ML21300A284
| ML21300A284 | |
| Person / Time | |
|---|---|
| Issue date: | 10/31/2021 |
| From: | Couret I Office of Public Affairs |
| To: | |
| Malone, Tina | |
| Shared Package | |
| ML21300A234 | List:
|
| References | |
| NUREG-1350, Volume 33 | |
| Download: ML21300A284 (14) | |
Text
1 NRC: AN INDEPENDENT REGULATORY AGENCY
ABOUT THE NRC The U.S. Nuclear Regulatory Commission (NRC) is an independent agency created by Congress.
The NRC regulates the Nations civilian commercial, industrial, academic, and medical uses of nuclear materials.
The NRCs scope of responsibility includes regulating commercial nuclear power plants; nonpower production and utilization facilities including research and test reactors (RTRs); nuclear fuel cycle facilities; medical, academic, and industrial uses of radioactive materials; the decommissioning of licensed facilities and sites; and the transport, storage, and disposal of radioactive materials and wastes. The agency issues licenses for and oversees the use of radioactive materials and certifies nuclear reactor designs, spent fuel storage casks, and transportation packages. The agency also licenses the import and export of radioactive materials, and works closely with its international counterparts to enhance nuclear safety and security worldwide. To fulfill its responsibilities, the NRC performs five principal regulatory functions, as seen in Figure 1. How the NRC Regulates.
Figure 1. How the NRC Regulates How We Regulate 1 Regulations and Guidance
- Rulemaking
- Guidance Development
- Generic Communications
- Standards Development 4 Operational 5 Support for Decisions 2 Licensing,
- Research Activities Decommissioning, Experience and Certification
- Risk Assessment
- Events Assessment
- Performance Assessment
- Licensing
- Generic Issues
- Advisory Committee Activities
- Decommissioning
- Adjudication
- Certification 3 Oversight
- Inspection
- Assessment of Performance
- Enforcement
- Allegations
- Investigations
- Incident Response
- 1. Develop regulations and guidance for applicants and licensees.
- 2. License or certify applicants to use nuclear materials, operate nuclear facilities, and decommission facilities.
- 3. Inspect and assess licensee operations and facilities to ensure licensees comply with NRC requirements, respond to incidents, investigate allegations of wrongdoing, and take appropriate followup or enforcement actions when necessary.
- 4. Evaluate operational experience of licensed facilities and activities.
- 5. Conduct research, hold hearings, and obtain independent reviews to support regulatory decisions.
2 l NRC: AN INDEPENDENT REGULATORY AGENCY
MISSION STATEMENT The NRC licenses and regulates 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.
Vision Demonstrate the Principles of Good Regulation in performing the agencys mission.
To be successful, the NRC must not only excel in carrying out its mission but must do so in a manner that engenders the trust of the public and stakeholders. The Principles of Good Regulation independence, openness, efficiency, clarity, and reliabilityguide the agency. They affect how the NRC reaches decisions on safety, security, and the environment; how the NRC performs administrative tasks; and how its employees interact with each other as well as with external stakeholders. By adhering to these principles, the NRC maintains its regulatory competence, conveys that competence to stakeholders, and promotes trust in the agency. The agency puts these principles into practice with effective, realistic, and timely actions.
Principles of Good Regulation Independence: Nothing but the highest possible standards of ethical performance and professionalism should influence regulation.
Openness: Nuclear regulation is the publics business, and it must be transacted publicly and candidly.
Efficiency: The highest technical and managerial competence is required and must be a constant agency goal.
Clarity: Regulations should be coherent, logical, and practical. Agency positions should be readily understood and easily applied.
Reliability: Regulations should be based on the best available knowledge from research and operational experience.
Strategic Goals Safety: Ensure the safe use of radioactive materials.
Security: Ensure the secure use of radioactive materials.
Statutory Authority The Energy Reorganization Act of 1974 created the NRC from a portion of the former Atomic Energy Commission. The new agency was to independently overseebut not promotethe commercial nuclear industry so the United States could benefit from the use of radioactive materials while also protecting people and the environment. The agency began operations on January 18, 1975. The NRCs regulations can be found in Title 10, Energy, of the Code of Federal Regulations (10 CFR).
The principal statutory authorities that govern the NRCs work can be found on its Web site (see the Web Link Index for more information).
See the complete list of the NRCs authorizing legislation in Appendix W.
NRC: AN INDEPENDENT REGULATORY AGENCY l 3
The NRC, its licensees (those licensed by the NRC to use radioactive materials), and the Agreement States (States that assume regulatory authority over certain nuclear materials) share responsibility for protecting public health and safety and the environment. Federal regulations and the NRCs regulatory program play a key role. Ultimately, however, the licensees bear the primary responsibility for safely handling and using radioactive materials.
On September 28, 2018, the Nuclear Energy Innovation Capabilities Act of 2017 was signed into law. The Act requires the U.S. Department of Energy (DOE) and the NRC to enter into a memorandum of understanding (MOU) on certain topics related to advanced reactors and authorizes them to enter into an MOU on additional topics in this area. The NRC and DOE signed an MOU to implement provisions of the Act in October 2019.
On January 14, 2019, the Nuclear Energy Innovation and Modernization Act (NEIMA) was signed into law. NEIMAs provisions are varied and have impacts across the agency.
NEIMA has three stated objectives:
- 1. To provide a revised framework for fee recovery by the NRC to ensure the availability of resources to meet industry needs without burdening existing licensees unfairly for inaccurate workload projections or premature existing reactor closures.
- 2. To support the development of expertise and regulatory infrastructure necessary to allow innovation and the commercialization of advanced nuclear reactors.
- 3. To foster more efficient regulation of uranium recovery.
The NRC is in the process of implementing the various provisions of NEIMA. The agency has already submitted multiple reports to Congress establishing performance metrics and milestone schedules for requested activities of the Commission. The NRC is also taking actions related to the licensing process for commercial advanced reactors and research and test reactors. The NRC is committed to meeting the requirements of NEIMA and is working diligently to do so.
NRC regulations are contained in Title 10, Energy, of the Code of Federal Regulations, Chapter 1, Parts 1 to 199.
4 l NRC: AN INDEPENDENT REGULATORY AGENCY
MAJOR ACTIVITIES The NRC fulfills its responsibilities by doing the following:
licensing the design, and overseeing construction, operation, and decommissioning of commercial nuclear power plants and other nuclear facilities
licensing the possession, use, processing, handling, exporting, and importing of nuclear materials
establishing national policy and standards for the safe disposal of low-level radioactive waste
certifying the design, and overseeing construction, and operation of commercial transportation casks for radioactive materials and waste
licensing the design, and overseeing construction, and operation of spent fuel storage casks and interim storage facilities for spent fuel and high-level radioactive waste
licensing nuclear reactor operators
licensing uranium enrichment facilities
conducting research to support regulatory framework and to address potential reactor and other nuclear facility safety issues
collecting, analyzing, and disseminating information about the operation of commercial nuclear power reactors and certain nonreactor activities
issuing safety and security regulations, policies, goals, and orders that govern nuclear activities
interacting with other Federal agencies, foreign governments, and international organizations on safety, security, and nonproliferation issues
conducting investigations of alleged violations by NRC licensees that may result in criminal, civil, or administrative penalties
inspecting NRC licensees to ensure adequate performance of safety and security, programs
enforcing NRC regulations and the conditions of NRC licenses and imposing, when necessary, civil sanctions and penalties
conducting public hearings on nuclear and radiological safety, security, and environmental concerns
implementing international legal commitments made by the U.S. Government in treaties and conventions
developing working relationships with State and Tribal governments
maintaining an incident response program and overseeing required emergency response activities at NRC-licensed facilities
implementing lessons learned from the March 2011 nuclear accident in Japan to enhance safety at U.S. commercial nuclear facilities
transforming the agency one decision at a time into a modern, risk-informed regulator that promotes and embraces innovative approaches to achieve the agency mission (see Figure 2.
Transforming the NRC)
involving the public in the regulatory process through meetings, conferences, and workshops; providing opportunities for commenting on proposed new regulations, petitions, guidance documents, and technical reports; offering multiple ways to report safety concerns; and providing documents under the Freedom of Information Act and through the NRCs Web site (see Figure 3. A Typical Rulemaking Process)
engaging and informing the public through social media platforms and by providing interactive, high-value datasets (data in a form that allows members of the public to search, filter, or repackage information)
NRC: AN INDEPENDENT REGULATORY AGENCY l 5
TRANSFORMING THE NRC Figure 2. Transforming the NRC How is the NRC transforming into a modern, risk-informed regulator?
Be riskSMARTmaking sound decisions while accepting well-managed risks in decisionmaking.
Focus on Our Peoplemaintaining an engaged and highly skilled workforce now and in the future.
Innovatemaking timely decisions that take into account different viewpoints and fully explored options.
Use Technologyworking smarter, including using data analytics to highlight areas for regulatory attention and improvement.
The NRCs Transformation Journey Over the past several years, the NRC has been transforming to realize its vision of becoming a modern, risk-informed regulator and be in the best position to continue meeting its important safety and security mission well into the future. Transformation will help the agency keep pace with the highly dynamic, interconnected environment in which it operates and regulate an innovative industry that has new technologies. Transforming also provides the NRC an opportunity to re-evaluate the way it conducts business to streamline processes and procedures and maximize efficiencies to better serve the American public.
The NRCs transformation vision is supported by the four focus areas outlined above. Each of the four focus areas is supported by initiatives aimed at streamlining work processes, advancing the use of new information technology, systematizing the appropriate consideration of risk in decisionmaking and encouraging innovative solutions to agency challenges.
The NRC anticipates that the efficiencies gained by transformation will allow the staff to make more timely and better quality decisions vital for accomplishing the agencys safety and security mission.
As the agency continues its transformation journey, stakeholder engagement is important, and the agency is communicating its progress through public meetings and conferences, as well as through the NRC Web site. For more information on the agencys transformation journey, visit https://www.nrc.gov/about-nrc/plans-performance/modern-risk-informed-reg.html.
6 l NRC: AN INDEPENDENT REGULATORY AGENCY
A TYPICAL RULEMAKING PROCESS The process of developing regulations is called rulemaking. The NRC initiates a new rule or a change to an existing rule when there is a need to do so to protect public health and safety.
Additionally, any member of the public may petition the NRC to develop, change, or rescind a rule.
The Commission directs the staff to begin work on a new rulemaking activity through approval of a staff rulemaking plan.
Figure 3. A Typical Rulemaking Process A TYPICAL RULEMAKING PROCESS RULEMAKING TRIGGERS COMMISSION
- Congress/Executive order REVIEW AND APPROVAL OF
- Commission/EDO direction DRAFT FINAL
- Staff-identified need RULE
- Petition for rulemaking COMMISSION PUBLIC INVOLVEMENT/
- Commission issues REVIEW AND START STAKEHOLDER INPUT staff requirements APPROVAL OF RULEMAKING
- Advance notice of memorandum proposed rulemaking
- Staff resolves PLAN
- Regulatory basis Commission
- Preliminary proposed comments rule language
- Public meeting STAKEHOLDER INPUT STAFF EVALUATES PUBLIC COMMENTS PUBLISH FINAL RULE RULE TAKES
- Final environmental EFFECT PUBLISH PROPOSED assessment RULE FOR COMMENT
- Final regulatory
- Draft environmental analysis
- Final guidance RULE assessment COMPLIANCE
- Draft regulatory COMMISSION REVIEW AND APPROVAL OF DRAFT PROPOSED RULE DEADLINE analysis (cost-benefit)
- Commission issues staff
- Draft guidance requirements memorandum
- Public meeting
- Staff resolves Commission comments Regulatory Basis A regulatory basis document is an analysis that describes the technical, legal, and policy information that supports changes to the NRCs regulations. It describes why the current regulation needs to be updated, explains how a change in the regulations will resolve the problem, and discusses other regulatory options to potentially address the problem. It provides a high-level discussion of the costs and benefits of each option, and identifies any backfitting and forward fitting considerations. For each rulemaking, the NRC determines whether development of a regulatory basis is necessary based on the regulatory issues involved. If development of a regulatory basis is warranted, it is generally published for public comment. Any comments received on the regulatory basis would be considered in the development of the proposed rule.
NRC: AN INDEPENDENT REGULATORY AGENCY l 7
Proposed Rules Each proposed rule that involves significant matters of policy is sent to the NRC Commission for approval. Less significant rules may, with Commission approval, be signed by an NRC staff manager.
If approved, the proposed rule is published in the Federal Register and usually contains the following items:
the background information about the proposed rule
an address for submitting comments
the date by which comments must be submitted to ensure consideration by the NRC
an explanation indicating why the rule change is thought to be needed
the proposed text to be changed Usually, the public is given 30 to 90 days to provide written comments, although not all rules are issued for public comment. Generally, the agency does not collect comments on rules that concern agency organization, procedure, practice, or rules for which delaying their publication to receive comments would be contrary to the public interest and not practical.
Final Rules Once the public comment period has closed for the proposed rule, the staff analyzes the comments, makes any needed changes, and prepares a final rule for approval by the Commission or delegated NRC manager. Upon approval, the final rule is published in the Federal Register and usually becomes effective 30 days later.
Direct Final Rulemakings When appropriate, the NRC can shorten the traditional rulemaking process by using a direct final rulemaking process. This process is used only for regulatory changes that the NRC believes are noncontroversial. In a direct final rule, a companion proposed rule is published at the same time as the direct final rule. If there are no significant and adverse comments on the proposed rule, the direct final rule becomes effective. If there are significant and adverse comments, the direct final rule is withdrawn and the rulemaking proceeds as a typical final rule addressing public comment.
Advance Notice of Proposed Rulemaking For especially important or complex rules, the NRC may engage the public at the earliest stages of rulemaking to define the scope and content of the rule. One way of doing this is through an Advance Notice of Proposed Rulemaking. The notice requests public comment well in advance of the proposed rulemaking stage. The notice describes the need for the proposed action but discusses only broad concepts. The NRC may also conduct public meetings at this stage to gather direct input on the rulemaking.
Rulemaking Information The public can access a centralized, Web-based tracking and reporting system, which provides near-real-time updates on all NRC rulemaking activities on the NRC Web site at https://www.nrc.gov/
about-nrc/regulatory/rulemaking/rules-petitions.html.
8 l NRC: AN INDEPENDENT REGULATORY AGENCY
ORGANIZATIONS AND FUNCTIONS The NRCs Commission has five members nominated by the President of the United States and confirmed by the U.S. Senate for 5-year terms. The members terms are staggered so one Commissioners term expires on June 30 of each year. The President designates one member to serve as Chairman. The Chairman is the principal executive officer and spokesperson of the agency.
No more than three Commissioners can belong to the same political party. The Commission as a whole 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 4. NRC Organizational Chart).
Commissioner Term Expiration*
Christopher T. Hanson Jeff Baran David A. Wright Vacant Vacant Chairman June 30, 2023 June 30, 2025 June 30, 2022 June 30, 2026 June 30, 2024
- Commissioners listed by seniority.
The NRC is headquartered in Rockville, MD, and has four regional offices. They are located in King of Prussia, PA; Atlanta, GA; Lisle, IL; and Arlington, TX.
The NRCs corporate offices provide centrally managed activities necessary for agency programs to operate and achieve goals. Corporate support is needed for a successful regulatory program that include such as Administration, Office of General Council and Office of Chief Information Officer et. al. The NRC has the following major program offices:
The Office of Nuclear Reactor Regulation handles all licensing and inspection activities for existing nuclear power reactors and research and test reactors. It also oversees the design, siting, licensing, and construction of new commercial nuclear power reactors.
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 helps develop 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 regulates 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 low- and high-level radioactive waste and spent nuclear fuel. The office also works with other Federal agencies, States, and Tribal and local governments on regulatory matters.
The Office of Nuclear Security and Incident Response initiates and oversees 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.
NRC: AN INDEPENDENT REGULATORY AGENCY l 9
The NRC regional offices conduct inspections and investigations; take enforcement actions (in coordination with the Office of Enforcement); and maintain incident response programs for nuclear reactors, fuel facilities, and materials licensees. In addition, the regional offices carry out licensing for certain materials licensees (see Figure 5. NRC Regions).
The agency has two advisory committees, the Advisory Committee on Reactor Safeguards (ACRS) and the Advisory Committee on the Medical Uses of Isotopes (ACMUI), which are independent of the NRC staff. The ACRS reports directly to the Commission, which appoints its members. The advisory committees are structured to provide a forum where experts representing many technical perspectives can provide independent advice that is factored into the Commissions decision-making process. Most committee meetings are open to the public, and any member of the public may request an opportunity to make an oral statement during committee meetings.
NRC ORGANIZATION CHART Figure 4. NRC Organizational Chart The Commission Commissioner Commissioner Chairman Commissioner Commissioner Executive Director, General Counsel Advisory Committee Director, Office of Director, Office of on Reactor Safeguards Congressional Affairs Public Affairs Director, Office of International Programs Director, Office of Commission Appellate Adjudication Inspector General Secretary of the Commission Chief Administrative Judge (Chairman), Atomic Safety Chief Financial and Licensing Board Panel Office Executive Director for Operations Deputy Executive Director Deputy Executive Director for Materials, Waste, Assistant for for Reactor and Research, State, Tribal, Compliance, Operations Preparedness Programs Administration, and Human Capital Programs Regional Administrator Director, Office of Chief Information Region I Nuclear Regulatory Officer Research Regional Administrator Director, Office of Region II Director, Office of Small Business Enforcement and Civil Rights Regional Administrator Region III Director, Office of Nuclear Material Safety and Safeguards Regional Administrator Region IV Director, Office of Investigations Director, Office of Nuclear Security and Incident Response Director, Office of Administration Director, Office of Nuclear Reactor Chief Human Regulation Capital Officer Note: For the most recent information, go to the NRC Organization Chart at https://www.nrc.gov/about-nrc/organization.html.
10 l NRC: AN INDEPENDENT REGULATORY AGENCY
Figure 5. NRC Regions NRC REGIONS Region IV Region III Region I NRC Lisle NRC King of Prussia NRC HQ Rockville NRC Chattanooga Region II NRC Atlanta NRC Arlington Region I Region II Region III Region IV Technical Training Ctr.
King of Prussia, PA Atlanta, GA Lisle, IL Arlington, TX Chattanooga, TN Nuclear Power Plants
- Each regional office oversees the plants in its regionexcept for the Callaway plant in Missouri, which Region IV oversees.
Materials Licensees
- Region I oversees licensees and Federal facilities located in Region I and Region II.
- Region III oversees licensees and Federal facilities located in Region III.
- Region IV oversees licensees and Federal facilities located in Region IV.
Nuclear Fuel Processing Facilities
- Region II oversees all the fuel processing facilities in all regions.
- Region II also handles all construction inspection activities for new nuclear power plants and fuel cycle facilities in all regions.
NRC: AN INDEPENDENT REGULATORY AGENCY l 11
FISCAL YEAR 2021 BUDGET For fiscal year (FY) 2021 (October 1, 2020, through September 30, 2021), the NRCs budget is
$879 million. The NRC has 2,868 full-time equivalents (FTEs) in FY 2021; including the Office of the Inspector General (see Figure 6. NRC Total Authority, FYs 2011-2021). The Office of the Inspector General received its own appropriation of $13.5 million, which is included in the total NRC budget.
The breakdown of the budget is shown in Figure 7. NRC FY 2021 Distribution of Budget Authority; Recovery of Enacted NRC Budget. The Nuclear Energy Innovation and Modernization Act, known as NEIMA (Public Law 115-439), requires the NRC to recover, to the maximum extent practicable, approximately 100 percent of its total budget authority for a fiscal year, less the budget authority for excluded activities. The NRC collects fees each year by September 30 and transfers them to the U.S. Treasury. The agency estimates that it will recover $721.4 million in fees in FY 2021.
Figure 6. NRC Total NRC Authority, TotalFYs 2011-2021 FYs 2011-2021 Authority, 34 23 15 20 1,054 1,056 40 35 1,038 1,015 986 1,002 917 922 911 856 879 3,992 3,953 3,931 3,815 3,779 3,595 3,396 3,186 3,106 2,970 2,868 11 12 13 14 15 16 17 18 19 20 21 Total Authority Authorized Carryover Full-Time Dollars in Millions Dollars in Millions Equivalents (FTEs)
Note: Dollars are rounded to the nearest million.
12 l NRC: AN INDEPENDENT REGULATORY AGENCY
Figure 7. NRC FY 2021 Distribution of Budget Authority;
NRC FY2021Recovery Distribution of EnactedofBudgetBudget Authority; Recovery of Enacted Budget Nuclear Reactor Safety Program:
77% ($667.6 Million)
Nuclear Materials and Waste Safety Total Program: 21% ($182.3 Million)
Budget: University Nuclear Leadership Program Funded by Carryover: 1% ($16 Million)
$879 Inspector General: 1% ($13.5 Million)
Million Nuclear Reactor Safety Program 78% (2,220 FTEs)
Headquarters Nuclear Materials 74% (2,128 FTEs) Total FTE: and Waste Safety Program:
2,867 20% (584 FTEs)
Regions 26% (740 FTEs) Inspector General:
2% (63 FTEs)
Reactor Fees:
$661.3 Million Recovery Nuclear Materials Fees:
$60.1 Million of Enacted Budget Budget Not Recovered by Fees:
FY 2021 $123 Million Estimated Fees To Be Recovered*
by FY 2021: $721.4 Million
- Recovered fees do not include the use of prior-year carryover where fees were previously collected.
After Part 171 billing adjustments the amount to be recovered is $708 Million.
Notes: The NRC incorporates corporate and administrative costs proportionately within programs. Also, the spread of corporate FTE is included in Reactor and Material fees. Numbers may not add due to rounding.
Enacted budget for FY 2021. More budget information available in the Congressional Budget Justification at https://www.nrc.gov/reading-rm/doc-collections/nuregs/staff/sr1100.
NRC: AN INDEPENDENT REGULATORY AGENCY l 13
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