NUREG-2261, Dfc, Artificial Intelligence Strategic Plan Fiscal Years 2023-2027, Draft Report for Comment

From kanterella
(Redirected from NUREG-2261)
Jump to navigation Jump to search
NUREG-2261 Dfc, Artificial Intelligence Strategic Plan Fiscal Years 2023-2027, Draft Report for Comment
ML22175A206
Person / Time
Issue date: 06/30/2022
From:
Office of Nuclear Reactor Regulation
To:
Malone, Tina
References
NUREG-2261
Download: ML22175A206 (40)
v • d • e


Text

Artificial Intelligence Strategic Plan Fiscal Years 2023-2027 Draft Report for Comment Office of Nuclear Regulatory Research NUREG-2261

AVAILABILITY OF REFERENCE MATERIALS IN NRC PUBLICATIONS NRC Reference Material As of November 1999, you may electronically access NUREG-series publications and other NRC records at the NRCs Library at www.nrc.gov/reading-rm.html. Publicly released records include, to name a few, NUREG-series publications; Federal Register notices; applicant, licensee, and vendor documents and correspondence; NRC correspondence and internal memoranda; bulletins and information notices; inspection and investigative reports; licensee event reports; and Commission papers and their attachments.

NRC publications in the NUREG series, NRC regulations, and Title 10, Energy, in the Code of Federal Regulations may also be purchased from one of these two sources:



1. The Superintendent of Documents U.S. Government Publishing Office Washington, DC 20402-0001 Internet: www.bookstore.gpo.gov Telephone: (202) 512-1800 Fax: (202) 512-2104
2. The National Technical Information Service 5301 Shawnee Road Alexandria, VA 22312-0002 Internet: www.ntis.gov 1-800-553-6847 or, locally, (703) 605-6000 A single copy of each NRC draft report for comment is available free, to the extent of supply, upon written request as follows:

Address: U.S. Nuclear Regulatory Commission

Office of Administration Digital Communications and Administrative Services Branch Washington, DC 20555-0001 E-mail: Reproduction.Resource@nrc.gov Facsimile: (301) 415-2289 Some publications in the NUREG series that are posted at the NRCs Web site address www.nrc.gov/reading-rm/

doc-collections/nuregs are updated periodically and may differ from the last printed version. Although references to material found on a Web site bear the date the material was accessed, the material available on the date cited may subsequently be removed from the site.

Non-NRC Reference Material Documents available from public and special technical libraries include all open literature items, such as books, journal articles, transactions, Federal Register notices, Federal and State legislation, and congressional reports.

Such documents as theses, dissertations, foreign reports and translations, and non-NRC conference proceedings may be purchased from their sponsoring organization.

Copies of industry codes and standards used in a substantive manner in the NRC regulatory process are maintained at The NRC Technical Library Two White Flint North 11545 Rockville Pike Rockville, MD 20852-2738 These standards are available in the library for reference use by the public. Codes and standards are usually copyrighted and may be purchased from the originating organization or, if they are American National Standards, from American National Standards Institute 11 West 42nd Street New York, NY 10036-8002 Internet: www.ansi.org (212) 642-4900 Legally binding regulatory requirements are stated only in laws; NRC regulations; licenses, including technical specifications; or orders, not in NUREG-series publications.

The views expressed in contractor prepared publications in this series are not necessarily those of the NRC.

The NUREG series comprises (1) technical and administrative reports and books prepared by the staff (NUREG-XXXX) or agency contractors (NUREG/CR-XXXX),

(2) proceedings of conferences (NUREG/CP-XXXX),

(3) reports resulting from international agreements (NUREG/IA-XXXX),(4) brochures (NUREG/BR-XXXX), and (5) compilations of legal decisions and orders of the Commission and the Atomic and Safety Licensing Boards and of Directors decisions under Section 2.206 of the NRCs regulations (NUREG-0750).

DISCLAIMER: This report was prepared as an account of work sponsored by an agency of the U.S. Government.

Neither the U.S. Government nor any agency thereof, nor any employee, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third partys use, or the results of such use, of any information, apparatus, product, or process disclosed in this publication, or represents that its use by such third party would not infringe privately owned rights.

Artificial Intelligence Strategic Plan Fiscal Years 2023-2027 Draft Report for Comment Manuscript Completed: June 2022 Date Published: June 2022 Prepared by:

M. Dennis, T. Lalain, L. Betancourt, A. Hathaway, and R. Anzalone Matthew Dennis, NRC Project Manager Office of Nuclear Regulatory Research NUREG-2261

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

Comments may be accompanied by additional relevant information or supporting data. Please specify the report number NUREG-2261 in your comments and send them by the end of the comment period specified in the Federal Register notice announcing the availability of this report.

Addresses: You may submit comments by any one of the following methods. Please include Docket ID NRC-2022-0095 in the subject line of your comments. Comments submitted in writing or in electronic form will be posted on the NRC website and on the Federal rulemaking website http://www.regulations.gov.

Federal Rulemaking Website: Go to http://www.regulations.gov and search for documents filed under Docket ID NRC-2022-0095.

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

For any questions about the material in this report, please contact: Matthew Dennis, Reactor System Engineer Data Scientist, Tel. 301-415-3702 or by e-mail at matthew.dennis@nrc.gov.

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

iii ABSTRACT 1

The U.S. Nuclear Regulatory Commission (NRC) recognizes that interest in artificial intelligence 2

(AI) is growing rapidly in both the public and private sectors and anticipates increased use of AI 3

in NRC-regulated activities. For the purposes of this document, AI refers to a machine-based 4

system that can go beyond defined results and scenarios and has the ability to emulate human-5 like perception, cognition, planning, learning, communication, or physical action. For a given set 6

of human-defined objectives, AI can make predictions, recommendations, or decisions 7

influencing real or virtual environments. The AI Strategic Plan focuses on a broad spectrum of 8

sub-specialties (e.g., natural language processing, machine learning, deep learning, etc.) which 9

could encompass various algorithms and application examples which the NRC has not 10 previously reviewed and evaluated. Anticipating the industrys potential application of AI to 11 NRC-regulated activities, the NRC has developed a strategic plan to ensure the agencys 12 readiness to review such uses. The strategic plan includes five goals: (1) ensure NRC readiness 13 for regulatory decisionmaking, (2) establish an organizational framework to review AI 14 applications, (3) strengthen and expand AI partnerships, (4) cultivate an AI-proficient workforce, 15 and (5) pursue use cases to build an AI foundation across the NRC. The overall goal of this 16 strategic plan is to ensure continued staff readiness to review and evaluate AI applications 17 effectively and efficiently.

18

v TABLE OF CONTENTS 1

ABSTRACT................................................................................................................................. iii 2

LIST OF FIGURES..................................................................................................................... vii 3

LIST OF TABLES....................................................................................................................... vii 4

EXECUTIVE

SUMMARY

............................................................................................................. ix 5

ABBREVIATIONS AND ACRONYMS........................................................................................ xi 6

1 INTRODUCTION................................................................................................................... 1-1 7

2 VISION.................................................................................................................................. 2-1 8

3 PURPOSE AND DRIVERS................................................................................................... 3-1 9

4 STRATEGIC GOALS............................................................................................................ 4-1 10 4.1 Strategic Goal 1: Ensure NRC Readiness for Regulatory Decisionmaking................... 4-2 11 4.2 Strategic Goal 2: Establish an Organizational Framework to Review AI 12 Applications.................................................................................................................... 4-3 13 4.3 Strategic Goal 3: Strengthen and Expand AI Partnerships............................................ 4-3 14 4.4 Strategic Goal 4: Cultivate an AI-Proficient Workforce.................................................. 4-4 15 4.5 Strategic Goal 5: Pursue Use Cases to Build an AI Foundation Across the NRC......... 4-4 16 5 CONCLUSION...................................................................................................................... 5-1 17 6 REFERENCES...................................................................................................................... 6-1 18 APPENDIX A GLOSSARY.................................................................................................... A-1 19 APPENDIX B USING ARTIFICIAL INTELLIGENCE TOOLS TO ENHANCE NRC 20 ACTIVITIES.............................................................................................................................. B-1 21 22

vii LIST OF FIGURES 1

Figure 1 Artificial Intelligence Hierarchy and Relationship with the NRC AI Strategic Plan 2

(adapted from [5] and [6])............................................................................................ 1-2 3

Figure 2 Overview of Strategic Goals........................................................................................ 4-1 4

5 LIST OF TABLES 6

Table 1 Notional AI and Autonomy Levels in Commercial Nuclear Activities............................ 1-3 7

8

ix EXECUTIVE

SUMMARY

1 For the purposes of this document, artificial intelligence (AI) refers to a machine-based system 2

that can go beyond defined results and scenarios and has the ability to emulate human-like 3

perception, cognition, planning, learning, communication, or physical action. For a given set of 4

human-defined objectives, AI can make predictions, recommendations, or decisions influencing 5

real or virtual environments. AI is one of the fastest-growing technologies globally and has the 6

potential to enhance decisionmaking processes for the nuclear industry by providing insights 7

into vast amounts of data generated during the design and operation of nuclear facilities. As a 8

result, the nuclear industry has expressed a growing interest in researching and using AI 9

technologies to improve operational performance and mitigate operational risk. The AI Strategic 10 Plan focuses on a broad spectrum of sub-specialties (e.g., natural language processing, 11 machine learning, deep learning, etc.) which could encompass various algorithms and 12 application examples which the U.S. Nuclear Regulatory Commission (NRC) has not previously 13 reviewed and evaluated. The NRC is committed to continue to keep pace with technological 14 innovations to ensure the safe and secure use of AI in NRC-regulated activities.

15 16 The NRCs AI Strategic Plan, covering fiscal years (FY) 2023-2027, establishes the vision and 17 goals for the NRC to continue to improve its skills and capabilities to review and evaluate the 18 application of AI to NRC-regulated activities, maintain awareness of technological innovations, 19 and ensure the safe and secure use of AI in NRC-regulated activities. The AI Strategic Plan 20 includes five goals: (1) ensure NRC readiness for regulatory decisionmaking, (2) establish an 21 organizational framework to review AI applications, (3) strengthen and expand AI partnerships, 22 (4) cultivate an AI-proficient workforce, and (5) pursue use cases to build an AI foundation 23 across the NRC.

24 25 The AI Strategic Plan complements the NRCs mission, broadly aligns with the agencys 26 Principles of Good Regulation, and is tied to multiple NRC FY 2022-2026 Strategic Plan safety, 27 security, and openness strategies [1]. The NRC will consider the actions recommended for the 28 short-term (<1 year), mid-term (1-3 years), and long-term (3-5 years) time horizons and will 29 guide budgetary requirements and resource planning within the NRCs standard planning and 30 budgeting processes to achieve the strategic goals in this document.

31 32 The overall goal of the AI Strategic Plan is to ensure the staffs readiness to effectively and 33 efficiently review and evaluate the use of AI in NRC-regulated activities.

34

xi ABBREVIATIONS AND ACRONYMS 1

AI Artificial Intelligence 2

AICoP Artificial Intelligence Community of Practice 3

AISC Artificial Intelligence Steering Committee 4

FR Federal Register 5

FY Fiscal Year 6

NRC U.S. Nuclear Regulatory Commission 7

1-1 1 INTRODUCTION 1

For the purposes of this document, artificial intelligence (AI) refers to a machine-based system 2

that can go beyond defined results and scenarios and has the ability to emulate human-like 3

perception, cognition, planning, learning, communication, or physical action. For a given set of 4

human-defined objectives, AI can make predictions, recommendations, or decisions influencing 5

real or virtual environments. These systems use machine-and human-based inputs to perceive 6

real and virtual environments, abstract such perceptions into models through analysis in an 7

automated manner, and use model inference to formulate options for information or action [2].

8 The AI Strategic Plan focuses on a broad spectrum of sub-specialties (e.g., natural language 9

processing, machine learning, deep learning, etc.) which could encompass various algorithms 10 and application examples which the U.S. Nuclear Regulatory Commission (NRC) has not 11 previously reviewed and evaluated.

12 13 An AI algorithm is a computer program that has been trained on a set of data to recognize 14 certain types of patterns. AI use various types of algorithms to reason over and learn from this 15 data, with the overarching goal of providing solutions that mimic human-based decision and 16 predictions for problems. Unlike developing and coding a traditional software program with 17 specific instructions to complete a task, AI seeks to learn to recognize patterns and make 18 predictions. This AI Strategic Plan considers an evolving landscape where computers use data 19 and unseen behavior to construct the underlying algorithmic model, draw inferences, and define 20 the rules to achieve a task. Advances in computing technologies have led to the expanded use 21 of AI across multiple disciplines in the public and private sectors, both domestically and 22 internationally. AI provides new opportunities for organizations to enhance safety and security, 23 improve processes, leverage historical and current data, identify research needs, and even 24 explore autonomous control and operation. As a result, the nuclear industry has expressed 25 interest in deploying these technologies. The NRC is committed to enabling the safe and secure 26 use of new technologies, especially those that can enhance the safety and security of nuclear 27 facilities. The NRC is committed to keeping pace with technological innovations to effectively 28 and efficiently carry out its safety and security mission.

29 30 The AI Strategic Plan complements the NRCs mission1, broadly aligns with the agencys 31 Principles of Good Regulation,2 and is tied to the following:

32 33 NUREG-1614, Volume 8, U.S. Nuclear Regulatory Commission Strategic Plan: Fiscal 34 Years 20222026, issued April 2022 [1]

35 36 NRC, International Strategy: 20212025, issued August 2021 [3]

37 38 NUREG-1908, Volume 4, Information Technology Information Management Strategic 39 Plan: Fiscal Years 20202024, issued November 2019 [4]

40 There are numerous fields of work that involve data and foundational concepts in AI (e.g., data 41 analysis, statistics, computer programming, engineering), many of which the NRC already has 42 experience with. However, given major advancements in AI, it is critical to establish how AI 43 builds upon and relates to other data fields to understand the potential uses of AI in NRC-44 1

The NRCs mission can be found at https://www.nrc.gov/about-nrc/values.html.

2 The NRCs Principles of Good Regulation and other values can be found at https://www.nrc.gov/about-nrc/values.html#principles.

1-2 regulated activities. Figure 1 illustrates these relationships in two different ways. On the left is a 1

pyramid representing the increasing levels of complexity and maturity needed to implement AI 2

within an organization. The foundation of this pyramid is data collection, which establishes the 3

databases from which the AI is developed. Next is data infrastructure, which includes tools to 4

organize and transform the collected data, make it available, and govern its use. From this 5

point, the data may be used in data analytics, which provides plots and descriptive statistics that 6

can be used in decisionmaking. Once the organization is capable of data analytics, it can 7

pursue data science, which entails predictive modeling using data. Ultimately, at the apex is AI.

8 As shown Figure 1, this AI Strategic Plan primarily covers AI and data science applications.

9 10 Figure 1 Artificial Intelligence Hierarchy and Relationship with the NRC AI Strategic Plan 11 (adapted from [5] and [6])

12 The right side of Figure 1 illustrates an overview of major fields within the scope of the AI 13 Strategic Plan. As shown in the figure, this AI Strategic Plan considers machine learning, deep 14 learning, natural language processing, and robotic process automation to be subsets of AI.

15 16 AI technologies provide the underlying capability for autonomous systems. While AI enables 17 autonomy, not all uses of AI are autonomous. For example, many AI capabilities may be used to 18 augment human decisionmaking rather than replace it. Table 1 provides notional AI and 19 autonomy levels in potential commercial nuclear activities. Higher autonomy levels indicate less 20 reliance on human intervention or oversight and, therefore, may require greater regulatory 21 scrutiny of the AI system. AI Strategic Goal 1, discussed further in Section 4.1, will assess the 22 current regulatory framework and establish the appropriate regulatory requirements for varying 23 degrees of AI and autonomy. Lastly, the NRC recognizes that there are differences between 24

1-3 automation3 and autonomy in potential uses of AI in NRC-regulated applications. As such, the 1

NRC will treat these differences with the appropriate level of regulatory scrutiny.

2 Table 1 Notional AI and Autonomy Levels in Commercial Nuclear Activities 3

Notional AI and Autonomy Levels Potential Uses of AI and Autonomy in Commercial Nuclear Activities Level 1: Insight (Human decisionmaking assisted by a machine)

AI integration in systems is used for optimization, operational guidance, or business process automation that would not affect plant safety/security and control Level 2: Collaboration (Human decisionmaking augmented by a machine)

AI integration in systems where algorithms make recommendations that could affect plant safety/security and control are vetted and carried out by a human decisionmaker Level 3: Operation (Machine decisionmaking supervised by a human)

AI and autonomy integration in systems where algorithms make decisions and conduct operations with human oversight that could affect plant safety/security and control Level 4: Fully Autonomous (Machine decisionmaking with no human intervention)

Fully autonomous AI in systems where the algorithm is responsible for operation, control, and intelligent adaptation without reliance on human intervention or oversight that could affect plant safety/security and control 4

The NRC recognizes the output of this AI Strategic Plan may also support the agency use of AI 5

tools to enhance internal NRC activities. For example, the NRC will gain additional knowledge 6

and expertise in AI and data literacy to support expanding use for decisionmaking across the 7

agency. When assessing agency processes for improvement, the NRC will include in its 8

assessment potential ways AI tools could be incorporated. Further discussion related to 9

considerations on internal agency use of AI can be found in Appendix B.

10 3

Automation is considered to be a system that automatically takes action on a specific task according to pre-defined, prescriptive rules. For example, reactor protection systems are automatically actuated when process parameters exceed certain defined limits. In an autonomous system, both the point at which action is taken and the action that is taken are the result of training an algorithm on data collected about the system.

2-1 2 VISION 1

The NRCs vision is to continue to keep pace with technological innovations to ensure the safe 2

and secure use of AI in NRC-regulated activities.

3

3-1 3 PURPOSE AND DRIVERS 1

The purpose of the AI Strategic Plan is to ensure the staffs readiness to review the use of AI in 2

NRC-regulated activities as the nuclear industry has expressed interest in deploying AI 3

applications. Based on feedback from the NRCs Data Science and AI Regulatory Applications 4

Public Workshops4, the nuclear industry could start deploying AI technologies in the near future 5

and has already begun investigating, developing, and assessing how such technologies can be 6

used. Licensing applications that include the use of AI technologies may be submitted to the 7

NRC for review and approval in the next five years.

8 9

In fiscal year (FY) 2021, the NRC began actively coordinating within the agency and across the 10 nuclear industry to better understand activities and plans for AI by (1) conducting an internal 11 scan to ascertain the scope of existing NRC projects that may fall within the technical area of AI, 12 (2) issuing a Federal Register (FR) notice5 to solicit feedback on the nuclear industrys AI 13 readiness and applications, and (3) hosting a series of Data Science and AI Regulatory 14 Applications Public Workshops to provide a forum for the NRC, nuclear industry, and relevant 15 stakeholders to discuss the state of knowledge and research activities related to data science 16 and AI and their application in the nuclear industry. In February 2022, the NRC issued 17 NUREG/CR-7294, Exploring Advanced Computational Tools and Techniques with Artificial 18 Intelligence and Machine Learning in Operating Nuclear Plants [7], documenting the current 19 state of practice of AI tools in the nuclear industry. The staff used these insights in the 20 development of this AI Strategic Plan. The NRC also reached out to the nuclear industry, 21 U.S. Government agencies, nonprofit organizations, academia, international counterparts with 22 mature or developing AI programs, and the public to gain valuable insights to inform the 23 development of this AI Strategic Plan.

24 4

The NRC hosted a series of Data Science and AI Regulatory Applications Public Workshops in June, August, and November 2021 to provide a forum for the NRC, nuclear industry, and stakeholders to discuss the state of knowledge and research activities related to data science and AI and their application in the nuclear industry. At these workshops, the NRC worked with internal and external stakeholders to identify the benefits and risks associated with the use of AI in regulatory activities and discussed ongoing and planned projects in the nuclear industry. For more details, see the NRC public Web site at https://www.nrc.gov/public-involve/conference-symposia/data-science-ai-reg-workshops.html.

5 See 86 FR 20744, Role of Artificial Intelligence Tools in U.S. Commercial Nuclear Power Operations, at https://www.federalregister.gov/documents/2021/04/21/2021-08177/role-of-artificial-intelligence-tools-in-us-commercial-nuclear-power-operations.

4-1 4 STRATEGIC GOALS 1

The AI Strategic Plan sets out the five strategic goals shown in Figure 2 to ensure readiness for 2

reviewing the use of AI in NRC-regulated activities.

3 4

5 Figure 2 Overview of Strategic Goals 6

As shown above, the first strategic goal is the ultimate outcome of the implementation of this 7

strategic plan, which is to continue to keep pace with technological innovations to ensure the 8

safe and secure use of AI in NRC-regulated activities through existing or new regulatory 9

guidance, rules, inspection procedures, or oversight activities (AI Strategic Goal 1). AI Strategic 10 Goals 2 through 5 directly support preparatory activities that culminate in successfully 11 supporting technical readiness for regulatory decisionmaking activities desired in AI Strategic 12 Goal 1. The establishment of the organizational framework (AI Strategic Goal 2) ensures all 13 aspects of the NRC are represented in the preparations for reviewing AI in NRC-regulated 14 activities. Strong partnerships are essential to ensuring the safe and secure use of AI in the 15 nuclear industry. The NRC is committed to engaging the industry and relevant stakeholders to 16 maintain awareness of industry efforts (AI Strategic Goal 3) and prepare for regulatory reviews.

17 The NRC will also engage in workforce development and acquisition to ensure that the NRC 18 staff and contractors have the critical skills required (AI Strategic Goal 4) to evaluate the use of 19 AI in NRC-regulated activities. The NRC recognizes the establishment of a foundation in data 20 science as a fundamental requirement for evaluating AI applications. Therefore, the NRC will 21 build the necessary AI foundation to pursue use cases across the NRC (AI Strategic Goal 5),

22 which will help build an organizational experience that supports future regulatory reviews and 23 oversight activities.

24 25 The AI Strategic Goals are listed in order of priority and are expected to be initiated during 26 different timeframes. All organizations within the NRC play a significant role in achieving the 27 strategic goals. The NRC will also continue to monitor external factors that may influence the 28 ability to achieve these strategic goals. The NRC will consider the actions needed for the short-29 ENSURE NRC READINESS FOR REGULATORY DECISIONMAKING: Establish a robust and flexible AI regulatory framework that provides a sound basis upon which regulatory decisions can be made and enforced.

ESTABLISH AN ORGANIZATIONAL FRAMEWORK TO REVIEW AI APPLICATIONS: Create AI governance, collaboration, coordination, and communication networks at the NRC to prepare the NRC to review AI applications.

STRENGTHEN AND EXPAND AI PARTNERSHIPS: Engage the nuclear community to maintain external awareness of industry plans and foster strong partnerships across the Federal Government, academia, and international counterparts to leverage AI expertise.

CULTIVATE AN AI-PROFICIENT WORKFORCE: Bring critical data science skills into service by recruiting the AI workforce of tomorrow while simultaneously cultivating the talent of NRC's existing highly skilled workforce.

PURSUE USE CASES TO BUILD AN AI FOUNDATION ACROSS THE NRC: Establish the necessary AI foundation to prepare the staff to review of AI in NRC-regulated activities.

4-2 term (<1 year), mid-term (1-3 years), and long-term (3-5 years) time horizons and will guide 1

budgetary requirements and resource planning within the NRCs standard planning and 2

budgeting processes to achieve the strategic goals in this document.

3 4

The NRC developed an agency evidence-building plan [8], as required by the Foundations for 5

Evidence-Based Policymaking Act of 2018, for identifying and addressing priority questions 6

relevant to the agencys programs, policies, and regulations. The NRC will leverage the 7

resulting evidence gathered through the execution of the agency evidence-building plan to 8

support the AI strategic goals. The AI Strategic Goals may inform the use of AI tools and 9

enhance agency activities, as discussed in Appendix B of this AI Strategic Plan.

10 11 4.1 Strategic Goal 1: Ensure NRC Readiness for Regulatory Decisionmaking 12 The deployment of AI technologies by the nuclear industry is on the horizon. The NRC 13 anticipates that within the next five years an existing licensee, new, or advanced nuclear 14 technology applicant may employ AI in such a manner that it requires NRC regulatory 15 consideration or oversight. The NRC needs to continue to be effective and efficient as it 16 conducts its safety and security mission.

17 18 This goal focuses on developing the regulatory guidance and tools to prepare the staff to assess 19 AI as part of NRC regulatory activities. The NRC recognizes that the nuclear industry is likely to 20 use AI in applications (e.g., notional AI and autonomy adoption levels in Table 1) that may 21 require regulatory approval or oversight. Therefore, the NRC will assess whether any regulatory 22 guidance (e.g., regulatory guides or standard review plan sections) or inspection procedures 23 need to be updated or created to clarify the process and procedure for the licensing and 24 oversight of the use of AI in NRC-regulated activities. The need for revision will be based on the 25 information gathered through the execution of this AI Strategic Plan, engagement with external 26 stakeholders (AI Strategic Goal 3), and experience obtained through pursuing internal use 27 cases and their impact on the agencys regulatory framework (AI Strategic Goal 5). For 28 example, the NRC will leverage its experience reviewing relevant historical models as it 29 determines the requirements for new, more detailed models. Lastly, additional options for long-30 range changes for AI regulatory reviews and oversight that would require rulemaking will also be 31 considered.

32 33 The NRC will undertake research to develop an AI framework to determine the approach to 34 assess areas such as, but not limited to, explainability, trustworthiness, bias, robustness, ethics, 35 security, risks, and technical readiness of AI. The NRC will also work with agency stakeholders 36 and the international regulatory community to determine the currently available AI standards 37 and identify the technical areas (e.g., explainability, trustworthiness, bias, robustness, ethics, 38 security, risks) where gaps may exist. In addition, the NRC will participate with standards 39 development organizations and work with Federal agencies and the international regulatory 40 community (AI Strategic Goal 3) to offer critical expertise and perspectives to inform the drafting 41 and revision of AI standards and guidance documents.

42 43 The development of the AI framework will be communicated with agency stakeholders and the 44 public to maintain transparency and clearly communicate regulatory guidance to the nuclear 45 industry as early as possible in the process (AI Strategic Goal 3). For this goal, a successful 46 outcome is providing, as needed, the regulatory guidance and tools to ensure readiness for 47 reviewing the use of AI in NRC-regulated activities.

48 49

4-3 4.2 Strategic Goal 2: Establish an Organizational Framework to Review AI 1

Applications 2

The successful implementation of the AI Strategic Plan requires effective coordination and 3

collaboration across the NRC, at both the management and staff levels. The NRC will establish 4

an Artificial Intelligence Steering Committee (AISC) to provide cross-office coordination and 5

direction to ensure readiness for regulatory decisionmaking and develop AI governance. The 6

AISC will need to include division or deputy division directors with management responsibility for 7

AI technology across the agency. The AISC may engage external subject-matter experts with AI 8

expertise to assist with specific issues, as needed. The AISC will also leverage existing 9

information technology, data, and security communities and expertise. They will coordinate with 10 the Information Technology and Information Management Portfolio Executive Council to ensure 11 direct prioritization of the activities that will enable the achievement of the strategic goals 12 outlined in this document.

13 14 To support staff engagement and collaboration, the NRC will need to establish an AI Community 15 of Practice (AICoP) to provide a forum to (1) discuss best practices for reviewing requests that 16 include the use of AI technologies, (2) provide agencywide awareness on active and potential 17 use cases, and (3) facilitate the sharing of best practices and lessons learned. The AICoP will 18 be compromised of NRC staff members from across the agency who are active in or interested 19 in AI policy, technology, standards, and programs. In addition, AI working groups will support 20 the AISCs efforts as needed to execute the AI Strategic Plan, such as prioritization of AI 21 research, technical workshops, and specific subject-matter tasks as assigned. Membership for 22 the AI working groups to support relevant subject matter expertise can be drawn from the 23 AICoP.

24 25 A successful outcome of this goal is an organization that facilitates effective coordination and 26 collaboration across the NRC to ensure readiness for reviewing the use of AI in NRC-regulated 27 activities.

28 29 4.3 Strategic Goal 3: Strengthen and Expand AI Partnerships 30 Strong partnerships across the Federal Government, with the nuclear industry, and with 31 international counterparts are essential in order to gain valuable information to benchmark the 32 agencys AI activities and serve as force multipliers to optimize resources and effort. Scientific 33 and technological exchange keeps the NRC current in the rapidly evolving field of AI.

34 35 The NRC will continue to strengthen and expand strong AI working partnerships with domestic 36 and international counterparts within the nuclear industry to stay abreast of industry interests, 37 activities, and plans to deploy AI. For domestic AI activities, the NRC will continue to engage 38 with stakeholders, including the public, nongovernmental organizations, and regulated entities 39 through existing and new memoranda of understanding, public meetings, and workshops. For 40 international AI activities, the NRC will continue to engage with international counterparts and 41 multilateral organizations to collaborate in sharing information on the use of AI in NRC-regulated 42 activities, conduct cooperative research, and influence the development of international 43 standards and guidance.

44 45 The NRC is not the only Federal agency faced with the challenges of safely and securely 46 deploying, overseeing, and evaluating AI technologies. Other Government agencies and 47 industry sectors are facing similar challenges. In some cases, other Government agencies have 48 more experience with assessment and implementation of AI. Their experience and lessons 49

4-4 learned provide the NRC with a unique opportunity to engage in intergovernmental information 1

sharing, collaboration, and potential technology transfer from those agencies. The NRC will 2

continue to build partnerships with other Government agencies to facilitate the exchange of 3

ideas, practices, and procedures.

4 5

Incorporating the information and knowledge gathered from external organizations, including 6

regulatory research, industry, Federal partners, standards, and international bodies, into the 7

NRC staff knowledge base will allow for informed regulatory decisionmaking. The NRC will 8

coordinate external interactions, disseminate information from these interactions to the 9

appropriate NRC staff, and support technical training and workshops to build AI awareness 10 across the NRC offices. When achieved, this goal will provide established mechanisms to 11 (1) maintain awareness of industry plans, (2) establish communication forums to discuss future 12 plans and regulatory needs, and (3) effectively partner with other agencies on AI topics of 13 mutual benefit.

14 15 4.4 Strategic Goal 4: Cultivate an AI-Proficient Workforce 16 The NRC recognizes the value of acquiring, developing, and retaining a skilled workforce in the 17 area of AI. The term AI is often used generically to encompass a wide range of applications, 18 from data analysis to fully autonomous systems. The NRC will develop a common 19 understanding of AI by providing the NRC staff with seminars, workshops, and training.

20 21 This goal focuses on developing the technical information, knowledge, and tools to prepare the 22 staff to review AI applications. The NRC must have the right number of people with the right 23 skills at the right time to conduct effective and efficient regulatory reviews and oversight 24 activities to accomplish its safety and security mission. Given the competitive marketplace for AI 25 talent, the NRC will establish and stabilize a pipeline for AI talent by using the Strategic 26 Workforce Planning and Competency Models to meet this strategic goal and support NRC 27 needs. A primary mechanism for building this pipeline is leveraging existing hiring processes 28 (e.g., NRC Integrated University Program, internships and cooperative education programs, the 29 Nuclear Regulator Apprenticeship Network program, and the Information Technology Fellows or 30 Graduate Fellows programs). In addition, the NRC will fully use Federal retention authorities to 31 maintain a skilled AI workforce and allow talented experts to contribute to AI research and 32 development activities.

33 34 The NRC will cultivate the talent of its existing highly skilled workforce by investing in 35 comprehensive training for NRC staff and managers working on use cases (AI Strategic 36 Goal 5). The NRC AI training program will use a tiered approach, providing training ranging from 37 basic to advanced concepts, applications, and AI tools tailored to the interest level and 38 proficiency desired for staff as needed.

39 40 The goal is to adopt the appropriate training programs and tools to develop the requisite skills in 41 the NRC workforce. A successful outcome of this goal is to ensure appropriate qualifications, 42 training, expertise, and access to tools exist for the workforce to review and evaluate AI usage 43 in NRC-regulated activities effectively and efficiently.

44 45 4.5 Strategic Goal 5: Pursue Use Cases to Build an AI Foundation Across the 46 NRC 47 AI technologies may pose novel challenges for the NRC regulatory framework. As the NRC 48 prepares for regulatory decisionmaking, internal uses of AI tools that would also support 49

4-5 industry use for AI-based decisionmaking and control will increase staff knowledge of and 1

experience with these tools for future regulatory reviews and oversight.

2 3

This goal focuses on developing and pursuing use cases, consistent with priority question 2 of 4

the agency evidence-building plan (as discussed in Appendix B of this AI Strategic Plan), to 5

build technical expertise for reviewing the use of AI in NRC-regulated activities. To build this 6

expertise, the NRC needs to create an ecosystem that supports data science, assessment and 7

integration of emerging AI tools, and hands-on talent development for reviewing the use of AI in 8

NRC-regulated activities. To better understand how AI algorithms, models, and claims are 9

validated and tested, the NRC needs to undertake research to develop use cases with data 10 from various sources and in multiple forms. These use cases will help the staff gain AI expertise 11 that could be used in performing regulatory reviews or assessments for a wide range of 12 potential AI applications. In addition, the NRC will engage the nuclear industry to pursue 13 potential pilot studies and proofs of concept to serve as a foundation for reviewing the use of AI 14 in NRC-regulated activities. These pilots and proofs of concept will help in identifying challenges 15 associated with getting the AI applications through the AI framework.

16 17 The NRC will provide staff with access to AI tools, which are often software based. The NRC will 18 ensure it has access to training areas within applicable AI tools to allow the NRC staff to engage 19 in training exercises that mimic regulatory reviews of potential AI in NRC-regulated activities.

20 This will allow staff to identify and address potential gaps in future regulatory reviews.

21 22 For this goal, a successful outcome is one in which the NRC staff possesses an ecosystem that 23 supports AI analysis, integration of emerging AI tools, and hands-on talent development for 24 reviewing AI applications from the nuclear industry.

25

5-1 5 CONCLUSION 1

The NRC is committed to ensuring that the use of new technologies is safe and secure. New 2

technologies, like AI, have the potential to enhance the safety and security of nuclear facilities.

3 This AI Strategic Plan presents the vision and goals for the NRC to cultivate an AI-proficient 4

workforce, keep pace with AI technological innovations, and ensure the safe and secure use of 5

AI in NRC-regulated activities.

6

6-1 6 REFERENCES 1

2

[1] NRC, "U.S. Nuclear Regulatory Commission Strategic Plan: Fiscal Years 2022-2026,"

Washington, DC, NUREG-1614, Vol. 8, ML22067A170, 2022.

[2] 116th U.S. Congress, "H.R.6395 - National Defense Authorization Act for Fiscal Year 2021:

National Artificial Intelligence Initiative Act of 2020," 2021. [Online]. Available:

https://www.congress.gov/bill/116th-congress/house-bill/6395/text.

[3] NRC, "International Strategy: 2021-2025," Washington, DC, ML21236A120, https://www.nrc.gov/docs/ML2123/ML21236A120.pdf, 2021.

[4] NRC, "Information Technology and Information Management Strategic Plan: Fiscal Years 2020-2024," U.S. Nuclear Regulatory Commission, Washington, DC, NUREG-1908, Vol. 4, ML19323D858, https://www.nrc.gov/docs/ML1932/ML19323D858.pdf, 2019.

[5] O. Osagie, "medium.com," Medium, 21 February 2021. [Online]. Available:

https://medium.com/swlh/the-ai-hierarchy-of-needs-9b015d061f29. [Accessed January 2022].

[6] A. N. J. P. a. R. S. Andy Ho, "A Data Science Approach to Defining a Data Scientist," SMU Data Science Review, vol. 2, no. 3, 2019.

[7] NRC, "Exploring Advanced Computational Tools and Techniques with Artificial Intelligence and Machine Learning in Operating Nuclear Plants," U.S. Nuclear Regulatory Commission, Washington, DC, NUREG/CR-7294, ML22042A662, https://www.nrc.gov/docs/ML2204/ML22042A662.pdf, 2022.

[8] NRC, "Evidence Building Plan, Fiscal Year 2022," U.S. Nuclear Regulatory Commission, Rockville, MD, https://www.nrc.gov/docs/ML2206/ML22066B056.pdf, ML22066B056, 2022.

3

A-1 APPENDIX A GLOSSARY 1

ARTIFICIAL INTELLIGENCE (AI): The term AI refers to a machine-based system that can 2

go beyond defined results and scenarios and has the ability to emulate human-like 3

perception, cognition, planning, learning, communication, or physical action. For a given set 4

of human-defined objectives, AI can make predictions, recommendations, or decisions 5

influencing real or virtual environments. AI systems use machine-and human-based inputs 6

to perceive real and virtual environments, abstract such perceptions into models through 7

analysis in an automated manner, and use model inference to formulate options for 8

information or action (adapted from [1]).

9 AI APPLICATION: An AI application represents a use case, project, plan, or other topic area 10 that uses various AI technology and tools to conduct research and development or create a 11 production product, service, or goal.

12 AI TECHNOLOGY: AI technology represents the algorithms and methods that are used 13 within the available machine learning and AI software tool sets.

14 AI TOOLS: AI tools represent the computer software, code, information technology 15 infrastructure, and service provider utilities (e.g., Azure Cognitive Service, IBM Watson 16 Studio) that are used to facilitate AI applications.

17 DATA ARCHITECTURE: Data architecture is defined by where the data resides; how it is 18 collected, managed, secured, and accessed; and who has access to it. This architecture is 19 constructed using purpose-built repositories, tools, and techniques, and it is controlled 20 through the implementation of governance standards and policies.

21 DATA SCIENCE: Data science is a multidisciplinary field that involves computer 22 programming codes, such as Python and R; collaboration with other technical disciplines; 23 and communication using charts, graphs, or dashboards and by transforming data into 24 insights using techniques in statistics, analytics, and machine learning [2]. Data scientists 25 use computer programming languages, such as Python, to develop algorithms that classify, 26 predict, and suggest outcomes from data. In comparison, data analysts use historical data to 27 create visualizations and predictions using dashboard development tools, such as Tableau 28 and PowerBI.

29 DATA ANALYTICS: The goal of data analytics is to derive and effectively communicate 30 actionable insights from a vast quantity and variety of data. It covers a broad spectrum of 31 activities, including data management and quality, mathematical and statistical methods for 32 data modeling, and techniques for visualizing data in support of enterprise-wide 33 decisionmaking [2]. Data analysts use historical data to create visualizations and predictions 34 using dashboard development tools, such as Tableau and PowerBI. In comparison, data 35 scientists use computer programming languages, such as Python, to develop algorithms 36 that classify, predict, and suggest outcomes from data.

37 DEEP LEARNING: Deep learning is a subset of machine learning in which multilayered 38 neural networks, modeled to work like the human brain, learn from large amounts of data.

39 Within each layer of the neural network, deep learning algorithms perform calculations and 40 make predictions repeatedly, progressively learning and gradually improving the accuracy 41

A-2 of the outcome over time. Deep learning is differentiated in that it can ingest and process 1

unstructured, unlabeled data [3].

2 MACHINE LEARNING: Machine learning means an application of AI that is characterized by 3

providing systems with the ability to automatically learn and improve on the basis of data or 4

experience, without being explicitly programmed [1].

5 NATURAL LANGUAGE PROCESSING: Natural language processing is the use of 6

algorithms to determine properties of natural, human language so that computers can 7

understand what humans have written or said. It includes teaching computer systems how 8

to extract data from bodies of written text, translate from one language to another, and 9

recognize printed or handwritten words [4].

10 11 ROBOTIC PROCESS AUTOMATION: Robotic process automation is used for software 12 tools that partially or fully automate human activities that are manual, rule-based, and 13 repetitive. It works by replicating the actions of an actual human interacting with one or more 14 software applications to perform tasks such as entering data, processing standard 15 transactions, or responding to simple customer service queries [5].

16 17 USE CASE: A use case is a specific situation in which a product or service could potentially 18 be used.

19 20 REFERENCES 21

1. 116th U.S. Congress, "H.R.6395 - National Defense Authorization Act for Fiscal Year 2021:

22 National Artificial Intelligence Initiative Act of 2020," 2021. [Online]. Available:

23 https://www.congress.gov/bill/116th-congress/house-bill/6395/text.

24

2. North Carolina State University, "Institute for Advanced Analytics," [Online]. Available:

25 https://analytics.ncsu.edu/?page_id=2. [Accessed May 2022].

26

3. IBM, "What is Deep Learning?," [Online]. Available: https://www.ibm.com/cloud/learn/deep-27 learning. [Accessed May 2022].

28

4. DeepAI, "Machine Learning Glossary and Terms," [Online]. Available:

29 https://deepai.org/machine-learning-glossary-and-terms/natural-language-processing.

30

[Accessed May 2022].

31

5. Association for Intelligent Information Management, "What is Robotic Process Automation?,"

32

[Online]. Available: https://www.aiim.org/what-is-robotic-process-automation. [Accessed May 33 2022].

34

B-1 APPENDIX B USING ARTIFICIAL INTELLIGENCE TOOLS 1

TO ENHANCE NRC ACTIVITIES 2

The U.S. Nuclear Regulatory Commission (NRC) will also pursue internal opportunities for the 3

use of artificial intelligence (AI) tools for business process automation and knowledge mining.

4 The NRC continues to build a flexible, agile, and innovative information technology and 5

information management environment that is prepared for the rapid development of new 6

technologies and changes in the nuclear industry. Technological advances continue to change 7

the way the agency works and interacts with stakeholders. The increased use of data analytics, 8

cloud computing, and AI may improve efficiency and provide support for the workforce. These 9

activities increase dependency on a robust and resilient network and information technology 10 infrastructure. While AI Strategic Goals 4 and 5 principally support agency preparation for 11 external AI usage in NRC-regulated activities, Goals 4 and 5 may also benefit the agency in 12 preparing for internal agency AI usage. In conjunction with AI Strategic Goals 4 and 5, the NRC 13 will gain knowledge and expertise in a wide range of skills and capabilities such as artificial 14 intelligence and data literacy, to support expanding the use of data for decisionmaking in the 15 agency.

16 17 Several actions taken by Congress or executive branch agencies are prompting the NRC to 18 further consider the best way to strategically integrate AI technology into agency internal 19 processes and work products in addition to the regulatory oversight functions discussed in the 20 AI Strategic Plan. The AI Strategic Plan aligns with and supports the provisions of the following:

21 22 Administrative Conference of the United States, Statement #20, Agency Use of Artificial 23 Intelligence [1]

24 Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act) [2]

25 National Artificial Intelligence Initiative Act of 2020 [3]

26 Office of Management and Budget M-21-06, Guidance for Regulation of Artificial 27 Intelligence Applications, [4]

28 29 AI tools may be used to enhance internal NRC activities, which could better allocate agency 30 resources to higher value activities and emerging mission priorities. However, AI tools are highly 31 dependent on the quantity and quality of the data that support them. In carrying out the agencys 32 mission, the NRC captures, creates, manages, and uses data from a variety of sources and in a 33 variety of forms. These data inform the agencys operational and regulatory decisionmaking and 34 support all Federal reporting requirements. As part of the NRCs Information 35 Technology/Information Management Strategic Plan, the agency will provide future 36 enhancements to identify and collate data more effectively and efficiently [5].

37 38 The NRC has also developed an agency evidence-building plan, as required by the Evidence 39 Act, for identifying and addressing priority questions relevant to the agencys programs, policies, 40 and regulations [6]. As part of the evidence-building plan, the agency will identify what NRC 41 decisionmaking processes could benefit from AI tools and prioritize the data collections that 42 would have the most significant impact on agency decisionmaking, AI tool use, and stakeholder 43 use. By improving how the NRC collects data and information, AI tools can be used more 44 readily and potentially make decisionmaking more efficient. The evidence-building plan also 45 discusses how processes and procedures are vital to ensure consistency, clear expectations, 46

B-2 performance measurement, and established roles and responsibilities consistent with 1

established policy. As part of the evidence-building plan, the NRC will assess the agencys 2

processes to determine what improvements can be implemented to continue as a more modern, 3

risk informed regulator. When assessing processes for improvement, the NRC will include in its 4

assessment, potential ways AI tools could be incorporated into processes, as well as for 5

continuous process monitoring and optimization.

6 7

REFERENCES 8

1. Administrative Conference of the United States, "Agency Use of Artificial Intelligence," 2021.

9

[Online]. Available: https://www.acus.gov/research-projects/agency-use-artificial-intelligence.

10

2. 115th U.S. Congress, "H.R.4174 - Foundations for Evidence-Based Policymaking Act of 11 2018," 2021. [Online]. Available: https://www.congress.gov/bill/115th-congress/house-12 bill/4174/text.

13

3. 116th U.S. Congress, "H.R.6395 - National Defense Authorization Act for Fiscal Year 2021:

14 National Artificial Intelligence Initiative Act of 2020," 2021. [Online]. Available:

15 https://www.congress.gov/bill/116th-congress/house-bill/6395/text.

16

4. OMB, "Guidance for Regulation of Artificial Intelligence Applciations," Office of Management 17 and Budget, Washington, DC, https://www.whitehouse.gov/wp-content/uploads/2020/11/M-18 21-06.pdf, 2020.

19

5. NRC, "Information Technology and Information Management Strategic Plan: Fiscal Years 20 2020-2024," U.S. Nuclear Regulatory Commission, Washington, DC, NUREG-1908, Vol. 4, 21 ML19323D858, https://www.nrc.gov/docs/ML1932/ML19323D858.pdf, 2019.

22

6. NRC, "Evidence Building Plan, Fiscal Year 2022," U.S. Nuclear Regulatory Commission, 23 Rockville, MD, https://www.nrc.gov/docs/ML2206/ML22066B056.pdf, ML22066B056, 2022.

24

NUREG-2261 DRAFT M. Dennis, T. Lalain, L. Betancourt, A. Hathaway, R. Anzalone U.S. Nuclear Regulatory Commission 11555 Rockville Pike Rockville, MD 20852 Division of System Analysis Office of Nuclear Regulatory Research U.S. Nuclear Regulatory Commission Washington, DC 20555-0001 The U.S. Nuclear Regulatory Commission (NRC) recognizes that interest in artificial intelligence (AI) is growing rapidly in both the public and private sectors and anticipates increased use of AI in NRC-regulated activities. AI generally refers to a machine-based system that can and has the ability to emulate human-like perception, cognition, planning, learning, communication, or physical action. For a given set of human-defined objectives, AI can make predictions, recommendations, or decisions influencing real or virtual environments. The AI Strategic Plan focuses on a broad spectrum of sub-specialties (e.g., natural language processing, machine learning, deep learning, etc.) which could encompass various algorithms and application examples which the NRC has not previously reviewed and evaluated. Anticipating the industrys potential application of AI to NRC-regulated activities, the NRC has developed an AI Strategic Plan to ensure the agencys readiness to review such uses. The AI Strategic Plan includes five goals: (1) ensure NRC readiness for regulatory decisionmaking, (2) establish an organizational framework to review AI applications, (3) strengthen and expand AI partnerships, (4) cultivate an AI proficient workforce, and (5) pursue use cases to build an AI foundation across the NRC. The overall goal of this AI Strategic Plan is to ensure continued staff readiness to review and evaluate AI applications effectively and efficiently.

Artificial Intelligence, AI, Machine Learning, ML, Natural Language Processing, NLP, Robotic Process Automation, RPA, Strategic Plan June 2022 Technical Artificial Intelligence Strategic Plan Fiscal Years 2023-2027 Draft Report for Comment

NUREG-2261 Draft Artificial Intelligence Strategic Plan Fiscal Years 2023-2027 June 2022

Retrieved from "https://kanterella.com/w/index.php?title=NUREG-2261,_Dfc,_Artificial_Intelligence_Strategic_Plan_Fiscal_Years_2023-2027,_Draft_Report_for_Comment&oldid=3794329"