERIFICATION AND VALIDATION OF MEASURED VALUES AND PERFORMANCE The OIG uses an automated management information system to capture program performance data for the Audits and Investigations Programs. The integrity of the system was thoroughly tested and validated before implementation. Reports generated by the system provide both detailed information and summary data. All system data are deemed reliable.

PROGRAM EVALUATIONS (PEER REVIEWS)

An independent audit peer review performed in FY 2018 by the OIG Board of Governors of the Federal Reserve System and the Bureau of Consumer Financial Protection gave NRC OIG a peer review rating of Pass. This is the highest rating possible based on the available options of Pass, Pass with deficiencies, and Fail.

In addition, in November 2019, the Department of Commerce OIG issued a report documenting the results of its independent investigative peer review of NRC OIGs Investigations Program.

The program was found to be in compliance with quality standards established by the Council of the Inspectors General on Integrity and Efficiency and the Attorney General Guidelines for Offices of Inspectors General with Statutory Law Enforcement Authority.

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OFFICE OF THE INSPECTOR GENERAL DNFSB OIG PROGRAM PERFORMANCE MEASURES Performance Measures for the DNFSB OIG Program 2017 2018 2019 2020 2021 2022 Measure 1. Percentage of OIG audits undertaken and issued within a year.1 Target 60% 60%

Actual 100% 100%

Measure 2. Percentage of OIG audit products and activities that cause the agency to take corrective action to improve agency safety, security, or corporate management programs; ratify adherence to agency policies, procedures, or requirements; or identify real dollar savings or reduced regulatory burden (i.e.,

high impact).2 Target 85% 85% 85% 85%

Actual 100% 100% TBD TBD Measure 3. Percentage of audit recommendations agreed to by agency.3 Target 50% 50% 50% 50%

Actual 100% 100% TBD TBD Measure 4. Percentage of final Board actions taken within 2 years on audit recommendations.

Target 50% 50% 50% 50% 50% 50%

Actual 100% 100% 75% 100% TBD TBD Measure 5. Percentage of OIG investigative products and activities that identify opportunities for improvements to agency safety, security, or corporate management programs; ratify adherence to policies/procedures; or confirm or disprove allegations of wrongdoing (e.g., high impact).4 Target 85% 85% 85% 85%

Actual 100% 100% TBD TBD Measure 6. Percentage of Board actions taken in response to investigative reports.

Target 90% 90% 90% 90% 90% 90%

Actual 100% N/A N/A 100% TBD TBD Measure 7. Percentage of active cases completed in less than 18 months.

Target 85% 85% 85% 85% 85% 85%

Actual 100% N/A 25%5 0%6 TBD TBD 1OIG anticipates issuing six audit reports per year. This measure was tracked beginning in FY 2015 and replaced with measure 2 beginning in FY 2019.

2This high-impact measure for audits was added, beginning in FY 2019.

3This measure for audits was added, beginning in FY 2019.

4This high-impact measure for investigations was added beginning in FY 2019.

5Out of four cases, one case completed within 18 months. A second case was referred; however, the individual retired before the agency could take action and the 18-month target was exceeded.

6Due to complexity and competing priorities, the investigations required additional time to close.

INSPECTOR GENERAL REFORM ACT CERTIFICATION FOR FY 2022 In accordance with the Inspector General Reform Act (Public Law 110-409), the OIG NRC budget request was submitted to the NRC Chairman for FY 2022 and was subsequently approved. In addition, the OIG DNFSB budget request was submitted to the DNFSB Chairman for FY 2022 who provided no comments.

Furthermore, OIGs total budget request includes $120,000 for OIG training. The amount requested provides for all OIG specific training requirements for which there is a fee charged to OIG for attendance. In addition, funds are available for the OIG share of the resources needed to support the Council of the Inspectors General on Integrity and Efficiency.

FY 2022 Congressional Budget Justification l 139

APPENDIX A: FULL COST OF U.S. NUCLEAR REGULATORY COMMISSION PROGRAMS APPENDIX A: FULL COST OF U.S. NUCLEAR REGULATORY COMMISSION PROGRAMS This appendix provides the full cost of U.S. Nuclear Regulatory Commission (NRC) programs. The table below reflects the total amount of allocated corporate support costs for all business lines, except for the Office of the Inspector General, plus the business line costs presented in each chapter of this report.

Full Cost Budget Authority and Full-Time Equivalents (Dollars in Millions)

Business FY 2020 FY 2021 FY 2022 Changes from Line/Major Actuals Enacted Request FY 2021 Program $M FTE $M FTE $M FTE $M FTE Operating Reactors 549.9 1,805.4 554.4 1,861.1 563.7 1,856.3 9.3 (4.8)

New Reactors 111.4 345.5 113.3 359.3 126.1 389.2 12.8 29.9 Nuclear Reactor Safety 661.4 2,151.0 667.6 2,220.5 689.8 2,245.5 22.2 25 Spent Fuel Storage and Transportation 38.2 122.4 40.6 129.1 39.8 124.7 (0.8) (4.4)

Nuclear Materials Users 86.7 254.9 80.1 254.3 83.9 249.4 3.8 (4.9)

Decommissioning and Low-Level Waste 32.4 103.6 33.3 108.8 33.0 107.0 (0.3) (1.8)

Fuel Facilities 28.2 94.6 28.2 92.4 27.5 89.4 (0.7) (3.0)

Nuclear Materials and Waste Safety 185.5 575.5 182.3 584.5 184.2 570.5 2.0 (14.1)

Major Program Subtotal 846.9 2,726.5 849.9 2,805.0 873.9 2,816.0 24.1 11.0 Office of the Inspector General 12.1 55.3 13.5 63.0 13.8 63.0 0.3 0.0 Total 859.0 2,781.8 863.4 2,868.0 887.7 2,879.0 24.4 11.0 University Nuclear 2.5 - 16.0 - - - (16.0) -

Leadership Program Authorized Carryover (38.4) - (35.0) - - - 35.0 -

Total $823.1 2,781.8 $844.4 2,868.0 $887.7 2,879.0 $43.3 11.0

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

FY 2022 Congressional Budget Justification l 141

APPENDIX A: FULL COST OF U.S NUCLEAR REGULATORY COMMISSION PROGRAMS The fiscal year (FY) 2022 Congressional Budget Justification identifies the infrastructure and support costs for the NRC. The allocation methodology is consistent with that used for preparing the agencys financial statements. The table below represents the associated infrastructure and support costs allocated to each business line to calculate the full cost of the NRCs programs.

Corporate Support by Business Line (Dollars in Millions)

FY 2020 FY 2021 FY 2022 Changes from Actuals Enacted Request FY 2021 Major Programs $M FTE $M FTE $M FTE $M FTE Operating Reactors 191.4 358.6 180.1 390.1 175.5 382.3 (4.6) (7.8)

New Reactors 36.6 68.6 34.8 75.3 36.8 80.2 2.0 4.9 Nuclear Reactor Safety 228.1 427.3 214.9 465.5 212.3 462.5 (2.6) (2.9)

Spent Fuel Storage and Transportation 13.0 24.3 12.5 27.1 11.8 25.7 (0.7) (1.4)

Nuclear Materials Users 27.0 50.6 24.6 53.3 23.6 51.4 (1.0) (2.0)

Decommissioning and Low-Level Waste 11.0 20.6 10.5 22.8 10.1 22.0 (0.4) (0.8)

Fuel Facilities 10.0 18.8 8.9 19.4 8.5 18.4 (0.5) (0.9)

Nuclear Materials and Waste Safety 61.0 114.3 56.6 122.5 54.0 117.5 (2.6) (5.0)

Total 289.1 541.6 271.5 588.0 266.3 580.0 (5.2) (7.9)

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

FY 2022 Congressional Budget Justification l 142

APPENDIX B: BUDGET AUTHORITY BY FUNCTION APPENDIX B: BUDGET AUTHORITY BY FUNCTION The U.S. Nuclear Regulatory Commissions (NRC) budget authority is aggregated into the major categories of salaries and benefits, contract support, and travel. Salaries and benefits are estimated based on full-time equivalents (FTE), pay rates, pay raise assumptions including enacted pay raises and a one percent increase in awards spending directed by OMB Circular A-11, and the effective pay periods for pay raises. Benefits costs include the Federal Governments contributions for retirement, health benefits, life insurance, Medicare, Social Security, and the Thrift Savings Plan. Contract support comprises obligations for commercial contracts, interagency agreements, grants, and other nontravel services, such as rent and utility payments. Travel costs primarily comprise expenses for site inspections at regulated facilities, meetings with stakeholders, and international travel.

Budget Authority by Function (Dollars in Millions)

FY 2021 FY 2022 Changes from Enacted Request FY 2021 Salaries & Expenses (S&E) $M $M $M Salaries and Benefits 556.7 578.5 21.8 Contract Support 273.4 276.5 3.1 Travel 19.8 18.8 (1.0)

Total (S&E) $849.9 $873.9 $24.1 Office of the Inspector General (OIG)

Salaries and Benefits 11.6 11.9 0.3 Contract Support 1.6 1.7 0.1 Travel 0.3 0.2 (0.1)

Total (OIG) $13.5 $13.8 $0.3 Total NRC Appropriations Salaries and Benefits 568.3 590.4 22.1 Contract Support 275.0 278.2 3.2 Travel 20.1 19.0 (1.1)

Total (NRC) $863.4 $887.7 $24.4

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

FY 2022 Congressional Budget Justification l 143

APPENDIX C: ESTIMATED OPERATING POWER REACTORS ANNUAL FEE APPENDIX C: ESTIMATED OPERATING POWER REACTORS ANNUAL FEE This appendix provides the U.S. Nuclear Regulatory Commissions (NRCs) estimated fiscal year (FY) 2022 annual fee calculation for the operating power reactors fee class and a comparison of that amount against the FY 2015 annual fee amount for operating power reactors, adjusted for inflation.

In accordance with Section 102(b)(3)(B)(i) of the Nuclear Energy Innovation and Modernization Act (Public Law 115-439), the operating power reactors annual fee, to the maximum extent practicable, shall not exceed the operating power reactors annual fee amount established in the FY 2015 final fee rule, adjusted for inflation.

The operating power reactors annual fee estimate is based on the NRC staffs allocation of the FY 2022 budget request to fee collections under Title 10 of the Code of Federal Regulations (10 CFR) Part 170, Fees for Facilities, Materials, Import and Export Licenses, and Other Regulatory Services Under the Atomic Energy Act of 1954, as Amended, and allocations within the operating power reactors fee class under 10 CFR Part 171, Annual Fees for Reactor Licenses and Fuel Cycle Licenses and Materials Licenses, Including Holders of Certificates of Compliance, Registrations, and Quality Assurance Program Approvals and Government Agencies Licensed by the NRC. It assumes 94 operating power reactors in FY 2022 and applies various data assumptions from the FY 2021 final fee rule. Based on these allocations and assumptions, the annual fee per operating power reactor for FY 2022 is estimated to be $4.8 million, approximately $0.6 million below the FY 2015 operating power reactors annual fee amount, adjusted for inflation to $5.5 million.

Estimated FY 2022 Operating Power Reactors Annual Fee5

$M Budgetary Allocation 645.1 Estimated 10 CFR Part 170 Fee Collections 196.6 Estimated 10 CFR Part 171 Allocations 449.5 Generic Transportation Resources Allocated 0.3 Adjusted 10 CFR Part 171 Allocations 1 449.8 Generic Low-Level Waste Surcharge 2.9 10 CFR Part 171 Billing Adjustments 2.4 Total Annual Fee 2

$455.2 Annual Fee per Operating Power Reactor 3

$4.8 FY 2015 Annual Fee per Operating Power Reactor Adjusted for Inflation4 $5.5 Delta: FY 2022 Annual Fee - FY 2015 Annual Fee Adjusted for Inflation ($0.6)

Numbers may not add due to rounding.

1Adjusted amount after generic transportation resources allocation.

2Sum of Adjusted 10 CFR Part 171 Allocations, Generic Low-Level Waste Surcharge, and 10 CFR Part 171 Billing Adjustments.

3Assumes 94 operating power reactors in FY 2022.

4Based on 1.6 percent Consumer Price Index increase for FY 2022.

5Applied various data assumptions from the FY 2021 final fee rule.

FY 2022 Congressional Budget Justification l 145

APPENDIX D: ESTIMATED FEE RECOVERY APPENDIX D: ESTIMATED FEE RECOVERY The Nuclear Energy Innovation and Modernization Act (NEIMA) (Public Law 115-439) requires the U.S. Nuclear Regulatory Commission (NRC) to recover 100 percent of its total budget authority for a fiscal year (FY), less the amounts for excluded activities. In accordance with Section 102(b)(1)(B) of NEIMA, excluded activities include generic homeland security, waste incidental to reprocessing, nuclear waste fund, advanced reactors regulatory infrastructure, Office of the Inspector General services for the Defense Nuclear Facilities Safety Board, the University Nuclear Leadership Program, and fee-relief activities identified by the Commission.

Consistent with prior fee rules, fee-relief activities identified by the Commission include Agreement State oversight, regulatory support to Agreement States, medical isotope production infrastructure, fee exemption for nonprofit educational institutions, generic decommissioning/ reclamation, uranium recovery program and unregistered general licenses, potential U.S. Department of Defense Remediation Program memorandum of understanding activities (military radium-226),

nonmilitary radium sites, and international activities. The table below provides the amounts budgeted for fee-relief activities in FY 2022.

Budgetary Resources for Fee-Relief Activities (Dollars in Millions)

FY 2022 Business Line Request

$M FTE Agreement State Oversight 5.6 22.2 Regulatory Support to Agreement States 6.7 21.1 Medical Isotope Production Infrastructure 2.2 10.8 Fee Exemption for Non-profit Educational 5.4 25.7 Institutions Generic Decommissioning/Reclamation 8.2 29.0 Uranium Recovery Program and 1.5 5.5 Unregistered General Licensees Potential Department of Defense Remediation Program Memorandum of 0.4 2.0 Understanding Activities (Military Radium-226)

Non-Military Radium Sites 0.1 0.6 International Activities 1 16.0 44.0 Total2 $46.1 160.9

$M includes full-time equivalent (FTE) costs as well as contract support and travel. Numbers may not add due to rounding.

1For FY 2022, resources for import and export licensing are identified as a fee relief activity to be excluded from fee recovery.

2Does not include full cost allocation of $36.5M applied during the development of the fee rule and $7.6M for the small entity subsidy.

FY 2022 Congressional Budget Justification l 147

APPENDIX D: ESTIMATED FEE RECOVERY Estimated Fee Recovery (Dollars in Millions)

FY 2021 FY 2022 Changes Enacted Projection from FY 2021

$M $M $M Total Appropriation1 $844.4 $887.7 $43.3 Less Non-Fee Recoverable/Excluded Activities $123.0 $131.0 $8.0 Generic Homeland Security 11.7 14.3 2.6 Waste Incidental to Reprocessing 1.2 1.0 (0.2)

Advanced Reactors Regulatory Readiness 17.7 23.0 5.3 Defense Nuclear Facilities Safety Board 1.2 1.2 -

Fee Relief Activities2 91.2 91.5 0.3 Fees to be Recovered $721.4 $756.7 $35.3 Billing & Carryover Adjustments3 (13.4) 2.8 16.2 Adjusted Fee Recovery Amount $708.0 $759.5 $51.5 Estimated Part 170 Fees Amount4 $190.6 $204.3 $13.7 Estimated Part 170 Fees Percent5 26.9% 26.9% -

Estimated Part 171 Fees Amount $517.4 $555.2 $37.8 Estimated Part 171 Fees Percent5 73.1% 73.1% -

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

1 Includes both salaries and expenses and Office of the Inspector General appropriations.

2Consistent with the NRCs fee rule methodology, amount includes a full cost allocation of $36.5M and $7.6M for the small entity subsidy. Amount in fee rule may vary based on offsetting estimated receipts and small entity subsidy.

3The NRC applies billing and carryover adjustments to the estimated fee recovery amount to account for the sum of unpaid current year invoices minus prior year invoices that will be paid in the budget request year.

4Includes $125.0 million recovered through requested activities of the Commission as identified in Appendix E, "Requested Activities by Business Line."

5FY 2022 Projection assumes same percentage from FY 2021 final fee rule.

Of the adjusted $759.5 million estimated to be recovered from fees, the staff estimates that approximately $204.3 million, using the estimated full cost FTE rate consistent with the fee rule methodology, will be recovered through fees assessed under Title 10 of the Code of Federal Regulations (10 CFR) Part 170, Fees for Facilities, Materials, Import and Export Licenses, and Other Regulatory Services under the Atomic Energy Act of 1954, as Amended. The staff estimates that approximately 61 percent of this amount will be recovered through requested activities of the Commission as described in Appendix E, Requested Activities by Business Line.

The remaining $555.2 million of the $759.5 million is estimated to be recovered through fees assessed under 10 CFR Part 171, Annual Fees for Reactor Licenses and Fuel Cycle Licenses and Material Licenses, Including Holders of Certificates of Compliance, Registrations, and Quality Assurance Program Approvals and Government Agencies Licensed by the NRC.

FY 2022 Congressional Budget Justification l 148

APPENDIX E: REQUESTED ACTIVITIES BY BUSINESS LINE APPENDIX E: REQUESTED ACTIVITIES BY BUSINESS LINE This appendix summarizes the U.S. Nuclear Regulatory Commissions (NRCs) fiscal year (FY) 2022 requested activities budgeted by business line. In accordance with Section 102(a)(1) of the Nuclear Energy Innovation and Modernization Act (NEIMA) (Public Law 115-439), [i]n the annual budget justification submitted by the Commission to Congress, the Commission shall expressly identify anticipated expenditures necessary for completion of the requested activities of the Commission anticipated to occur during the applicable fiscal year. NEIMA defines a requested activity as the processing of applications for (1) design certifications or approvals, (2) licenses, (3) permits, (4) license amendments, (5) license renewals, (6) certificates of compliance, (7) power uprates, and (8) any other activity requested by a licensee or applicant.

The table below is not an exhaustive list of the NRCs budgetary resources for fee for service activities recovered through Title 10 of the Code of Federal Regulations (10 CFR) Part 170, Fees for Facilities, Materials, Import and Export Licenses, and Other Regulatory Services Under the Atomic Energy Act of 1954, as Amended. Other fee for service activities such as inspections, do not meet NEIMAs definition of a requested activity.

A total of $67.2 million, including 299.1 full-time equivalents (FTE), is budgeted to support requested activities of the Commission for FY 2022. A portion of the requested activities amount budgeted in the Nuclear Materials Users Business Line, $4.6 million, including 23.4 FTE, will be recovered through annual fees under 10 CFR Part 171 Annual Fees for Reactor Licenses and Fuel Cycle Licenses and Material Licenses, Including Holders of Certificates of Compliance, Registrations, and Quality Assurance Program Approvals and Government Agencies Licensed by the NRC.

Requested Activity by Business Line (Dollars in Millions)

FY 2022 Business Line Request

$M FTE Operating Reactors 24.2 110.7 New Reactors 25.4 111.9 Spent Fuel Storage and Transportation 8.2 36.2 Nuclear Materials Users 5.2 26.0 Decommissioning and Low-Level Waste 2.0 7.3 Fuel Facilities 2.3 7.0 Total $67.2 299.1

$M includes FTE costs as well as contract support and travel. Numbers may not add due to rounding.

Should the NRC receive the full amount requested for FY 2022, the agency will use the budgetary contract support and FTE resources for 10 CFR Part 170 requested activities to develop the fee schedule by applying the estimated full costed rate per FTE consistent with the fee rule methodology, converting the requested activities fee recoverable amount to approximately $125 million as part of the FY 2022 fee rule. This amount comprises approximately 61 percent of the agencys estimated FY 2022 total 10 CFR Part 170 recovered fee amount of $204.3 million, as delineated in Appendix D, Estimated Fee Recovery.

FY 2022 Congressional Budget Justification l 149

APPENDIX F:

SUMMARY

OF REIMBURSABLE WORK APPENDIX F:

SUMMARY

OF REIMBURSABLE WORK The U.S. Nuclear Regulatory Commission (NRC) performs services for other Federal agencies and non-Federal organizations on a reimbursable basis. The NRCs reimbursable work is financed with funds provided by the ordering organization and represents additional funding in excess of the NRCs directly appropriated funds. The table below lists anticipated reimbursable funding by category per fiscal year (FY).

Summary of Reimbursable Work (Dollars in Millions)

FY 2020 FY 2021 FY 2022 Changes from Description of Work Actuals Authority Request FY 2021

$M FTE $M FTE $M FTE $M FTE COOPERATIVE RESEARCH Foreign Cooperative Research Agreements 1.284 0.0 3.550 0.0 3.940 0.0 0.390 0.0 FACILITIES REVENUE Parking Receipts 0.091 0.0 0.015 0.0 0.015 0.0 0.000 0.0 Recycling Reimbursements (GSA) 0.007 0.0 0.005 0.0 0.005 0.0 0.000 0.0 INTERNATIONAL ASSISTANCE Cooperative Activities Travel (Nuclear 0.025 0.0 0.055 0.0 0.055 0.0 0.000 0.0 Regulation Authority of Japan)

International Invitational Travel (IAEA) 0.202 0.0 0.170 0.0 0.350 0.0 0.180 0.0 International Travel (AIT) 0.007 0.0 0.015 0.0 0.015 0.0 0.000 0.0 SECURITY RELATED ACTIVITIES Criminal History Program 1.002 2.6 0.600 2.0 1.000 2.0 0.400 0.0 Information Access Authorization Program 0.092 0.5 0.580 1.5 0.580 1.5 0.000 0.0 Material Access Authorization Program 0.005 0.0 0.060 0.5 0.060 0.5 0.000 0.0 TECHNICAL ASSISTANCE TO OTHER FEDERAL AGENCIES Assessment of Analysis Methodology (DOE) 0.001 0.0 0.000 0.5 0.000 0.5 0.000 0.0 Award to Employee (DNFSB) 0.000 0.0 0.001 0.0 0.000 0.0 (0.001) 0.0 Columbia Class Submarine Review (DOE) 0.000 0.0 0.800 0.2 0.000 0.3 (0.800) 0.1 DARPA ARCOS Program Assessment 0.000 0.0 0.060 0.2 0.060 0.2 0.000 0.0 (DOD)

Development of Enforcement Policy 0.059 0.2 0.000 0.2 0.000 0.1 0.000 (0.1)

(DOE/NNSA)

Employee Detail from OIG to National 0.000 0.0 0.107 0.3 0.000 0.0 (0.107) (0.3)

Archives (NARA)

Employee Details to Office of Refugee 0.000 0.0 3.283 2.8 0.000 3.4 (3.283) 0.6 Resettlement (HHS)

Employee Detail to the Federal Permitting 0.0 Improvement Steering Committee (FPISC) 0.191 1.0 0.000 0.0 0.000 0.0 0.000 FY 2022 Congressional Budget Justification l 151

APPENDIX F:

SUMMARY

OF REIMBURSABLE WORK Foreign Research Reactor Program 0.000 0.0 0.050 0.3 0.050 0.3 0.000 0.0 Revalidation of Certificates (DOE)

Hanford Tank Waste Projects (DOE) 0.724 2.7 0.600 2.0 0.500 2.0 (0.100) 0.0 Mars 2020 Mission Interagency Nuclear 0.054 0.2 0.000 0.0 0.000 0.0 0.000 0.0 Safety Review Panel (NASA)

Seismic Induced Liquefaction Model 0.000 0.0 0.375 0.0 0.125 0.0 (0.250) 0.0 Development (DOI)

Surface Ship Support Barge 0.018 0.1 0.675 1.5 0.500 1.0 (0.175) (0.5)

Decommissioning (DOE)

U.S. Navy Reviews (DOD) 0.004 0.1 0.004 0.1 0.004 0.1 0.000 0.0 AGENCY TOTAL $3.766 7.5 $11.005 12.1 $7.259 11.9 ($3.746) (0.2)

$M includes full-time equivalent costs as well as contract support and travel. Numbers may not add due to rounding. Does not include classified reimbursable work agreements. FY 2020 $M represents actual amounts obligated. FY 2021 and FY 2022 $M represent new reimbursable budget authority expected in the FY from Federal agencies and other outside sources.

FY 2022 Congressional Budget Justification l 152

APPENDIX G: FITARA REQUIREMENTS APPENDIX G: FEDERAL INFORMATION TECHNOLOGY ACQUISITION REFORM ACT REQUIREMENTS May 6, 2021 MEMORANDUM TO: Office of Management and Budget FROM: David J. Nelson /RA/

Chief Information Officer Office of the Chief Information Officer U.S. Nuclear Regulatory Commission Cherish Johnson /RA/

Chief Financial Officer Office of the Chief Financial Officer U.S. Nuclear Regulatory Commission

SUBJECT:

INFORMATION TECHNOLOGY RESOURCE STATEMENTS In accordance with OMB Circular A-11, Sec. 51.3, the U.S. Nuclear Regulatory Commission (NRC) is providing this memorandum to demonstrate compliance with the Federal Information Technology Acquisition Reform Act (FITARA) through the following Information Technology (IT)

Resource Statements:

The NRCs Chief Information Officer (CIO) affirms that he collaborated with the Chief Financial Officer (CFO) on the IT Budget submissions, and those submissions include appropriate estimates of all IT resources included in the agencys budget request.

The NRCs CIO affirms that he has thoroughly reviewed and had significant input in approving all IT Investments included in the agencys budget request.

The NRCs CFO and CIO affirm that the agencys CIO had a significant role in reviewing planned IT support for major programs and significant increases and decreases in IT resources reflected in the agencys budget request.

The CIO's current common baseline rating for Element D, Item D1, CIO reviews and approves Major IT Investment portion of budget request, is Fully Implemented.

The NRC has developed and implemented its plan to ensure that the necessary processes and procedures are in place to fulfill these common baseline FITARA responsibilities.

CONTACT: Edward Madden, OCIO/DRMA 301-415-1362 FY 2022 Congressional Budget Justification l 153

APPENDIX G: FITARA REQUIREMENTS APPENDIX G: FITARA REQUIREMENTS

The CIO can certify the use of modular approaches and/or incremental development practices, as appropriate, for contracts and projects associated with IT Investments included in the agencys budget request.

FY 2022 Congressional Budget Justification l 154

APPENDIX G: FITARA REQUIREMENTS INFORMATION TECHNOLOGY TABLE In enacting the Federal Information Technology Acquisition Reform Act, Congress established Governmentwide IT management controls and required an inclusive governance process that enables effective planning, budgeting, and execution for IT investments. Consistent with that mandate, Section 51.3, Analysis of Resources, of Office of Management and Budget (OMB)

Circular A-11, Preparation, Submission, and Execution of the Budget, issued July 2016, requires the following summary of agency IT spending by Treasury Account Fund Symbol (TAFS), as well as the tabular presentation on the following pages depicting the financial and personnel resources for all IT investments within each agency program area. For each IT investment, this table provides the investment title, its unique investment identifier (UII), all supported program names, and budget authority level for the Prior Year (PY) (FY 2020),

Current Year (CY) (FY 2021), and Budget Year (BY) (FY 2022).

NRC IT Spending (Dollars in Millions)

FY 2020 (PY)1 FY 2021 (CY)2 FY 2022 (BY)

TAFS CS FTE Total3 CS FTE Total CS FTE Total 429-00-0200 135.375 234.0 177.121 112.790 222.0 155.902 120.658 225.0 165.802 Note 1: Table represents FY 2020 (PY) Actual Expenditures, FY 2021 (CY) Enacted, and Agency Budget Request for FY 2022(BY), as required by OMB Circular A-11, Section 55, "Information Technology Investments,"

https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/assets/a11_current_year/a11_2017/s55.pdf, page 5 Note 2: Figures shown for FY 2021 exclude $5.6M in authorized carryover included in the enacted budget.

Note 3: Total includes full-time equivalent costs as well as contract support.

FY 2022 Congressional Budget Justification l155

NRC IT Table (Dollars in Millions)

FY 2020 (PY)1 FY 2021 (CY)2 FY 2022 (BY)

UII IT Investment Title Program Area CS FTE Total3 CS FTE Total CS FTE Total Facilities, Space, and 01: Corporate 0.449 0.5 0.538 0.361 0.5 0.458 0.396 0.5 0.496 429-000000500 Property Management Support Facilities, Space, and 02: Nuclear Reactor 0.010 0.0 0.010 0.010 0.0 0.010 0.007 0.0 0.007 429-000000500 Property Management Safety Personnel Security 01: Corporate 0.583 1.5 0.849 0.536 1.5 0.826 0.347 1.5 0.647 429-000000600 Management Support Document and Knowledge 01: Corporate 0.163 0.0 0.163 0.259 0.0 0.259 0.237 0.0 0.237 429-000001300 Management Support 01: Corporate 0.392 0.0 0.392 0.402 0.0 0.402 0.323 0.0 0.323 FY 2022 Congressional Budget Justification l 156 429-000001400 Public Outreach Support APPENDIX G: FITARA REQUIREMENTS 01: Corporate 0.886 3.0 1.417 1.162 3.0 1.743 1.162 5.0 2.162 429-000001500 Web Services Support Human Resource and 01: CorporateSupport 0.376 3.0 0.907 0.376 3.0 0.957 0.584 3.3 1.244 429-000002100 Training Support Human Resource and 02: Nuclear Reactor 0.669 0.0 0.669 0.479 0.0 0.479 0.494 0.0 0.494 429-000002100 Training Support Safety 03: Nuclear Materials Human Resource and 0.055 0.0 0.055 0.091 0.0 0.091 0.092 0.0 0.092

& WasteSafety 429-000002100 Training Support 01: Corporate 8.601 7.9 9.999 10.896 6.4 12.135 8.278 6.4 9.558 429-000002500 Financial Services Support Enterprise-wide 01: Corporate 5.875 2.0 6.229 3.079 2.0 3.466 1.718 2.0 2.118 429-000002600 Acquisition Services Support Workflow, Tracking, and 01: Corporate 0.088 0.0 0.088 0.080 0.0 0.080 0.073 0.0 0.073 Decision-makingSupport 429-000003100 Support Secure Communications 02: Nuclear Reactor 2.745 8.0 4.217 2.705 8.0 4.289 2.645 8.0 4.280 System 429-000003400 Safety 02: Nuclear Reactor 3.637 3.0 4.189 3.251 3.0 3.845 3.356 3.0 3.969 429-000003600 Incident Response Safety

NRC IT Table (Dollars in Millions)

FY 2020 (PY)1 FY 2021 (CY)2 FY 2022 (BY)

UII IT Investment Title Program Area CS FTE Total3 CS FTE Total CS FTE Total NRC IT Security and 01: Corporate 0.859 0.0 0.859 0.979 2.0 1.380 0.799 0.0 0.799 429-000006200 Compliance Support NRC IT Security and 02: Nuclear Reactor 0.237 0.0 0.237 0.237 0.0 0.237 0.237 0.0 0.237 429-000006200 Compliance Safety 03: Nuclear Materials NRC IT Security and 0.994 24.0 5.242 0.586 26.0 5.620 0.965 44.0 9.762 429-000006200 & WasteSafety Compliance 01: Corporate

- - - - - - 0.000 2.0 0.409 429-000007700 NRC IT Management Support 02: Nuclear Reactor 429-000007700 NRC IT Management 0.027 0.0 0.027 0.027 0.0 0.027 0.027 0.0 0.027 Safety Electronic Document Authentication and 01: Corporate 8.048 5.0 8.965 5.334 4.0 6.104 8.354 4.0 9.149 429-000008000 Transmission Support 03: Nuclear Materials Materials Licensingand 0.016 1.0 0.193 0.016 1.0 0.210 0.015 0.0 0.015 429-000008200 & WasteSafety Oversight Reactor Licensing and 02: Nuclear Reactor 8.131 11.0 10.175 8.698 7.0 10.098 10.936 9.0 12.790 429-000008400 Oversight Safety Reactor Licensing and 01: Corporate 0.859 0.0 0.859 0.979 2.0 1.380 0.799 0.0 0.799 429-000008400 Oversight Support High Performance Computing and Scientific Software - 0.557 0.0 0.557 0.477 0.0 0.477 0.477 0.0 0.477 03: Nuclear Materials Materials and Waste & WasteSafety 429-000008500 Safety High Performance Computing and 2.442 1.0 2.626 1.822 2.0 2.218 3.487 2.0 3.896 Scientific Software - 02: Nuclear Reactor 429-000008600 Reactor Safety Safety High-Level Waste 03: Nuclear Materials Licensing and 10.391 8.0 11.911 - - - - - -

429-000008700 & WasteSafety Oversight APPENDIX G: FITARA REQUIREMENTS FY 2022 Congressional Budget Justification l 157

NRC IT Table (Dollars in Millions)

FY 2020 (PY)1 FY 2021 (CY)2 FY 2022 (BY)

UII IT Investment Title Program Area CS FTE Total3 CS FTE Total CS FTE Total NRC Data Center and 01: CorporateSupport 12.450 6.0 13.512 8.524 5.0 9.492 8.405 2.0 8.805 429-000009100 Cloud NRC Data Center and 02: Nuclear Reactor 1.546 0.0 1.546 1.515 0.0 1.515 1.515 0.0 1.515 429-000009100 Cloud Safety 03: Nuclear NRC Data Center and Materials & Waste 0.424 0.0 0.424 0.415 0.0 0.415 0.415 0.0 0.415 429-000009100 Cloud Safety 01: Corporate 9.103 3.0 9.634 8.796 10.0 10.732 9.922 14.0 12.721 429-000009200 NRC Network Support 02: Nuclear Reactor 2.743 0.0 2.743 2.365 0.0 2.365 2.345 3.0 2.958 429-000009200 NRC Network Safety FY 2022 Congressional Budget Justification l 158 APPENDIX G: FITARA REQUIREMENTS 03: Nuclear Materials 0.667 0.0 0.667 0.588 0.0 0.588 0.588 0.0 0.588 429-000009200 NRC Network & WasteSafety 01: Corporate 3.198 19.0 6.561 4.129 15.0 7.033 4.031 18.0 7.630 429-000009300 NRC Delivery Support 02: Nuclear Reactor

- - - 0.000 3.0 0.603 0.000 3.0 0.623 429-000009300 NRC Delivery Safety 01: CorporateSupport 14.352 31.0 19.839 11.324 25.0 16.164 11.261 18.0 14.860 429-000009400 NRC End User 02: Nuclear Reactor 3.235 0.0 3.235 2.531 0.0 2.531 4.299 0.0 4.299 429-000009400 NRC End User Safety 03: Nuclear Materials 0.809 0.0 0.809 0.670 0.0 0.670 0.902 0.0 0.902 429-000009400 NRC End User & WasteSafety 02: Nuclear Reactor 0.138 0.0 0.138 0.200 0.0 0.200 0.262 1.0 0.466 429-000009500 NRC Failover Site Safety 01: CorporateSupport 2.523 4.3 3.275 2.403 3.0 2.984 2.221 0.0 2.221 429-000009600 NRC Application 02: Nuclear Reactor 0.100 0.0 0.100 0.100 0.0 0.100 1.085 0.0 1.085 429-000009600 NRC Application Safety 01: Corporate Support 6.555 5.8 7.573 5.743 8.0 7.292 6.683 6.0 7.883 429-000009700 NRC Platform

NRC IT Table (Dollars in Millions)

FY 2020 (PY)1 FY 2021 (CY)2 FY 2022 (BY)

UII IT Investment Title Program Area CS FTE Total3 CS FTE Total CS FTE Total 02: Nuclear Reactor 0.142 0.0 0.142 - - - - - -

429-000009700 NRC Platform Safety 03: Nuclear Materials 0.041 0.0 0.041 - - - - - -

429-000009700 NRC Platform & WasteSafety 03: Nuclear Materials 0.113 0.0 0.113 0.116 0.0 0.116 0.116 0.0 0.116 429-999990060 E-Rulemaking & WasteSafety 01: Corporate 0.458 1.1 0.653 0.326 1.6 0.636 0.273 1.6 0.593 429-999990220 E-Travel Support Integrated Award 01: Corporate 0.042 0.0 0.042 0.042 0.0 0.042 0.042 0.0 0.042 429-999990230 Environment Support Financial Management 01: Corporate 0.029 0.0 0.029 0.045 0.0 0.045 0.045 0.0 0.045 429-999991100 LOB Support IBC Shared Service 01: Corporate 1.090 2.0 1.444 1.125 2.0 1.512 1.160 2.7 1.700 429-999991204 Center (HRLoB) Support 01: Corporate 0.028 0.0 0.028 0.028 0.0 0.028 0.130 0.0 0.130 429-999991218 USAJobs Support Enterprise Human 01: Corporate 0.140 0.0 0.140 0.140 0.0 0.140 0.070 0.0 0.070 429-999991219 Resource Integration Support Information 01: Corporate Content Management 0.755 1.0 0.932 0.752 1.0 0.946 1.126 5.0 2.126 Management Support Information 01: Corporate Information Security 0.000 2.0 0.354 0.000 2.0 0.387 0.000 1.0 0.200 Management Support Information 01: Corporate Information Services 1.721 28.0 6.677 2.036 28.0 7.457 2.042 13.0 4.641 Management Support Information 01: Corporate OCIO Support Staff 0.384 20.0 3.924 0.361 22.0 4.620 0.350 23.0 4.949 Management Support Information 01: Corporate OCIO Travel 0.048 0.0 0.048 0.048 0.0 0.048 0.048 0.0 0.048 Management Support APPENDIX G: FITARA REQUIREMENTS FY 2022 Congressional Budget Justification l 159

NRC IT Table (Dollars in Millions)

FY 2020 (PY)1 FY 2021 (CY)2 FY 2022 (BY)

UII IT Investment Title Program Area CS FTE Total3 CS FTE Total CS FTE Total Information 02: Nuclear Reactor Information Services 1.581 0.0 1.581 1.651 0.0 1.651 1.656 0.0 1.656 Management Safety Information 02: Nuclear Reactor OCIO Support Staff 0.000 1.0 0.188 - - - - - -

Management Safety Total 135.375 234.0 177.121 112.790 222.0 155.902 120.658 225.0 165.802 Note 1: Table represents FY 2020 (PY) Actual Expenditures, FY 2021 (CY) Enacted, and Agency Budget Request for FY 2022 (BY), as required by OMB Circular A-11, Section 55, "Information Technology Investments" (page 6) https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/assets/a11_current_year/a11_2017/s55.pdf Note 2: Figures shown for FY 2021 exclude $5.6M in authorized carryover included in the enacted budget.

Note 3: Total includes full-time equivalent costs as well as contract support.

FY 2022 Congressional Budget Justification l 160 APPENDIX G: FITARA REQUIREMENTS

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES (AS OF May 5, 2021)

The table below lists all of the U.S. Nuclear Regulatory Commissions (NRC) rulemaking activities, including their priority and schedule, as of May 5, 2021. Of the 83 rulemaking activities listed, 70 are planned rulemaking activities and 13 are petitions for rulemaking that are currently under NRC review.

The total rulemaking budget for fiscal year (FY) 2022 includes $19.6 million and 79.5 full-time equivalents. The NRC has published the most current information available on the status of the agencys rulemaking activities on its public Web site at https://www.nrc.gov/about-nrc/regulatory/rulemaking/rules-petitions.html.

At the time of publication, each proposed and final rule includes a statement that addresses actions taken to adhere to applicable backfitting and issue finality requirements. This includes discussing which backfitting and issue finality requirements apply, if any, and how NRC staff evaluated the rule with respect to those requirements. In an effort to improve consistency in applying these requirements, the agency provides training on backfitting and issue finality to staff who engage in activities where these topics arise. The agencys Committee to Review Generic Requirements also reviews all rulemakings that meet defined criteria to provide additional confirmation that backfitting and issue finality requirements are appropriately and consistently applied to rulemakings.

Regulatory Proposed Proposed Final Rule Final CPR Associated Rulemaking Item Docket Basis Rule to Rule to Rule Category Title Prio RIN 1 PRM Initiation

ID Publication Signature Publication Signature Publication rity Numbers Date Date Authority Date 2 Authority 3 Date 4 2021 Edition of the American Society of NRC-Rulemaking Mechanical 3150-1 High 2018- N/A 12/12/2018 N/A N/A N/A N/A N/A Actions Engineers Boiler AK21 0289 and Pressure Vessel Code 2022 Edition of the American Society of NRC-Rulemaking Mechanical 3150-2 High 2020- N/A 12/12/2019 N/A N/A N/A N/A N/A Actions Engineers AK43 0030 Operations and Maintenance Code 2023 Edition of the American Society of NRC-Rulemaking Mechanical 3150-3 High 2020- N/A 12/12/2019 N/A N/A N/A N/A N/A Actions Engineers Boiler AK42 0029 and Pressure Vessel Code 2024 Edition of the American Society of NRC-Rulemaking Mechanical 3150-4 High 2021- N/A 1/6/2021 N/A N/A N/A N/A N/A Actions Engineers AK62 0022 Operations and Maintenance Code Advanced Boiling-Water Reactor NRC-Rulemaking 3150-5 (ABWR) Design High 2017- N/A 3/30/2017 N/A 12/9/2020 8/18/2021 12/9/2020 8/18/2021 Actions AK04 Certification 0090 Renewal 1

Rulemaking activities without a Regulation Identification Number (RIN) have not been approved by the Commission for the NRC staff to begin rulemaking but are included in the table for completeness.

2 These dates are NRC staff estimates. The actual dates are subject to Commission action.

3 These dates are NRC staff estimates. The actual dates are subject to Commission action.

4 These dates are NRC staff estimates. The actual dates are subject to Commission action.

FY 2022 Congressional Budget Justification l 161

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Final Regulatory Proposed Proposed Final Rule Associated Rulemaking Rule Item CPR Docket Basis Rule to Rule to Category Title RIN PRM Initiation Publicatio

Priority ID Publication Signature Publication Signature Numbers Date n Date Authority Date Authority Date Advanced Nuclear Reactor NRC-Rulemaking 3150-6 Generic High 2020- N/A 9/21/2020 N/A 11/30/2021 5/30/2022 5/1/2023 1/2/2024 Actions AK55 Environmental 0101 Impact Statement American Society of NRC-Rulemaking Mechanical 3150-7 High 2018- N/A 12/12/2018 N/A 3/3/2021 3/26/2021 2/24/2022 6/30/2022 Actions Engineers AK22 0290 2019 - 2020 Code Editions Approval of American Society of NRC-Rulemaking 3150-8 Mechanical High 2017- N/A 5/1/2016 N/A 12/23/2020 2/2/2021 12/27/2021 3/23/2022 Actions AJ94 Engineers 0025 Code Cases, Revision 39 Approval of American Society of NRC-Rulemaking 3150-9 Mechanical High 2018- N/A 12/12/2018 N/A N/A N/A N/A N/A Actions AK23 Engineers 0291 Code Cases, Revision 40 Approval of American Society of NRC-Rulemaking 3150-10 Mechanical High 2021- N/A 1/6/2021 N/A N/A N/A N/A N/A Actions AK61 Engineers 0023 Code Cases, Revision 41 Cyber NRC-Rulemaking 3150-11 Security for High 2015- N/A 3/24/2015 4/12/2016 10/4/2017 9/15/2021 4/30/2022 10/14/2022 Actions AJ64 Fuel Facilities 0179 Drug and Alcohol Testing: NRC- PRM-26-4, Rulemaking 3150-12 Technical High 2012- PRM-26-7, N/A 1/1/2022 1/1/2023 4/1/2023 1/1/2024 4/1/2024 Actions AJ15 Issues and 0079 PRM-26-8 Editorial Changes FY 2022 Congressional Budget Justification l 162

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date Enhanced NRC-Rulemaking Security for 3150-13 High 2014- N/A 2/8/2006 N/A 8/2/2021 2/2/2022 9/20/2022 2/20/2023 Actions Special Nuclear AJ41 0118 Material 5 Enhanced Weapons for Spent Fuel NRC-Rulemaking Storage 3150-14 High 2015- N/A 8/15/2008 N/A 9/27/2021 12/27/2021 3/25/2022 7/25/2022 Actions Installations and AJ55 0018 Transportation Section 161A Authority Enhanced Weapons, Firearms NRC-Rulemaking 3150-15 Background High 2011- N/A 8/8/2005 N/A 3/16/2015 9/22/2015 5/21/2018 9/30/2021 Actions AI49 Checks, and 0018 Security Event Notifications Fitness-for-Duty NRC-Rulemaking Drug Testing 3150-16 High 2009- N/A 9/1/2012 7/1/2013 2/22/2017 9/16/2019 9/15/2021 12/15/2021 Actions Program AI67 0225 Requirements Greater-Than-NRC-Rulemaking Class-C and 3150-17 High 2017- N/A 12/22/2015 7/22/2019 N/A N/A N/A N/A Actions Transuranic AK00 0081 Waste Independent Spent Fuel NRC-Rulemaking Storage 3150-18 High 2009- PRM-72-6 N/A N/A 8/2/2021 2/2/2022 9/30/2022 2/28/2023 Actions Installation AI78 0558 Security Requirements 6 Integrated Radioactive NRC-Rulemaking 19 Source Security High N/A 2015- PRM-37-1 N/A N/A N/A N/A N/A N/A Actions and 0094 Accountability List of Approved Spent Fuel Storage Casks Rulemaking 20 [This is a High N/A N/A N/A N/A N/A N/A N/A N/A N/A Actions placeholder for several annually recurring rules.]

5 The NRC staff, after reconsidering the need for additional requirements, provided a recommendation to discontinue the rulemaking to the Commission on October 1, 2019, (SECY-19-0095, Discontinuation of Rulemaking - Enhanced Security of Special Nuclear Material). The Commission is currently considering the recommendation.

6 The NRC staff, after reconsidering the need for additional requirements, provided a recommendation to discontinue the rulemaking to the Commission on October 9, 2019. The Commission is currently considering the recommendation.

FY 2022 Congressional Budget Justification l 163

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date List of Approved Spent Fuel Storage Casks:

Standardized Advanced NUHOMS Horizontal Modular NRC-Rulemaking 3150-21 Storage High 2021- N/A 5/5/2021 N/A 7/13/2021 8/18/2021 7/13/2021 8/18/2021 Actions AK64 System, 0108 Certificate of Compliance No. 1029, Renewal of Initial Certificate and Amendment Nos. 1, 3, and 4

List of Approved Spent Fuel Storage Casks:

Standardized NRC-Rulemaking 3150-22 NUHOMS High 2020- N/A 12/6/2020 N/A 3/12/2021 3/24/2021 3/12/2021 3/24/2021 Actions AK57 System, 0274 Certificate of Compliance No. 1004, Amendment No. 17 List of Approved Spent Fuel Storage Casks: Holtec International NRC-Rulemaking HI-STORM 3150-23 High 2020- N/A 11/8/2020 N/A 3/1/2021 3/29/2021 3/1/2021 3/29/2021 Actions 100 Cask AK53 0257 System, Certificate of Compliance No. 1014, Amendment No. 15 FY 2022 Congressional Budget Justification l 164

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date List of Approved Spent Fuel Storage Casks:

NRC-Rulemaking NAC-UMS, 3150-24 High 2021- N/A 2/22/2021 N/A 6/30/21 7/29/21 6/30/21 7/29/21 Actions Certificate of AK63 0052 Compliance No.

1015, Amendment No. 8 Low-Level NRC-Rulemaking 3150-25 Radioactive Waste High 2011- N/A 3/18/2009 N/A 7/18/2013 3/26/2015 5/31/2022 11/30/2022 Actions AI92 Disposal 0012 NuScale Small NRC-Rulemaking Modular Reactor 3150-26 High 2017- N/A 3/23/2017 N/A 1/14/2021 7/2/2021 1/6/2022 3/22/2022 Actions Design AJ98 0029 Certification Performance-Based Emergency NRC-Rulemaking Core Cooling 3150- PRM-50-71, 27 High 2008- 3/31/2003 7/31/2008 3/1/2012 3/24/2014 3/16/2016 12/31/2021 Actions System AH42 PRM-50-84 0332 Acceptance Criteria Regulatory Improvements for Production and NRC-Rulemaking 3150-28 Utilization High 2015- N/A 12/30/2014 11/27/2017 5/7/2018 6/30/2021 8/31/2022 3/15/2023 Actions AJ59 Facilities 0070 Transitioning to Decommissioning Release of Veterinary Animals NRC-Rulemaking 29 Containing High N/A 2021- N/A N/A N/A N/A N/A N/A N/A Actions Byproduct 0027 Materials Renewing Nuclear Power Plant NRC-Rulemaking Operating 3150-30 High 2018- N/A N/A N/A N/A N/A N/A N/A Actions Licenses - AK32 0296 Environmental Review Revise Enrichment NRC-Rulemaking Limits to Support 31 High N/A 2020- N/A N/A N/A N/A N/A N/A N/A Actions Licensing New 0034 Fuel Designs FY 2022 Congressional Budget Justification l 165

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date Revision of Fee NRC-Rulemaking 3150-32 Schedules: High 2018- N/A 11/1/2018 N/A 1/29/2021 2/22/2021 5/12/2021 5/30/2021 Actions AK24 Fee Recovery 0292 for FY 2021 Revision of Fee NRC-Rulemaking 3150-33 Schedules: High 2020- N/A 1/15/2020 N/A 1/12/2022 1/25/2022 5/12/2022 5/30/2022 Actions AK44 Fee Recovery 0031 for FY 2022 Revision of Fee NRC-Rulemaking 3150-34 Schedules: High 2021- N/A 1/6/2021 N/A 1/12/2023 1/25/2023 5/12/2023 5/25/2023 Actions AK58 Fee Recovery 0024 for FY 2023 Risk-Informed, Technology NRC-Rulemaking Inclusive 3150-35 High 2019- N/A 10/2/2020 N/A 5/31/2022 10/31/2022 3/29/2024 10/31/2024 Actions Regulatory AK31 0062 Framework for Advanced Reactors U.S.

Advanced Pressurized NRC-Rulemaking Water 3150-36 High 2010- N/A 2/29/2008 N/A N/A N/A N/A N/A Actions Reactor (US- AI83 0133 APWR)

Design Certification Updates for NRC-Rulemaking Emerging 37 High N/A 2018- N/A N/A N/A N/A N/A N/A N/A Actions Medical 0297 Technologies Adjustment of Civil NRC-Rulemaking Penalties for 3150-38 Medium 2020- N/A 1/22/2020 N/A N/A N/A 12/16/2021 1/14/2022 Actions Inflation for AK45 0032 Fiscal Year 2022 FY 2022 Congressional Budget Justification l 166

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date Adjustment of Civil NRC-Rulemaking Penalties for 3150-39 Medium 2021- N/A 1/6/2021 N/A N/A N/A 1/3/2023 1/16/2023 Actions Inflation for Fiscal AK59 0025 Year 2023 Alignment of Licensing NRC- PRM Rulemaking Processes and 3150-40 Medium 2009- 110, PRM- 9/22/2015 1/29/2021 5/26/2022 8/23/2022 3/14/2024 6/19/2024 Actions Lessons Learned AI66 0196 171-1 from New Reactor Licensing Alternative Physical Security NRC-Rulemaking 3150-41 Requirements for Medium 2017- N/A 11/19/2018 7/16/2019 9/27/2021 12/27/2021 1/17/2023 4/17/2023 Actions AK19 Advanced 0227 Reactors Amendment to NRC-Rulemaking 3150-42 Access Medium 2020- N/A 4/1/2020 N/A 5/31/2021 8/30/2021 5/31/2021 8/30/2021 Actions AK49 Authorization Fees 0133 Categorical NRC-Rulemaking Exclusions from 3150-43 Medium 2018- N/A 11/30/2020 N/A 9/16/2022 3/31/2023 5/10/2024 11/29/2024 Actions Environmental AK54 0300 Review Controlled NRC-Rulemaking 3150-44 Unclassified Medium 2019- N/A 1/18/2019 N/A N/A N/A 5/31/2022 8/31/2022 Actions AK30 Information 0060 Decommissioning Financial Assurance for NRC-Rulemaking 3150-45 Sealed and Medium 2017- PRM-30-66 10/13/2020 12/6/2021 2/17/2023 8/17/2023 5/31/2024 11/29/2024 Actions AK52 Unsealed 0031 Radioactive Materials Definition of Utilization Facility NRC-Rulemaking 46 for Medical Medium N/A 2018- N/A N/A N/A N/A N/A N/A N/A Actions Radioisotope 0299 Facilities Emergency Preparedness Requirements for NRC-Rulemaking 3150-47 Small Modular Medium 2015- N/A 6/22/2016 11/15/2017 10/12/2018 5/12/2020 9/30/2021 3/31/2022 Actions AJ68 Reactors and 0225 Other New Technologies NRC-Rulemaking Exempt Quantities 48 Medium N/A 2021- N/A N/A N/A N/A N/A N/A N/A Actions in Schedule B 0077 FY 2022 Congressional Budget Justification l 167

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date Extending the NRC-Rulemaking Duration of the 3150-49 Medium 2020- N/A 11/17/2020 N/A 8/19/2021 9/02/2021 8/19/2021 9/02/2021 Actions AP1000 Design AK56 0269 Certification Financial Qualifications NRC-Rulemaking 3150-50 Requirements Medium 2014- N/A 4/24/2014 N/A 2/28/2018 6/29/2021 8/25/2021 2/25/2022 Actions AJ43 for Reactor 0161 Licensing Geologic Repository Operations NRC-Rulemaking 3150-51 Area (GROA) Medium 2009- N/A N/A 9/17/2040 3/17/2042 9/17/2042 9/17/2043 3/17/2044 Actions AI38 Fitness-For- 0089 Duty Requirements 7 Geologic Repository Operations NRC-Rulemaking Area Security 3150-52 Medium 2007- N/A N/A 3/16/2040 9/16/2041 3/16/2042 3/16/2043 7/15/2043 Actions and Material AI06 0670 Control and Accounting Requirements 8 Groundwater Protection at NRC-Rulemaking 3150-53 Uranium In Situ Medium 2008- N/A 3/24/2006 N/A 7/22/2021 1/21/2022 9/22/2022 3/30/2023 Actions AI40 Recovery 0421 Facilities Harmonization of Transportation NRC-Rulemaking 3150-54 Safety Medium 2016- N/A 8/19/2016 4/12/2019 10/30/2020 9/2/2021 1/28/2022 5/27/2022 Actions AJ85 Requirements 0179 with IAEA Standards Industrial NRC-Rulemaking Radiographic 55 Medium N/A 2017- PRM-34-6 N/A N/A N/A N/A N/A N/A Actions Operations and 0022 Training Items Containing NRC-Rulemaking Byproduct 3150-56 Medium 2015- PRM-30-65 8/13/2012 2/2/2021 1/19/2022 4/19/2022 12/21/2022 3/30/2023 Actions Material AJ54 0017 Incidental to Production 7

This rulemaking activity is currently on hold. The dates listed are temporary placeholders pending the scheduling of an adjudicatory hearing on the DOE license application, which must be completed before the Commission decides whether to authorize construction of a geologic repository for high-level nuclear waste at Yucca Mountain, NV. The NRC will initiate requisite rulemaking activities pending the outcome of the licensing decision.

8 This rulemaking activity is currently on hold. The dates listed are temporary placeholders pending the scheduling of an adjudicatory hearing on the DOE license application, which must be completed before the Commission decides whether to authorize construction of a geologic repository for high-level nuclear waste at Yucca Mountain, NV. The NRC will initiate requisite rulemaking activities pending the outcome of the licensing decision.

FY 2022 Congressional Budget Justification l 168

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date Miscellaneous Administrative Rulemaking

[This is a placeholder for Rulemaking 57 one or more Medium N/A N/A N/A N/A N/A N/A N/A N/A N/A Actions rules making administrative or corrective changes to the CFR]

Modification of NRC-Rulemaking 58 Administrative Medium N/A 2018- N/A N/A N/A N/A N/A N/A N/A Actions Requirements 0298 Non-power Production or NRC-Rulemaking 3150-59 Utilization Medium 2011- N/A 8/26/2009 10/2/2012 4/7/2016 3/30/2017 6/17/2019 7/8/2021 Actions AI96 Facility License 0087 Renewal Receipts-NRC-Rulemaking Based Small 3150-60 Medium 2014- N/A 1/29/2021 N/A 6/1/2021 7/30/2021 12/1/2021 2/28/2022 Actions Business Size AJ51 0264 Standards Relaxation of Testing and Inspection NRC-Rulemaking 61 Program Medium N/A 2021- N/A N/A N/A N/A N/A N/A N/A Actions Updates 0028 Required in 10 CFR 50.55a Reporting Requirements for Non- NRC-Rulemaking 62 Emergency Medium N/A 2020- N/A N/A N/A N/A N/A N/A N/A Actions Events at 0036 Nuclear Power Plants Revision to the NRC's NRC-Rulemaking 3150-63 Acquisition Medium 2014- N/A 6/1/2014 N/A N/A N/A N/A N/A Actions AJ36 Regulation 0033 (NRCAR)

FY 2022 Congressional Budget Justification l 169

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date Revisions to Reprocessing NRC-Rulemaking 3150-64 Plant Medium 2021- N/A 1/6/2021 N/A N/A N/A N/A N/A Actions AK60 Components for 0026 Export NRC-Rulemaking Spent Fuel 3150-65 Medium 2015- N/A N/A 7/26/2021 7/26/2022 10/26/2023 7/26/2023 10/26/2024 Actions Reprocessing 9 AJ53 0016 Training and Experience NRC-Rulemaking Requirements for 66 Medium N/A 2020- N/A N/A N/A N/A N/A N/A N/A Actions Unsealed 0035 Byproduct Materials Transforming the NRC-Rulemaking NRCs 67 Medium N/A 2021- N/A N/A N/A N/A N/A N/A N/A Actions Environmental 0029 Review Process Updates on the NRC-Rulemaking 3150-68 Export of Medium 2014- N/A 9/1/2014 N/A N/A N/A 6/11/2021 9/10/2021 Actions AJ45 Deuterium 0201 Alternatives to the NRC-Rulemaking 3150-69 Use of Credit Low 2017- N/A 9/1/2014 N/A 4/29/2022 10/31/2022 7/31/2023 1/30/2024 Actions AJ92 Ratings 0021 Cost Recovery Criteria for NRC-Rulemaking Research and 70 Low N/A 2020- N/A N/A 1/31/2022 1/31/2023 4/30/2023 4/30/2024 8/30/2024 Actions Development 0071 Utilization Facilities Access to the Decommissioning NRC-Petition 71 Trust Fund for the N/A N/A 2019- PRM-50-119 N/A N/A N/A N/A N/A N/A Actions Disposal of Large 0083 Components Accident Source Term NRC-Petition Methodologies 72 N/A N/A 2020- PRM-50-122 N/A N/A N/A N/A N/A N/A Actions and 0150 Corresponding Release Fractions Advance Tribal Notification of NRC-Petition Certain 73 N/A N/A 2021- PRM-37-2 N/A N/A N/A N/A N/A N/A Actions Radioactive 0051 Material Shipments 9 The NRC staff, after reconsidering the need for additional requirements, provided a recommendation to the Commission on March 5, 2021, (SECY-21-0026, Discontinuation of Rulemaking - Spent Fuel Reprocessing).

FY 2022 Congressional Budget Justification l 170

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date Alternative Method for Calculating NRC-Petition 74 Embrittlement N/A N/A 2019- PRM-50-120 N/A N/A N/A N/A N/A N/A Actions for Steel 0180 Reactor Vessels Determining Which Structures, NRC-Petition Systems, and 75 N/A N/A 2015- PRM-50-112 N/A N/A N/A N/A N/A N/A Actions Components 0213 and Functions Are Important to Safety Elimination of Immediate Notification NRC-Petition 76 Requirements N/A N/A 2018- PRM-50-116 N/A N/A N/A N/A N/A N/A Actions for Non- 0201 Emergency Events Linear No-Threshold Model and NRC-Petition 77 Standards for N/A N/A 2015- PRM-20-28 N/A N/A N/A N/A N/A N/A Actions Protection 0057 against Radiation Linear No-Threshold Model and NRC-Petition 78 Standards for N/A N/A 2015- PRM-20-29 N/A N/A N/A N/A N/A N/A Actions Protection 0057 against Radiation Linear No-Threshold Model and NRC-Petition 79 Standards for N/A N/A 2015- PRM-20-30 N/A N/A N/A N/A N/A N/A Actions Protection 0057 against Radiation Protection of Digital NRC-Petition Computer and 80 N/A N/A 2014- PRM-73-18 N/A N/A N/A N/A N/A N/A Actions Communication 0165 Systems and Networks FY 2022 Congressional Budget Justification l 171

APPENDIX H:

SUMMARY

OF PLANNED RULEMAKING ACTIVITIES Regulatory Proposed Proposed Final Rule Final Associated Rulemaking Item CPR Docket Basis Rule to Rule to Rule Category Title RIN PRM Initiation

Priority ID Publication Signature Publication Signature Publication Numbers Date Date Authority Date Authority Date Public Protective NRC-Petition 81 Actions During a N/A N/A 2020- PRM-50-123 N/A N/A N/A N/A N/A N/A Actions General 0155 Emergency Reporting Nuclear Medicine NRC-Petition 82 Injection N/A N/A 2020- PRM-35-22 N/A N/A N/A N/A N/A N/A Actions Extravasations 0141 as Medical Events Voluntary Adoption of NRC-Petition 83 Revised Design N/A N/A 2020- PRM-50-121 N/A N/A N/A N/A N/A N/A Actions Basis Accident 0055 Dose Criteria FY 2022 Congressional Budget Justification l 172

APPENDIX I: OBLIGATIONS BY CONTROL POINT APPENDIX I: OBLIGATIONS BY CONTROL POINT The table below provides the status of the U.S. Nuclear Regulatory Commissions (NRC) budget allowance and execution data by control points as of the end of fiscal year (FY) 2020 and the available prior-year carryover for allocation.

FY 2022 Congressional Budget Justification l 173

Nuclear Regulatory Commission Monthly Congressional Status Report As of September 30, 2020 (Dollars in Thousands)

Current Year Funds FY 2020 Explanatory Statement Carryover Current Year Current Year Current Year Current Year Prior Year Enacted Carryover Total Reprogramming Current Plan Allocated5 Total Obligations Expenditures Unobligated Unliquidated Unliquidated Control Points Nuclear Reactor Safety $ 426,653 $ 20,921 $ 447,574 $0 $ 447,574 ($134) $ 447,440 $ 432,848 $ 376,010 $ 14,592 $ 56,838 $ 23,546 Nuclear Materials and Waste Safety 98,367 4,824 103,191 0 103,191 2,091 105,282 102,955 85,759 2,327 17,196 3,160 Decommissioning and Low-Level Waste 21,821 1,070 22,891 0 22,891 250 23,141 21,363 19,191 1,778 2,172 3,443 Corporate Support 279,395 13,185 292,580 0 292,580 5,708 298,288 286,457 178,932 11,830 107,525 36,124 Integrated University Program 16,000 0 16,000 0 16,000 0 16,000 2,498 (2) 13,502 2,500 28,614 Control Points Total $ 842,236 $ 40,000 $ 882,236 $0 $ 882,236 $ 7,915 $ 890,151 $ 846,121 $ 659,890 $ 44,030 $ 186,231 $ 94,885 Advanced Reactor Regulatory Infrastructure Activities 1 15,478 0 15,478 0 15,478 537 16,015 15,552 10,453 463 5,099 590 International Activities 2 14,500 0 14,500 0 14,500 0 14,500 13,469 11,658 1,031 1,812 286 Office of the Commission 3 9,500 0 9,500 0 9,500 2,408 11,908 6,263 6,215 5,644 49 0 University Research and Development 4 10,500 0 10,500 0 10,500 0 10,500 2,498 (2) 8,002 2,500 19,931 Nuclear Science & Engineering Grant Program 4 5,500 0 5,500 0 5,500 0 5,500 0 0 5,500 0 8,682 Programs Nuclear Waste Fund 0 0 0 0 0 10 10 5 5 5 0 0 Office of Inspector General 12,143 0 12,143 0 12,143 590 12,733 11,115 10,517 1,618 598 243 OIG DNFSB 1,171 0 1,171 0 1,171 140 1,311 949 789 362 160 20 Supplemental Appropriation6 3,300 0 3,300 0 3,300 0 3,300 3,300 1,785 0 1,515 0 Total Agency $ 858,850 $ 40,000 $ 898,850 $0 $ 898,850 $ 8,655 $ 907,505 $ 861,489 $ 672,986 $ 46,015 $ 188,503 $ 95,148 APPENDIX I: OBLIGATIONS BY CONTROL POINT FY 2022 Congressional Budget Justification l 174 Prior Year Unobligated Funds Beginning Year to Date Total Carryover Available Funds Source Balance Deobligations Carryover Allocated Carryover Feebased $ 50,879 $ 15,072 $ 65,951 $ 44,720 $ 21,231 Special Purpose Funds $ 8,991 $ 2,164 $ 11,155 $ 3,195 $ 7,960 Advanced Reactor Regulatory Infrastructure Activities 554 (16) 538 537 1 International Activities 1,589 (38) 1,551 0 1,551 Office of the Commission 4,679 4 4,683 2,408 2,275 Integrated University Program 819 2,212 3,031 0 3,031 General Fund 1,334 1 1,335 250 1,085 Official Representation Fund 17 0 17 0 17 Feebased & Special Purpose Funds Subtotal $ 59,870 $ 17,236 $ 77,106 $ 47,915 $ 29,191 Nuclear Waste Fund 407 24 430 10 420 Office of Inspector General 1,857 46 1,902 590 1,312 OIG DNFSB 230 3 233 140 93 Total Agency $ 62,364 $ 17,308 $ 79,672 $ 48,655 $ 31,018 Note: Numbers may not add due to rounding.

1 Advanced Reactor Regulatory Infrastructure Activities is part of the Nuclear Reactor Safety control point.

2 International Activities is part of the Nuclear Reactor Safety, Nuclear Materials and Waste Safety, and Decommissioning and Low-Level Waste control points.

3 Office of the Commission is part of the Corporate Support control point. The Office of the Commission has been allocated carryover in addition to the $9,500K of FY 2020enacted funding. The NRC will obligate no more than a total of $9,500K in FY 2020 for the Office of the Commission.

4 University Research and Development and Nuclear Science & Engineering Grant Program comprise the Integrated University Program control point.

5 This is not part of the $40,000K of carryover that was authorized for use by the FY 2020 Explanatory Statement.

6 FY 2020 supplemental appropriation from the Coronavirus Aid, Relief, and Economic Security Act (CARES Act), P.L. 116-136, enacted March 27, 2020.

$33(1',;J REPORT ON DRUG TESTING

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The U.S. Congress and the U.S. Department of Health and Human Services (HHS) initially approved the U.S. Nuclear Regulatory Commissions (NRC) Drug Testing Program in August 1988, and the agency subsequently updated the program in November 1997. The NRC revised the program again and received approval from HHS on August 23, 2007. This report does not cover the NRCs drug testing requirements for licensees, as imposed by agency regulations, which is separate and distinct from this program. The NRCs Drug Testing Program, administered in accordance with Executive Order 12564, Drug-Free Federal Workplace, dated September 15, 1986, includes random, applicant, voluntary, follow-up, reasonable suspicion, and accident-related drug testing. The NRC initiated testing for nonbargaining-unit employees in November 1988, and in December 1990 for bargaining-unit employees, after negotiating an agreement with the National Treasury Employees Union. On August 25, 2008, the NRC expanded its testing program to include all NRC sensitive positions as designated for testing; therefore, all employees became subject to random drug testing.

During fiscal year (FY) 2020, the NRC conducted 1,043 tests of all types, while addressing the COVID-19 pandemic. This resulted in two positive drug test results (for marijuana). One contractor tested positive for a random drug test and one contractor tested positive for a pre-employment test. Both occurrences were appropriately addressed by the agency.

The NRC also completed internal quality control reviews including an audit performed by the OIG of during FY 2020 to ensure that the agency continues to administer its Drug Testing Program in a fair, confidential, and effective manner.

The NRCs Drug Testing Program follows the principles and guidance contained in Executive Order 12564, Public Law 100-71, HHS guidelines, and Commission decisions.

FY 2022 Congressional Budget Justification l 175

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The table below lists public recommendations to the U.S. Nuclear Regulatory Commission (NRC) that are reported as open by the U.S. Government Accountability Office (GAO) or closed, unimplemented by GAO since NRCs last report and recommendations reported as open by the NRCs Office of the Inspector General. The recommendations listed below were issued by the respective audit organization on or before June 30, 2020.

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GAO-15-98 Nuclear Regulatory Recommendation 1: To improve the reliability of Open Commission: NRC its cost estimates, as NRC revises its cost Needs to Improve Its estimating procedures, the NRC Chairman should Implementing, staff recommendation Cost Estimates by ensure that the agency aligns the procedures with under Commission review.

Incorporating More relevant cost estimating best practices identified in Best Practices the GAO Cost Estimating and Assessment Guide and ensure that future cost estimates are prepared in accordance with relevant cost

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estimating best practices.

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FY 2022 Congressional Budget Justification l 177

Report Report Title Recommendation Text Reported Status/Explanation Number GAO-16-330 Nuclear Security: Recommendation 1: Because some quantities of Open NRC Has Enhanced radioactive materials are potentially dangerous to the Controls of human health if not properly handled, NRC should Staff recommendation under Dangerous take action to better track and secure these Commission review.

Radioactive materials and verify the legitimacy of the licenses Materials, but for those who seek to possess them. Specifically, Vulnerabilities the NRC should take the steps needed to include Remain category 3 sources in the National Source Tracking System and add agreement state category 3 licenses to the Web-based Licensing System as quickly as reasonably possible.

Nuclear Security: Recommendation 2: Because some quantities of Open GAO-16-330 NRC Has Enhanced radioactive materials are potentially dangerous to FY 2022 Congressional Budget Justification l 178 the Controls of human health if not properly handled, NRC should Staff recommendation under Dangerous take action to better track and secure these Commission review.

Radioactive materials and verify the legitimacy of the licenses Materials, but for those who seek to possess them. Specifically, Vulnerabilities the NRC should at least until such time that Remain category 3 licenses can be verified using the License Verification System, require that APPENDIX K:

SUMMARY

OF OUTSTANDING U.S. GOVERNMENT ACCOUNTABILITY OFFICE transferors of category 3 quantities of radioactive materials confirm the validity of a would-be purchaser's radioactive materials license with the appropriate regulatory authority before transferring any category 3 quantities of licensed materials.

AND INSPECTOR GENERAL RECOMMENDATIONS

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GAO-16-330 Nuclear Security: Recommendation 3: Because some quantities of Open NRC Has Enhanced radioactive materials are potentially dangerous to the Controls of human health if not properly handled, NRC should Staff recommendation under Dangerous take action to better track and secure these Commission review.

Radioactive materials and verify the legitimacy of the licenses Materials, but for those who seek to possess them. Specifically, Vulnerabilities the NRC should, as part of the ongoing efforts of Remain NRC working groups meeting to develop enhancements to the prelicensing requirements for category 3 licenses, consider requiring that an on-site security review be conducted for all unknown applicants of category 3 licenses to verify that each applicant is prepared to implement the required security measures before taking possession of licensed radioactive materials.

GAO-17-58 Radioactive Sources: Recommendation 1: To improve the awareness Open Opportunities Exist of how risk-significant radioactive sources are for Federal Agencies transported within the United States and to better Not Implementing.1

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to Strengthen determine whether Nuclear Regulatory Transportation Commission (NRC) is meeting its goal of Security providing reasonable assurance for preventing the theft or diversion of these dangerous materials, the Chairman of NRC should take actions to collect information from licensees on the number of shipments and mode of transport for such sources--for example, by identifying the extent to which an existing NRC database (e.g., the National Source Tracking System) may be used to capture this information.

GAO-17-233 Strategic Human Recommendation 1: To improve NRC's ability to Open Capital Management: strategically manage the size and composition of NRC Could Better its workforce and respond to changes in the Implementation complete - auditor Manage the Size and nuclear industry, the Chairman of the Nuclear validation pending.

Composition of Its Regulatory Commission should set agencywide Workforce by Further goals, which could be ranges, for overall Incorporating Leading workforce size and skills composition that extend Practices beyond the 2-year budget cycle.

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FY 2022 Congressional Budget Justification l 179

Report Report Title Recommendation Text Reported Status/Explanation Number GAO-18-93 Federal Chief Recommendation 23: The Chairman of the Open Information Officers: Nuclear Regulatory Commission should ensure Critical Actions that the agencys IT management policies address Disagree in part.2 Needed to Address the role of the CIO for key responsibilities in the Shortcomings and five areas we identified. Implementation complete - auditor Challenges in validation pending.

Implementing Responsibilities GAO-19-468 Combating Nuclear Recommendation 1: The Chairman of NRC Open Terrorism: NRC should direct NRC staff to consider Needs to Take socioeconomic consequences and fatalities from Not implementing.3 Additional Actions to evacuations in the criteria for determining what Ensure the Security security measures should be required for FY 2022 Congressional Budget Justification l 180 of High-Risk radioactive materials that could be used in an Radioactive Material RDD.

GAO-19-468 Combating Nuclear Recommendation 2: The Chairman of NRC Open Terrorism: NRC should require additional security measures for Needs to Take high-risk quantities of certain category 3 Staff recommendation under APPENDIX K:

SUMMARY

OF OUTSTANDING U.S. GOVERNMENT ACCOUNTABILITY OFFICE Additional Actions to radioactive material and assess whether other Commission review.

Ensure the Security category 3 materials should also be safeguarded of High-Risk with additional security measures.

Radioactive Material GAO-19-468 Combating Nuclear Recommendation 3: The Chairman of NRC Open Terrorism: NRC should require all licensees to implement Needs to Take additional security measures when they have Not implementing.4 Additional Actions to multiple quantities of category 3 americium-241 at Ensure the Security a single facility that in total reach a category 1 or 2 of High-Risk quantity of material.

Radioactive Material AND INSPECTOR GENERAL RECOMMENDATIONS

Report Report Title Recommendation Text Reported Status/Explanation Number GAO-19-241 Data Center Recommendation 30: The Chairman of the Open Optimization: Nuclear Regulatory Commission should take Additional Agency action to meet the data center optimization metric Implementation complete - auditor Actions Needed to targets established under DCOI by OMB. validation pending.

Meet OMB Goals GAO-20-129 Information Recommendation 14: The Chairman of the Open Technology: Nuclear Regulatory Commission should ensure Agencies Need to that the agency fully implements each of the Implementation complete - auditor Fully Implement Key seven key IT workforce planning activities it did validation pending.

Workforce Planning not fully implement.

Activities GAO-20-362 Nuclear Regulatory Recommendation 1: The Executive Director for Open Commission: Fee- Operations of NRC should ensure relevant NRC Setting, Billing, and program offices develop policy and guidance for Implementing, estimated completion APPENDIX K:

SUMMARY

OF OUTSTANDING U.S. GOVERNMENT ACCOUNTABILITY OFFICE Budgeting Processes when to communicate information on work 09/30/2021.

Have Improved, but progress to licensees, such as through Additional Actions communications to licensees at specified Could Enhance timeframes or thresholds.

Efforts GAO-20-362 Nuclear Regulatory Recommendation 2: The Chief Financial Officer of Open Commission: Fee- NRC should, in consultation with NRC program Setting, Billing, and offices, develop guidance to ensure NRC staff Implementation complete - auditor Budgeting Processes clearly define what costssuch as project validation pending.

Have Improved, but managementare included in its public cost Additional Actions estimates.

Could Enhance Efforts OIG-13-A-16 Audit of NRCs Recommendation 3: Evaluate and update the Open Safeguards current folder structure to meet user needs.

Information Implementing, estimated completion (SGI)Local Area 10/30/2021.

AND INSPECTOR GENERAL RECOMMENDATIONS Network and FY 2022 Congressional Budget Justification l 181 Electronic Safe

Report Report Title Recommendation Text Reported Status/Explanation Number OIG-13-A-16 Audit of NRCs Recommendation 7: Develop a structured access Open Safeguards process that is consistent with the SGI need-to-Information (SGI) know requirement and least privilege principle. Implementing, estimated completion Local Area Network This should include: 12/30/2021.

and Electronic Safe

Establishing folder owners within SLES and providing the owners the authority to approve the need-to-know authorization (as opposed to branch chiefs).

Conducting periodic reviews of user access to folders.

Developing a standard process to grant user FY 2022 Congressional Budget Justification l 182 access.

OIG-13-A-18 Audit of NRC's Recommendation 3: Enforce the use of correct Open Budget Execution budget object codes (BOCs).

Process Implementing, estimated completion 12/31/2021.

APPENDIX K:

SUMMARY

OF OUTSTANDING U.S. GOVERNMENT ACCOUNTABILITY OFFICE OIG-15-A-06 Audit of NRCs Recommendation 1: Provide a generic regulatory Open Oversight of Spent solution for spent fuel pool criticality analysis by Fuel Pools developing and issuing detailed licensee guidance Implementing, estimated completion along with the NRC internal procedures. 12/31/2021.

OIG-16-A-16 Audit of NRC's Recommendation 1: Clarify guidance to further Open Decommissioning define legitimate decommissioning activities by Funds Program developing objective criteria for this term. Implementing, estimated completion 03/15/2023.

OIG-16-A-16 Audit of NRC's Recommendation 2: Develop and issue clarifying Open Decommissioning guidance to NRC staff and licensees specifying Funds Program the instances when an exemption is not needed. Implementing, estimated completion 03/15/2023.

OIG-16-A-17 Audit of NRC's Recommendation 1(b): Complete the current Open Implementation of inventories of classified information in safes and Federal Classified secure storage areas. Implementing, estimated completion Information Laws and 12/31/2022.

AND INSPECTOR GENERAL RECOMMENDATIONS Policies

Report Report Title Recommendation Text Reported Status/Explanation Number OIG-17-A-07 Audit of NRC's Recommendation 2: Develop a secure, cost- Open Foreign Assignee efficient method to provide foreign assignees an Program email account that allows for the U.S. Nuclear Staff recommendation under Regulatory Commission (NRC) detection and Commission review.

mitigation of inadvertent transmission of sensitive information and seek Commission approval to implement it.

OIG-17-A-07 Audit of NRC's Recommendation 3: When an NRC approved Open Foreign Assignee email account is available, develop specific Program Computer Security Rules of Behavior for foreign Staff recommendation under assignees using the approved email. Commission review.

OIG-19-A-13 Audit of NRCs Cyber Recommendation 2: Use the results of operating Open Security Inspections experience and discussions with industry to at Nuclear Power develop and implement suitable cyber security Implementing, estimated completion Plants performance measure(s) (e.g., testing, analysis of 12/31/2021.

logs, etc.) by which licensees can demonstrate sustained program effectiveness.

OIG-19-A-17 Evaluation of NRCs Recommendation 5: Update the relevant Open Oversight of the management directives to include a) current APPENDIX K:

SUMMARY

OF OUTSTANDING U.S. GOVERNMENT ACCOUNTABILITY OFFICE Voice over Internet telecommunications infrastructure and current Implementing, estimated completion Protocol Contract and organizational responsibilities, and b) a 08/31/2021.

Implementation requirement to comply with MD 10.162 Disability Programs and Reasonable Accommodation when deploying any IT projects.

OIG-19-A-17 Evaluation of NRCs Recommendation 6: Identify and implement a Open Oversight of the solution to address the issue pertaining to Voice over Internet diverting an assigned phone line. Implementing, estimated completion Protocol Contract and 09/30/2021.

Implementation OIG-19-A-19 Audit of NRCs Recommendation 1: Update NRC inspection Open Oversight of guidance to support documentation of significant Supplemental planned corrective actions associated with 95001 Implementation complete - auditor Inspection Corrective and 95002 supplemental inspections. validation pending.

Actions AND INSPECTOR GENERAL RECOMMENDATIONS FY 2022 Congressional Budget Justification l 183

Report Report Title Recommendation Text Reported Status/Explanation Number OIG-19-A-19 Audit of NRCs Recommendation 2: Implement an efficient means Open Oversight of for inspectors to readily identify and retrieve Supplemental information about completed and planned Implementation complete - auditor Inspection Corrective corrective actions associated with [Inspection validation pending.

Actions Manual Chapter] 95001 and 95002 supplemental inspections.

OIG-19-A-20 Audit of NRCs Recommendation 3: Conduct an initial review of Open Process for Placing ADAMS to identify and remove personal papers Official Agency and implement a policy to conduct such reviews Implementation complete - auditor Records in ADAMS on a periodic basis. validation pending.

OIG-19-A-20 Audit of NRCs Recommendation 5: Strengthen internal controls Open Process for Placing to ensure use of the Capstone tool and Official Agency compliance with NARA requirements. Implementing, estimated completion FY 2022 Congressional Budget Justification l 184 Records in ADAMS 06/30/2021.

OIG-20-A-06 Independent Recommendation 1: Fully define NRCs Open Evaluation of NRCs Information Security Architecture (ISA) across the Implementation of the enterprise and business processes and system Federal Information levels. Implementing, estimated completion APPENDIX K:

SUMMARY

OF OUTSTANDING U.S. GOVERNMENT ACCOUNTABILITY OFFICE Security 06/30/2021.

Modernization Act (FISMA) of 2014 for Fiscal Year 2019 AND INSPECTOR GENERAL RECOMMENDATIONS

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OIG-20-A-06 Independent Recommendation 2: Use the fully defined ISA to: Open Evaluation of NRCs a. Assess enterprise, business process, and Implementation of the information system level risks.

Federal Information b. Update the list of high value assets by Implementing, estimated completion Security considering risks from the supporting business 12/31/2021.

Modernization Act functions and mission impacts.

(FISMA) of 2014 for c. Formally define enterprise, business process, Fiscal Year 2019 and information system level risk tolerance and appetite levels necessary for prioritizing and guiding risk management decisions.

d. Conduct an organization-wide security and privacy risk assessment.

e. Conduct a supply chain risk assessment.

f. Identify and update NRC risk management policies, procedures, and strategy.

OIG-20-A-06 Independent Recommendation 4: Perform an assessment of Open Evaluation of NRCs role-based privacy training gaps.

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Implementation of the Federal Information Implementing, estimated completion Security 06/30/2021.

Modernization Act (FISMA) of 2014 for Fiscal Year 2019 OIG-20-A-06 Independent Recommendation 5: Identify individuals having Open Evaluation of NRCs specialized role-based responsibilities for PII or Implementation of the activities involving PII, and develop role-based Federal Information privacy training for them. Implementing, estimated completion Security 12/31/2021.

Modernization Act (FISMA) of 2014 for Fiscal Year 2019

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FY 2022 Congressional Budget Justification l 185

Report Report Title Recommendation Text Reported Status/Explanation Number OIG-20-A-06 Independent Recommendation 6: Based on NRCs supply Open Evaluation of NRCs chain risk assessment results, complete updates Implementation of the to the NRCs contingency planning policies and Federal Information procedures to address supply chain risk.

Security Implementing, estimated completion Modernization Act 12/31/2021.

(FISMA) of 2014 for Fiscal Year 2019 OIG-20-A-06 Independent Recommendation 7: Continue efforts to conduct Open Evaluation of NRCs agency and system level business impact Implementation of the assessments to determine contingency planning Federal Information requirements and priorities, including for mission Security essential functions/high value assets, and update Implementing, estimated completion FY 2022 Congressional Budget Justification l 186 Modernization Act contingency planning policies and procedures 12/31/2021.

(FISMA) of 2014 for accordingly.

Fiscal Year 2019 OIG-20-A-11 Audit of NRC's Recommendation 1: Implement policies and Open Nuclear Power Plant procedures to periodically review the Surveillance Test completeness and accuracy of data generated Implementation complete - auditor Inspection Program from the Replacement Reactor Program System. validation pending.

APPENDIX K:

SUMMARY

OF OUTSTANDING U.S. GOVERNMENT ACCOUNTABILITY OFFICE OIG-20-A-11 Audit of NRC's Recommendation 2: Periodically test data Open Nuclear Power Plant generated from the Replacement Reactor Surveillance Test Program System for completeness and accuracy. Implementation complete - auditor Inspection Program validation pending.

OIG-20-A-12 Audit of NRC's Recommendation 2: Coordinate with government Open Emergency partners at the Federal, State, and local levels to Preparedness identify resources, such as recorded training Implementing, estimated completion Program videos or presentations, to supplement RSLOs 6/23/2021.

outreach.

Notes:

1. As stated in the NRC Chairmans February 26, 2018, letter to Congress (ADAMS Accession No. ML18031A480), the NRC disagrees with the recommendation to expand its existing data collection requirements or to transition such information from its existing NRC databases to the NSTS. As required by 10 CFR Part 37, Physical Protection of Category 1 and Category 2 Quantities of Radioactive Material, the NRC currently collects the number of shipments and mode of transport for domestic transfers and the import and export of Category 1 quantities of radioactive material. Additionally, under the provisions of 10 CFR Part 110, Export and Import of Nuclear Material, the NRC collects the number of shipments and mode of transport for the import and export of shipments containing Category 2 or higher quantities of radioactive material. The current information collected provides the NRC with an understanding of the potential AND INSPECTOR GENERAL RECOMMENDATIONS modes of transport for Category 1 and 2 quantities of

radioactive material, and existing regulatory requirements provide robust protection for all such modes. Consequently, the NRC does not consider the proposed additional information collection activity to be of sufficient safety or security benefit to justify the associated regulatory actions it would require.

2. As stated in the NRC Chairmans September 28, 2018, letter to Congress (ADAMS Accession No. ML18241A065), the NRC disagrees that the requirement for the Chief Information Officer (CIO) to report to the head of the agency is not met. NRC-specific organizational legislation (Reorganization Plan No. 1 of 1980) assigns the agency's "administrative functions" to the Chairman and then requires the Chairman to delegate them to the Executive Director for Operations (EDO). The NRC's CIO reports directly to the EDO, who serves as the Chief Operating Officer (COO) and has direct access to the Chairman. This is consistent with the requirements in Element 01 of the Federal Information Technology Acquisition Reform Act Common Baseline.

3. As stated in the NRC Chairmans March 24, 2020, letter to Congress (ADAMS Accession No. ML20052D881), The NRC disagrees with this recommendation and maintains that the current regulatory requirements provide for the safe and secure use of radioactive materials, regardless of category. The NRC has encouraged GAO to consider the conclusions of the Radiation Source Protection and Security Task Force (Task Force), which is comprised of independent experts from 14 Federal agencies and one State organization and whose reports represent the coordinated Federal consensus on source security in the United States. The Task Force has determined both the isotopes and activity thresholds appropriate for enhanced security and concluded that current measures for the security and control of radioactive sources are appropriately protective of risk-significant quantities of radioactive material . . .. Further, the Task Force found that there are no significant gaps in the area of radioactive source protection and security that are not already being addressed . . .. GAO also considers postulated fatalities that could occur during evacuations in response to the use of an RDD as part of its basis for recommending increased security measures for

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radioactive materials. However, the recommended protective action strategy in response to an RDD would be to shelter in place.

The NRC will continue to participate in the wider ongoing efforts in the United States both to educate the public on appropriate responses to emergency situations and to maintain capabilities to mitigate adverse consequences of the misuse of radioactive materials.

4. As stated in the NRC Chairmans March 24, 2020, letter to Congress (ADAMS Accession No. ML20052D881), The NRC disagrees with the recommendation that additional action is warranted in this area in order to provide adequate protection. The NRC has taken several actions related to the aggregation of sources, including evaluating inspection experience and reviewing reported incidents of loss and theft. The NRC has concluded that current regulations, which require additional security controls when lower category discrete sources are aggregated, are sufficiently protective. The NRCs ongoing actions to revise procedures for regulatory staff and guidance for licensees to prevent aggregation without appropriate security controls will further ensure safety and security for facilities where this situation may occur.

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FY 2022 Congressional Budget Justification l 187

APPENDIX L: GLOSSARY APPENDIX L: GLOSSARY Actuals Obligations against budget authority for salaries and benefits, contract support, and travel.

Obligations are legally binding agreements that will result in an outlay of funds.

Agency Support Agency support costs are located in executive, administrative, and other support offices such as the Office of the Commission, the Office of the Secretary, the Office of the Executive Director for Operations, the Office of Congressional Affairs, the Office of Public Affairs, the Office of the Inspector General, the Office of Administration, the Office of the Chief Financial Officer, the Office of the Chief Information Officer, the Office of the Chief Human Capital Officer, and the Office of Small Business and Civil Rights. These budgeted costs administer the corporate or shared efforts that more broadly support the activities of the agency. These activities also include information technology services, human capital services, financial management, and administrative support.

Authorized Prior-Year Carryover Unobligated carryover amount from prior fiscal year appropriations that has been authorized for use by Congress during the current fiscal year. This amount is identified in the Joint Explanatory Statement accompanying NRCs appropriation act.

Budget Authority Authority provided by law to incur financial obligations that will result in outlays. The U.S. Nuclear Regulatory Commission (NRC) budget authority is provided by appropriations and reimbursable budget authority. References to budget authority in this Congressional Budget Justification are to appropriations.

Corporate Support A set of centrally managed overhead activities that are necessary for the NRC staff and agency programs to achieve mission goals. It includes both general administrative overhead (e.g.,

facilities management, information technology, financial management, and human resource management) and agency policy support, including the Commission.

Excluded Activities Activities identified by the Commission and other specific activities excluded from fee recovery.

Under Section 102(b)(1)(B) of Public Law 115-439, Nuclear Energy Innovation and Modernization Act, (NEIMA) excluded activities include fee-relief activities identified by the Commission, Generic Homeland Security, Waste Incidental to Reprocessing, Nuclear Waste Fund, Advanced Reactors Regulatory Infrastructure, Office of the Inspector General services for the Defense Nuclear Facilities Safety Board, and the Integrated University Program.

Fee Relief Activities identified by the Commission excluded from fee recovery. Fee-relief activities identified by the Commission consistent with prior fee rules include Agreement State oversight, regulatory support to Agreement States, medical isotope production infrastructure, fee exemption for non-profit educational institutions, generic decommissioning/reclamation, uranium recovery program and unregistered general licenses, Potential U.S. Department of Defense Remediation Program Memorandum of Understanding Activities (Military Radium-226), and non-military radium sites.

FY 2022 Congressional Budget Justification l 189

APPENDIX L: GLOSSARY Full Cost Total resources used to produce outputs under a major program business line. The full cost of a business line is the sum of (1) the cost of direct resources within the business line, (2) the cost of mission-indirect resources within the business line, and (3) a proportional share of corporate support costs budgeted at the agency level.

Full-Time Equivalent Basic measure of the levels of employment used in the budget. It is the total number of hours worked (or to be worked) divided by the number of compensable hours applicable to each fiscal year.

Generic Homeland Security Security-related activities related to intergovernmental coordination and communication on intelligence, threat demographic data, and information security activities not related to information technology. Activities also include the coordination and exchange of information among local, State, and Federal agencies on security-related matters, as well as international activities involving reviews of security-related matters.

Major Program An organized set of functions, processes, and activities directed toward execution of a major element of the agencys mission and the achievement of related strategic goals and objectives. The NRCs two major programs are Nuclear Reactor Safety and Nuclear Materials and Waste Safety.

Major Program Business Line (Business Line)

A class of functions, processes, and activities that implement a significant component of a major program. The Nuclear Reactor Safety Program is implemented through the Operating Reactors and New Reactors Business Lines. The Nuclear Materials and Waste Safety Program is implemented through the Fuel Facilities, Nuclear Materials Users, Decommissioning and Low-Level Waste, and Spent Fuel Storage and Transportation Business Lines.

Mission Support Supervisory and nonsupervisory support for the core work activities of the program offices and the regions. Budgeted within the major program business lines in the Mission Support and Supervisors Product Line.

Net Budget Authority (Net Appropriated)

The NRCs remaining budget authority after its appropriations are offset by fees collected.

Represents the portion of appropriations that are funded from the general fund of the U.S. Treasury and the Nuclear Waste Fund.

Nonfee-Recoverable Items NRC activities that are funded from appropriations excluded from fee recovery by 42 USC 2214 (Section 6101 of the Omnibus Budget Reconciliation Act of 1990) and NRC appropriations language.

Product Line Categories of agency work functions performed under a business line.

FY 2022 Congressional Budget Justification l 190

APPENDIX L: GLOSSARY Reimbursable Budget Authority Budget authority provided by funds from other Federal agencies and receipts from non-Federal organizations. This authority represents additional funding in excess of the NRCs directly appropriated funds.

Requested Activity Under Section 3(10) of NEIMA, a requested activity is defined as the processing of applications for (1) design certifications or approvals, (2) licenses, (3) permits, (4) license amendments, (5) license renewals, (6) certificates of compliance, (7) power uprates, and (8) any other activity requested by a licensee or applicant.

Salaries and Benefits Resources budgeted for the cost of government personnel. Includes salaries and wages; awards; the agencys share of retirement contributions, benefits, and payroll taxes; and other personnel costs such as incentive and terminal leave payments.

FY 2022 Congressional Budget Justification l 191

APPENDIX M: ABBREVIATION AND ACRONYM LIST APPENDIX M: ABBREVIATION AND ACRONYM LIST 10 CFR: Title 10 of the Code of Federal Regulations ABWR: Advanced Boiling-Water Reactor ADAMS: Agencywide Documents Access and Management System AEC: Atomic Energy Commission AEA: Atomic Energy Act AO: Abnormal Occurrence APWR: Advanced-Pressurized Water Reactor APR: Advanced Power Reactor ATF: Accident Tolerant Fuel CAL: Confirmatory Action Letter CIO: Chief Information Officer COL: Combined License DC: Design Certification DNFSB: Defense Nuclear Facilities Safety Board DOE: U.S. Department of Energy DOJ: U.S. Department of Justice DOS: U.S. Department of State EDO: Executive Director for Operations ESP: Early Site Permit FEVS: Federal Employee Viewpoint Survey FISMA: Federal Information Security Management Act FITARA: Federal Information Technology Acquisition Reform Act FTE: Full-Time Equivalent FY: Fiscal Year FY 2022 Congressional Budget Justification l193

APPENDIX M: ABBREVIATION AND ACRONYM LIST GAO: U.S. Government Accountability Office GLINDA: Global Infrastructure and Development Acquisition GPRA: Government Performance and Results Act HHS: U.S. Department of Human and Health Services IA: Interagency Agreement IAEA: International Atomic Energy Agency IM: Information Management IMC: Inspection Manual Chapter IMPEP: Integrated Materials Performance Evaluation Program ISFSI: Interim Spent Fuel Storage Installation IT: Information Technology ITAAC: Inspections, Tests, Analyses, and Acceptance Criteria LER: Licensee Event Report LLW: Low-Level Waste LTA: Lead Test Assembly LWR: Light-Water Reactor MOU: Memorandum of Understanding NEIMA: Nuclear Energy Innovation and Modernization Act NMED: Nuclear Materials Event Database NMIP: Nuclear Materials Information Program NRC: U.S. Nuclear Regulatory Commission NSTS: National Source Tracking System NTTF: Near-Term Task Force OBRA-90: Omnibus Budget Reconciliation Act of 1990 OIG: Office of the Inspector General OMB: Office of Management and Budget OPM: Office of Personnel Management FY 2022 Congressional Budget Justification l 194

APPENDIX M: ABBREVIATION AND ACRONYM LIST OWFN: One White Flint North PL: Public Law RIC: Regulatory Information Conference RIS: Regulatory Issue Summary ROP: Reactor Oversight Process S&E: Salaries and Expenses SDA: Standard Design Approval SER: Safety Evaluation Report SMR: Small Modular Reactor SNF: Spent Nuclear Fuel SNM: Special Nuclear Material SRM: Staff Requirements Memorandum SWP: Strategic Workforce Plan TWFN: Two White Flint North UMTRCA: Uranium Mill Tailings Radiation Control Act U.S.: United States USC: United States Code USF: Usable Square Feet USG: U.S. Government Agencies WBL: Web-Based Licensing WIR: Waste Incidental to Reprocessing 3WFN: Three White Flint North FY 2022 Congressional Budget Justification l 195

United States Nuclear Regulatory Commission Office of the Chief Financial Officer NUREG-1100, Volume 37 June 2021

NUREG-1100, Vol. 37 CONGRESSIONAL BUDGET JUSTIFICATION FISCAL YEAR 2022 June 2021

NUREG-1100 Volume 37, U.S. NRC Congressional Budget Justification Fiscal Year 2022

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