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TABLE OF CONTENTS 

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TABLE OF CONTENTS 

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CONTENTS

Executive Summary ............................................................................................................................................................... 1

Proposed FY 2014 Appropriations Legislation..................................................................................................................... 17

Salaries and Expenses............................................................................................................................................ 19

Office of the Inspector General............................................................................................................................. 19

Analysis of Proposed FY 2014 Appropriations Legislation..................................................................................... 19

Nuclear Reactor Safety ........................................................................................................................................................ 23

Program Resource Summary................................................................................................................................. 25

Operating Reactors................................................................................................................................................ 26

New Reactors ........................................................................................................................................................ 43

Nuclear Materials and Waste Safety ................................................................................................................................... 53

Program Resource Summary ................................................................................................................................. 56

Fuel Facilities ......................................................................................................................................................... 57

Nuclear Materials Users........................................................................................................................................ 68

Spent Fuel Storage and Transportation................................................................................................................. 79

Decommissioning and Low-Level Waste ............................................................................................................... 88

Performance Measurement ................................................................................................................................................ 97

Relating Goals to Resources.................................................................................................................................. 99

Safety Performance Measures............................................................................................................................ 100

Security Performance Measures ......................................................................................................................... 102

Data Collection Procedures for Verification and Validation of Performance Measures .................................... 104

Office of the Inspector General ......................................................................................................................................... 123

Program Resource Summary ............................................................................................................................... 126

Audits .................................................................................................................................................................. 126

Investigations ...................................................................................................................................................... 131

OIG Program Performance Measures ................................................................................................................. 139

Appendix I: Budget Authority by Function........................................................................................................................ 145

Appendix II: Corporate Support........................................................................................................................................ 149

Acquisitions ......................................................................................................................................................... 153

Administrative Services....................................................................................................................................... 154

Financial Management........................................................................................................................................ 155

Generic Homeland Security................................................................................................................................. 156

Human Resources Management......................................................................................................................... 157

Information Management................................................................................................................................... 159

Information Technology ...................................................................................................................................... 160

Outreach.............................................................................................................................................................. 162

Policy Support...................................................................................................................................................... 163

Appendix III: Reimbursable Work ...................................................................................................................................... 169

Appendix IV: Estimated Fee Recovery ............................................................................................................................... 173

Appendix V: Report on Drug Testing ................................................................................................................................. 177

Acronym List........................................................................................................................................................................ 181
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TABLES 

Total NRC Budget Authority by Appropriation ...................................................................................................................... 5

Budget Authority and Full Time Equivalents ......................................................................................................................... 6

Nuclear Reactor Safety .......................................................................................................................................................... 7

Nuclear Materials and Waste Safety ................................................................................................................................... 10

OIG Budget .......................................................................................................................................................................... 14

Nuclear Reactor Safety ........................................................................................................................................................ 25

Operating Reactors by Product Line .................................................................................................................................... 26

Operating Reactors Output Measures................................................................................................................................. 37

New Reactors by Product Line............................................................................................................................................. 43

New Reactors Output Measures.......................................................................................................................................... 50

Nuclear Materials and Waste Safety ................................................................................................................................... 56

Fuel Facilities by Product Line.............................................................................................................................................. 57

Fuel Facilities Output Measures .......................................................................................................................................... 65

Nuclear Materials Users by Product Line............................................................................................................................. 68

Nuclear Materials Users Output Measures ......................................................................................................................... 76

Spent Fuel Storage and Transportation by Product Line..................................................................................................... 79

Spent Fuel Storage and Transportation Output Measures.................................................................................................. 86

Decommissioning and Low-Level Waste by Product Line.................................................................................................... 88

Decommissioning and Low-Level Waste Output Measures ................................................................................................ 93

Alignment of Resources to NRC Goals............................................................................................................................... 100

Safety Performance Measures........................................................................................................................................... 100

Security Performance Measures........................................................................................................................................ 102

Goals, Performance Measures, and Programs Crosswalk-Safety ...................................................................................... 117

Goals, Performance Measures, and Programs Crosswalk-Security ................................................................................... 121

OIG Budget Overview ........................................................................................................................................................ 125

OIG Budget Authority and Full Time Equivalents .............................................................................................................. 126

Audits ............................................................................................................................................................................. 126

Investigations..................................................................................................................................................................... 131

OIG Program Performance Measures................................................................................................................................ 139

FY 2014 Office of the Inspector General Budget Resources Linked to Strategic Goals..................................................... 143

Allocation of Support Costs to OIG Programs.................................................................................................................... 144

Budget Authority by Function............................................................................................................................................ 147

Corporate Support by Business Line.................................................................................................................................. 151

Corporate Support Budget Authority and Full-Time Equivalents by Product Line ............................................................ 152

Corporate Support Output Measures................................................................................................................................ 164

Summary of Reimbursable Work....................................................................................................................................... 171

Estimated Fee Recovery .................................................................................................................................................... 175
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FIGURES

Figure 1. U.S. Operating Commercial Nuclear Power Reactors............................................................................................. 8

Figure 2. Agreement States ................................................................................................................................................. 11

Figure 3. Location of New Nuclear Power Reactors Applications........................................................................................ 44

Figure 4. Locations of Fuel Cycle Facilities........................................................................................................................... 57
 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page viii U.S. NUCLEAR REGULATORY COMMISSION
EXECUTIVE SUMMARY 

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EXECUTIVE SUMMARY 

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EXECUTIVE SUMMARY

The mission of the U.S. Nuclear Regulatory Commission is to license and regulate the Nation’s civilian use of 

byproduct, source, and special nuclear materials to ensure adequate protection of public health and safety, 

promote the common defense and security, and protect the environment. 

The U.S. Nuclear Regulatory Commission (NRC) is an independent Federal agency established to 

license and regulate the Nation’s civilian use of byproduct, source, and special nuclear materials (SNM) 

to ensure adequate protection of public health and safety, promote the common defense and security, 

and protect the environment. The NRC has formulated its fiscal year (FY) 2014 Congressional Budget 

Justification to support the agency’s Safety and Security strategic goals and objectives.

The NRC’s Safety goal is to ensure adequate protection of public health and safety and the 

environment. The agency’s safety program outcomes are to prevent the occurrence of any nuclear 

reactor accidents, inadvertent criticality events, acute radiation exposures, or significant releases of 

radioactive materials. The Security goal is to ensure the secure use and management of radioactive 

materials. The security program outcomes are to prevent any instances in which licensed radioactive 

materials are used in a hostile manner in the United States and prevent unauthorized public disclosures 

of classified or safeguards information through quality measures.

The NRC’s critical functions are to ensure the safe and secure use of byproduct, source, and SNM in 

the United States and to protect both the public and workers from radiation hazards that could result 

from the use of radioactive materials. The NRC’s principal regulatory functions are to establish 

regulatory requirements and conduct confirmatory research to support requirements; issue licenses to 

facility owners, possessors, and users of nuclear materials; inspect these licensees to ensure they are 

in compliance with NRC requirements and that they operate safely and securely; and take appropriate 

enforcement action for violations of regulatory requirements. 

Following the Fukushima Dai-ichi 

accident, the NRC established a task 

force (Near-Term Task Force, or 

NTTF) to conduct a systematic and 

methodical review of the NRC’s 

processes and regulations to 

determine whether the agency should 

make additional improvements to its 

regulatory system and to make 

recommendations to the Commission 

for its policy direction. The NTTF 

identified near-term actions that the 

agency should consider to enhance 

safety. In FY 2014, the NRC will 

conduct Commission-approved 

activities associated with the near-term 

recommendations, as well as 

evaluating safety improvements 

identified as part of the longer term effort. 

The NRC regulates every aspect of the civilian use of nuclear materials, from the processing of uranium 

ore to the disposal of radioactive waste. This includes all the steps and the facilities involved in the 
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nuclear fuel cycle: (1) extraction of the uranium from ore, (2) conversion of the uranium into a form 

suitable for enrichment, (3) enrichment of the uranium to a level and type suitable for nuclear fuel, and 

(4) fabrication of the enriched uranium into fuel assemblies for use in reactors. The fuel assemblies are 

used in nuclear reactors; when they are no longer efficient for reactor operations, they are removed 

from the reactors and stored as waste. 

Since October 2007, the NRC has received 18 applications (including Watts Bar, Unit 2) to construct 

and operate new nuclear power reactors. Five different reactor designs are referenced in these 

applications. The NRC has issued two design certifications (DCs) and is currently reviewing three 

design applications for certification. Approved DCs reduce the time required to approve a power 

reactor license application when a previously certified reactor design is used. If and when new power 

reactors are brought on line, they will substantially increase U.S. electrical generating capacity. The 

resurgence of interest in the construction of new nuclear power plants also has resulted in applications 

to construct and operate facilities for the manufacturing of nuclear fuel (e.g., uranium milling and 

enrichment). The NRC will perform safety, security, and environmental reviews of enrichment facilities, 

a uranium deconversion facility, and uranium recovery facilities.

The NRC ensures safety and security by licensing and overseeing nuclear waste and spent fuel 

storage facilities, certifying storage and transportation containers, and responding to events, as well as 

through decontamination and decommissioning activities. Additionally, security plans, emergency 

preparedness, and security testing are a major part of the licensing, oversight, and other regulatory 

activities that provide high assurance of physical security for nuclear facilities and materials. The NRC 

further enhances its regulatory program through coordination and cooperation with other Federal 

agencies, States, and international organizations and governments.
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OVERVIEW OF THE FY 2014 NRC CONGRESSIONAL BUDGET JUSTIFICATION 

The NRC’s FY 2014 Congressional Budget Justification provides the necessary resources for the 

Nuclear Reactor Safety and Nuclear Materials and Waste Safety Programs to carry out the agency’s 

mission and to achieve the stated goals and desired outcomes for the American public. The NRC’s 

proposed FY 2014 budget is $1,055.0 million, including 3,919 full-time equivalents (FTE), which 

represents an increase of $16.9 million, including a decrease of 57 FTE, when compared with the 

FY 2012 enacted budget.

The Nuclear Reactor Safety Program increases by $12.3 million, including a decrease of 40 FTE; the 

Nuclear Materials and Waste Safety Program increases by $4.4 million, including a decrease of 11 FTE, 

when the FY 2014 request is compared with the FY 2012 enacted budget. Collectively, the Nuclear 

Reactor Safety and Nuclear Materials and Waste Safety Programs have an overall funding increase of 

$16.7 million, including a decrease of 51 FTE, when compared with the FY 2012 enacted budget.

The Office of the Inspector General’s (OIG’s) component of the FY 2014 proposed budget is 

$11.1 million, and it includes resources to carry out its mission to independently and objectively 

conduct audits and investigations to ensure the efficiency and integrity of NRC programs and 

operations and to promote cost-effective management.

Under the provisions of the Omnibus Budget Reconciliation Act of 1990, as amended, the NRC’s 

FY 2014 budget provides for 90-percent fee recovery, less the amounts appropriated for (1) Waste 

Incidental to Reprocessing Activities under Section 3116 of the Ronald W. Reagan National Defense 

Authorization Act for Fiscal Year 2005 and (2) generic homeland security activities.

Total NRC Budget Authority by Appropriation

(Dollars in Millions)

FY 2012

Enacted

*FY 2013

Annualized 

CR

FY 2014

Request

Delta

FY 2014–FY 

2012

NRC Appropriations $M $M $M $M

Salaries and Expenses (S&E)

Budget Authority 1,027.2 1,033.0 1043.9 16.7

Offsetting Fees 899.7 905.0 920.7 21.0

Net Appropriated S&E 127.5 128.0 123.2 (4.3)

Office of the Inspector General

Budget Authority 10.9 11.0 11.1 0.2

Offsetting Fees 9.8 10.0 10.0 0.2

Net Appropriated OIG 1.1 1.0 1.1 0.0

Total NRC ($M)

Budget Authority 1,038.1 1,043.0 1,055.0 16.9

Offsetting Fees 909.5 915.0 930.7 21.2

Total Net Appropriated $128.6 129.0 $124.3 ($4.3)

(Numbers may not add due to rounding. *FY 2013 Annualized CR is estimated based on OMB MAX which is rounded)
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Budget Authority and Full-Time Equivalents

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Major Programs $M FTE $M FTE $M FTE

Operating Reactors 534.7 2,100.4 571.9 2,120.0 37.2 19.6 

New Reactors 265.4 924.6 240.5 865.5 (24.9) (59.1)

Nuclear Reactor Safety 

Subtotal $800.1 3,025.0 $812.4 2,985.5 $12.3 (39.6)

Fuel Facilities 56.1 228.4 60.2 237.7 4.1 9.3 

Nuclear Materials Users 93.0 344.7 86.9 318.7 (6.1) (25.9)

Spent Fuel Storage and 

Transportation 40.8 155.1 45.4 160.7 4.6 5.6 

Decommissioning and 

Low-Level Waste (LLW) 37.3 142.1 39.0 142.1 1.8 (0.0)

Nuclear Materials and 

Waste Safety Subtotal $227.1 870.4 $231.5 859.2 $4.4 (11.1)

Inspector General 10.9 58.0 11.1 58.0 0.2 0.0 

Subtotal $10.9 58.0 $11.1 58.0 $0.2 0.0 

Reimbursable FTE 22.9 16.4 (6.5)

Total $1,038.1 3,976.3 $1,055.0 3,919.1* $ 16.9 (57.2)

Numbers may not add due to rounding.

*The total FTE reported in this document is correct whereas the FTE total for FY 2014 shown in the President’s Budget Appendix reflects an NRC 

data entry error that does not include the reimbursable FTE.

Accordingly, $930.7 million of the FY 2014 budget will be recovered from fees assessed to NRC 

licensees. This will result in a net appropriation of $124.3 million, which is a decrease of $4.3 million in 

net appropriations when compared with the FY 2012 enacted budget. In accordance with the 

requirements in Section 51.2 of the Office of Management and Budget (OMB) Circular A-11, 

“Requirements for Program Justification,” the NRC is providing the full cost of its programs.

The NRC’s FY 2014 budget request includes a 1-percent provisional estimate of the pay raise for 

January 2014. The FY 2014 budget contains FTE savings in office support functional areas of 

administrative services, human resources, information management, information technology (IT), and 

financial management (including contract management). The FTE savings are possible because the 

NRC is implementing cost-conscious business solutions to eliminate duplicative processes in agency 

support functions. 
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NUCLEAR REACTOR SAFETY 

Nuclear Reactor Safety

(Dollars in Millions)

FY 2012 

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Business Line $M FTE $M FTE $M FTE

Operating 

Reactors 534.7 2,100.4 571.9 2,120.0 37.2 19.6 

New Reactors 265.4 924.6 240.5 865.5 (24.9) (59.1)

Total $800.1 3,025.0 $812.4 2,985.5 $12.3 (39.6)

Numbers may not add due to rounding.

The Nuclear Reactor Safety Program encompasses the NRC’s efforts to license, regulate, and oversee 

civilian nuclear power, research and test reactors in a manner that adequately protects public health 

and safety and the environment. This program also provides high assurance of the physical security of 

facilities and protection against radiological sabotage. This program contributes to the NRC’s Safety 

and Security goals through the activities of the Operating Reactors and New Reactors Business Lines 

that regulate existing and new nuclear reactors to ensure their safe operation and physical security.

Overall resources requested in the FY 2014 budget for the Nuclear Reactor Safety Program are 

$812.4 million, including 2,985.5 FTE. This funding level represents an overall increase of 

$12.3 million, including a decrease of 39.6 FTE, when compared with the FY 2012 enacted budget.

An explanation of the changes between the FY 2014 and FY 2012 enacted budget levels is provided in 

the program chapters of this budget for each business line.

OPERATING REACTORS 

The Operating Reactors Business Line supports the licensing, oversight, rulemaking, international 

activities, research, generic homeland security, and event response associated with the safe and 

secure operation of 104 civilian nuclear power reactors and 31 research and test reactors (RTRs). The 

FY 2014 budget request for Operating Reactors is $571.9 million, including 2,120 FTE. This funding 

level represents an overall increase of $37.2 million, including 19.6 FTE, when compared with the 

FY 2012 enacted budget. Resources increased to support the implementation of the Fukushima 

Near-Term Task Force (NTTF) recommendations that included a shift from New Reactors to Operating 

Reactors. Other increases support National Fire Protection Association Standard 805 (NFPA 804) 

license amendment request (LAR) reviews, license renewals, implementation of the congressionally 

mandated Force-on-Force program, replacement of the agency’s Reactor Program System, and 

Commission-directed medium priority rules. The major activities that the requested resources will 

support include the following: 
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• Continue implementation and review of Fukushima NTTF recommendations for Tier 1, 2, and 3.

• Complete 900 licensing actions (200 Fukushima-related), including reviewing approximately 11 

extended power uprates and approximately 22 National Fire Protection Agency Standard 805 

ongoing reviews.

• Complete 500 other licensing tasks and related activities, including assistance to the regions, 

interactions with vendors, industry and owners’ groups, and 20 technical topical report reviews 

that resolve generic issues and reduce the topical reports backlog.

• Continue inspection activities for the 104 operating nuclear power plants.
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• Conduct 14 active high-priority rulemakings (including 3 high-priority rulemakings related to the 

Fukushima event), review an estimated 22 active petitions for rulemaking (PRM), and close 8 

PRMs. Develop regulatory bases activities and regulatory analysis guidance updates, and 

support rulemaking infrastructure.

• Support the replenishment of potassium iodide tablets in States where they are due to expire in 

FY 2013.

• Conduct research associated with digital instrumentation and control systems and electrical 

research.

• Evaluate areas of steam generator tube integrity to include (1) inspection reliability, (2) inservice 

inspection technology effectiveness, and (3) steam generator tube corrosion and degradation 

evaluation.

• Conduct research on irradiation-assisted corrosion cracking to shorten the amount of time 

required to obtain all necessary data and to support long-term operation efforts.

• Conduct research on materials degradation, particularly as it relates to license renewal.

• Develop implementation strategy for use of probabilistic risk-assessment tools to support the 

Reactor Oversight Process and other risk-informed agency decision processes.

NEW REACTORS

The New Reactors Business Line supports the licensing, oversight, rulemaking, international activities, 

and research associated with the safe and secure development of new power reactors from design, site 

approval, and construction to operational status. The FY 2014 budget request for New Reactors is 

$240.5 million, including 865.5 FTE. This funding level represents an overall decrease of $24.9 million, 

including 59.1 FTE, when compared with the FY 2012 enacted budget. The decrease is primarily due to 

a shift in resources from the New Reactor Business Line Licensing to the Operating Reactor Business 

Line to support Fukushima NTTF, and, reduced activity related to combined operating licenses (COLs) 

and DCs as the result of improved projections based on historical workload data. The major activities 

that the requested resources will support include the following: 

• Provide licensing and hearing support for eight COLs) under Title 10 of the Code of Federal 

Regulations (10 CFR) Part 52, “Licensing, Certifications, and Approvals for Nuclear Power 

Plants,” licensing reviews for Watts Bar, Unit 2, and Bellefonte under 10 CFR Part 50, 

“Domestic Licensing of Production and Utilization Facilities.” 

• Complete the review of two DCs, continue review of one DC and one DC renewal, and start the 

review of one DC renewal and two small modular reactors.

• Continue review of two large, light-water reactors and begin the review of one advanced reactor 

early site permit (ESP).

• Continue advanced reactor pre-application activity for one construction permit, two DCs, and for 

one ESP application.

• Continue work to address the impact of findings from the Fukushima NTTF recommendations 

for new reactor designs.

• Continue oversight activities at six reactors under construction. 

• Provide support to mitigate schedule impacts to multiple COL applications by ensuring the 

availability of staff support for mandatory hearings.

• Provide support for inspections and for the closure of Inspections, Tests, Analyses, and 

Acceptance Criteria closure.
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NUCLEAR MATERIALS AND WASTE SAFETY 

Nuclear Materials and Waste Safety 

(Dollars in Millions)

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Business Line $M FTE $M FTE $M FTE

Fuel Facilities 56.1 228.4 60.2 237.7 4.1 9.3 

Nuclear Materials Users 93.0 344.7 86.9 318.7 (6.1) (25.9)

Spent Fuel Storage and 

Transportation 40.8 155.1 45.4 160.7 4.6 5.6 

Decommissioning and LLW 37.3 142.1 39.0 142.1 1.8 (0.0)

Total $227.1 870.4 $231.5 859.2 $4.4 (11.1)

Numbers may not add due to rounding.

The Nuclear Materials and Waste Safety Program encompasses the NRC’s effort to license, regulate, and 

oversee nuclear materials and waste in a manner that adequately protects public health and safety and the 

environment. This program provides high assurance of physical security of the most risk-significant 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; nuclear fuel research and pilot facilities; 

nuclear materials users (medical, industrial, research, and academic); spent fuel storage; spent fuel storage 

casks and transportation packaging; decontamination and decommissioning of facilities; and low-level and 

high-level radioactive waste. The program contributes to the NRC’s Safety and Security goals through the 

activities of the Fuel Facilities, Nuclear Materials Users, Spent Fuel Storage and Transportation, and 

Decommissioning and Low-Level Waste Business Lines regulating byproduct, source, and SNM.

Overall resources requested in the FY 2014 budget for the Nuclear Materials and Waste Safety 

Program are $231.5 million, including 859.2 FTE. This funding level represents an overall increase of 

$4.4 million, including a decrease of 11.1 FTE, when compared with the FY 2012 enacted budget.

FUEL FACILITIES

The Fuel Facilities Business Line supports licensing, oversight, rulemaking, international activities, 

research, generic homeland security, and event response associated with the safe and secure 

operation of various operating and new fuel facilities, such as conversion, enrichment, fuel fabrication 

facilities, and nuclear fuel research facilities. The FY 2014 budget request for Fuel Facilities is 

$60.2 million, including 237.7 FTE. This funding level represents an overall increase of $4.1 million, 

including 9.3 FTE, when compared with the FY 2012 enacted budget. The major activities that the 

requested resources will support include the following: 

• Conduct licensing actions for 14 major fuel cycle facilities and 17 minor facilities licensees under 

10 CFR Part 70. Provide inspection oversight for approximately 8 existing facilities and 4 new 

facilities either under construction or operation. Complete approximately 80 new licenses, 

license renewals, license amendments, and safety and safeguard reviews for fuel cycle facilities 

annually.
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• Review license amendments for AREVA Eagle Rock Enrichment Facility (AREVA), General 

Electric-Hitachi Laser Enrichment Facility (GE-Hitachi), and International Isotopes Deconversion 

Facility (INIS) before initial operations.

• Conduct inspection efforts for new facilities at the Mixed-Oxide Fuel Fabrication Facility, 

AREVA, GE-Hitachi, and INIS.

• Develop and test a risk-informed Fuel Cycle Oversight Process to enhance the oversight 

infrastructure development.

• Engage in rulemaking activities related to security at fuel facilities 

NUCLEAR MATERIALS USERS 

The Nuclear Materials Users Business Line supports the licensing; oversight; rulemaking; international 

activities; research; generic homeland security; event response; and State, Tribal, and Federal Program 

activities associated with the safe and secure possession, processing, handling, and use of nuclear 

materials for the many and diverse uses of these materials. The FY 2014 budget request for Nuclear 

Materials Users is $86.9 million, including 318.7 FTE. This funding level represents an overall 

decrease of $6.1 million, including 25.9 FTE, when compared with the FY 2012 enacted budget. The 

major activities that the requested resources will support include the following:

• Conduct licensing, inspection, event evaluation, research, incident response, allegation, 

enforcement, import and export authorizations, rulemaking activities, and major IT systems to 

maintain the regulatory safety and security infrastructure needed to process and handle nuclear 

materials.

• Complete approximately 2,300 materials licensing actions and 1,000 routine health and safety 

inspections and conduct security inspections of Agreement State licensees.

• Continue work on approximately four to six materials rulemakings.
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• Continue development of the Integrated Source Management Portfolio to integrate the three 

systems that license and track sources and radioactive materials under one management 

mechanism. This development effort is vital to forming a comprehensive national materials 

license repository.

• Conduct materials oversight for Agreement States, including program reviews, technical 

assistance, regulatory development, and cooperative efforts. Funds also provide for Agreement 

State staff training and travel.

SPENT FUEL STORAGE AND TRANSPORTATION

The Spent Fuel Storage and Transportation Business Line supports the licensing, oversight, 

rulemaking, international activities, research, and generic homeland security associated with the safe 

and secure storage and transportation of spent nuclear fuel (SNF). The FY 2014 budget request for 

Spent Fuel Storage and Transportation is $45.4 million, including 160.7 FTE. This funding level 

represents an overall increase of $4.6 million, including 5.6 FTE, when compared with the FY 2012 

enacted budget. The major activities that the requested resources will support include:

• Conduct safety inspections of transportation packages, storage cask vendors and fabricators, 

independent spent fuel storage installation (ISFSI) operations, security inspections of SNF 

ISFSIs, and transportation and route surveys.

• Participate in a U.S. cask demonstration and monitoring program of extended dry cask storage 

with high-burnup fuel and perform a security assessment scoping study to identify additional 

regulatory and technical needs for an extended storage and transportation security framework.

• Develop an environmental impact statement (EIS) to support a revised Waste Confidence 

decision rule. This EIS will address the Court decision to vacate the Waste Confidence decision 

and rule.

• Continue research on technical issues associated with very long-term dry spent fuel storage; 

such as concrete degradation; weld corrosion; impacts of high-burnup and mixed-oxide fuels; 

climate change effects on cask performance; transportability of fuel after long-term storage; and 

the need for an improved hazards assessment, including the potential impact of long-term 

storage on eventual disposal. 

• Perform analysis, data collection, and modeling for future alternate strategies for disposal of 

spent fuel and high-level waste, including laboratory studies and field investigations needed to 

understand key technical issues and risk insights, technical inputs to resolve regulatory gaps, 

use of a performance assessment scoping tool for risk insights, and continued coordination of 

alternative disposal strategies with other aspects of the back end of the fuel cycle.

• Monitor national level developments stemming from the January 2012 report of the Blue Ribbon 

Commission on America’s Nuclear Future and the Department of Energy response.

DECOMMISSIONING AND LOW-LEVEL WASTE 

The Decommissioning and Low-Level Waste Business Line supports the licensing, oversight, 

rulemaking, international activities, and research associated with the safe and secure operation of 

uranium recovery facilities, removal of a nuclear facility from service and reduction of residual 

radioactivity to a level that permits termination of the NRC license, and the disposition of low-level 

radioactive waste from all civilian sources. The FY 2014 budget request for Decommissioning and 

Low-Level Waste is $39.0 million, including 142.1 FTE. This funding level represents an overall 
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increase of $1.8 million, and the FTE remains level, when compared with the FY 2012 enacted budget. 

The major activities that the requested resources will support include the following:

• Support project management, financial, technical, safety, and environmental reviews for the 

licensing of new and existing uranium recovery facilities; the decommissioning of power 

reactors, RTRs, complex materials sites, and inactive uranium recovery facilities; and interfaces 

with licensees, applicants, Federal and State agencies, the public, other stakeholders, and 

Native American Tribal Governments. 

• Monitor certain DOE waste determination activities and plans consistent with the NRC’s 

responsibilities in the Ronald Reagan National Defense Authorization Act for Fiscal Year 2005. 

This Act requires DOE to consult with the NRC on its waste incidental to reprocessing 

determinations for facilities in South Carolina and Idaho, as well as the NRC’s monitoring 

activities at those sites.

• Regulate and oversee LLW activities, including interactions with, and technical assistance to, 

DOE and the States on LLW regulatory issues.

• Provide analytical assistance on complex licensing cases, such as application of codes for 

decommissioning reviews and site cleanup at sites with uranium contamination and in situ 

uranium recovery facilities.
EXECUTIVE SUMMARY 

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OFFICE OF THE INSPECTOR GENERAL 

OFFICE OF THE INSPECTOR GENERAL GOALS

In accordance with the Inspector General Act of 1978, as amended, the Office of the Inspector 

General’s (OIG’s) mission is to (1) independently and objectively conduct and supervise audits and 

investigations related to NRC programs and operations, (2) prevent and detect fraud, waste, and 

abuse, and (3) promote economy, efficiency, and effectiveness in NRC programs and operations. The 

OIG carries out its mission through its Audits and Investigations Programs. The NRC OIG Strategic 

Plan will be updated; however, it currently features the following three strategic goals that guide the 

activities of its Audits and Investigations Programs and generally align with the agency’s mission: 

• Strengthen the NRC’s efforts to protect public health and safety and the environment. 

• Enhance the NRC’s efforts to increase security in response to an evolving threat environment. 

• Increase the economy, efficiency, and effectiveness with which the NRC manages and 

exercises stewardship over its resources. 

Budget Authority by Program

FY 2012 Enacted FY 2014 Request Delta FY 2014–FY 

2012

Summary $M FTE $M FTE $M FTE

Program Support 1.276 1.245 (0.031)

Program Salaries and 

Benefits 9.584 58 9.860 58 0.276

Total $10.860 58 $11.105 58 $0.245 0

Numbers may not add due to rounding.

OIG’s proposed FY 2014 budget is $11.105 million, including 58 FTE staff. In accordance with OMB 

requirements, OIG is providing the full cost of its programs, in that the budget identifies OIG’s 

management and operational support costs and distributes these costs proportionately to the Audits 

and Investigations Programs.
EXECUTIVE SUMMARY 

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AUDITS PROGRAM 

With these resources, the Audits Program will conduct approximately 22 audits and evaluations. For 

FY 2014, the Audits Program will focus on agency programs involving the major management 

challenges and risk areas facing the NRC to include those agency programs concerning new reactors 

and spent fuel storage and transportation. Areas for OIG audit emphasis in FY 2014 include the 

following: 

• NRC oversight of operating reactors and the licensing and construction of new and advanced 

reactors. 

• NRC oversight of the safety of nuclear materials. 

• NRC oversight of licensee security programs and management of internal NRC security.

• NRC oversight of the interim storage of HLW, increased quantities of spent fuel at reactor sites, and 

the safe management of civilian LLW disposal. 

OIG also will conduct other performance audits to review the NRC’s administrative and program 

operations, to evaluate the effectiveness and efficiency with which management responsibilities are 

carried out, and to determine whether the programs are achieving their intended results. Financial 

audits also will be conducted to attest to the reasonableness of the NRC’s financial statements and to 

evaluate the agency’s financial programs. 

INVESTIGATIONS PROGRAM

The Investigations Program will initiate approximately 60 investigations and event inquiries. Areas for 

OIG investigative emphasis in FY 2014 include the following: 

• Monitor NRC activities and gather stakeholder information to identify potential gaps in the agency’s 

regulatory oversight. 

• Review NRC and licensee reports and engage interested stakeholders to identify issues of concern 

in the NRC’s oversight of nuclear material held by its licensees. 

• Examine the effectiveness of NRC efforts to address stakeholders’ concerns about LLW and HLW 

storage issues. 

• Address NRC’s efforts to oversee licensee responsibilities in effectively securing licensed facilities 

and nuclear materials. 

• Investigate internal and external cyber breaches of the NRC’s IT infrastructure.

• Examine allegations of misuse of the NRC’s corporate resources pertaining to human resources, 

procurement, financial management, and IT. 

Proactive investigations are also conducted when indications are raised about potential systematic 

violations, such as theft of Government property or contract fraud. In addition, OIG periodically conducts 

event inquiries to identify staff actions that may have contributed to the occurrence of an event.
 

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PROPOSED FY 2014 APPROPRIATIONS LEGISLATION 

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PROPOSED FY 2014 APPROPRIATIONS LEGISLATION 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 19 U.S. NUCLEAR REGULATORY COMMISSION

Proposed FY 2014 Appropriations Legislation

The NRC’s proposed appropriations legislation for FY 2014 is as follows:

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the purposes of the Energy Reorganization 

Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $25,000), $1,043,937,000, to remain available until expended: 

Provided, That revenues from licensing fees, inspection services, and other services and collections 

estimated at $920,721,000, in FY 2014 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 

FY 2014 so as to result in a final FY 2014 appropriation estimated at not more than $123,216,000.

OFFICE OF THE INSPECTOR GENERAL

For necessary expenses of the Office of the Inspector General in carrying out the provisions of the 

Inspector General Act of 1978, as amended, $11,105,000, to remain available until September 30, 

2015: Provided, That revenues from licensing fees, inspection services, and other services and 

collections estimated at $9,994,000, in FY 2014 shall be retained and be available until September 30, 

2015, for necessary salaries and expenses in this account, notwithstanding 31 U.S.C. 3302: Provided 

further, That the sum herein appropriated shall be reduced by the amount of revenues received during 

FY 2014 so as to result in a final FY 2014 appropriation estimated at not more than $1,111,000.

ANALYSIS OF PROPOSED FY 2014 APPROPRIATIONS LEGISLATION

The analysis of the NRC’s proposed appropriations legislation for FY 2014 is as follows:

SALARIES AND EXPENSES

1. FOR NECESSARY EXPENSES OF THE COMMISSION IN CARRYING OUT THE PURPOSES OF THE ENERGY

REORGANIZATION ACT OF 1974, AS AMENDED, AND THE ATOMIC ENERGY ACT OF 1954, AS AMENDED:

42 U.S.C. 5841 et seq.

The NRC was established by the Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 et 

seq.). This act abolished the Atomic Energy Commission (AEC) and transferred to the NRC all of the 

AEC’s 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 U.S.C. 2011 et seq.).
PROPOSED FY 2014 APPROPRIATIONS LEGISLATION 

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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 REMAINAVAILABLE UNTIL EXPENDED:

31 U.S.C. 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.

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 of 1952, the NRC is authorized to collect 

license fees. Pursuant to 31 U.S.C. 9701, any person who receives a service or thing of value from the 

Commission shall pay fees to cover the NRC’s cost in providing such service or thing of value.

Pursuant to 42 U.S.C. 2214, the NRC is required to assess and collect 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 amendments to 42 U.S.C. 2214, enacted in the Energy Policy Act of 2005, and this 

appropriations request, the aggregate annual amount of such charges shall approximate 90 percent of 

the Commission’s budget authority, less amounts appropriated to the Commission to implement 

Section 3116 of the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005 and 

amounts appropriated to the Commission for generic homeland security activities.

Section 3116 of the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005, Public 

Law (P.L.) 108-375, assigns new responsibilities to NRC for waste determinations and monitoring of 

waste disposal actions for material stored at the U.S. Department of Energy (DOE) sites in South 

Carolina and Idaho. Section 3116(b)(4) requires that, beginning with the FY 2006 budget, the 

Commission include in its budget justification materials submitted to Congress the amounts required, 

not offset by revenues, for performance of its responsibilities under Section 3116. The $1,392,000

requested to implement Section 3116 is excluded from NRC’s fee recovery requirements.

Section 637 of the Energy Policy Act of 2005, P.L. 109-58, modifies NRC’s user fee legislation in 42 

U.S.C. 2214 to exclude from license fee recovery the amounts appropriated to the Commission for 

homeland security activities, except for reimbursable costs of fingerprinting and background checks and 

the costs of conducting security inspections. The $19,522,000 requested for generic homeland security 

activities is excluded from NRC’s fee recovery requirements.

The aggregate amount of license fees and annual charges to be collected for FY 2014 approximates 90 

percent of the Commission’s budget authority, less amounts requested to implement Section 3116 of 

the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005 and amounts 

requested for generic homeland security activities pursuant to Section 637 of P.L. 109-58.
PROPOSED FY 2014 APPROPRIATIONS LEGISLATION 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 21 U.S. NUCLEAR REGULATORY COMMISSION

31 U.S.C. 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 APPROPRIATEDSHALL BE REDUCED BY THE AMOUNT OF REVENUES RECEIVED:

Pursuant to 42 U.S.C. 2214, the NRC is required to assess and collect 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 amendments to 42 U.S.C. 2214, enacted in the Energy Policy Act of 2005, and this 

appropriations request, the aggregate annual amount of such charges shall approximate 90 percent of 

the Commission’s budget authority, less amounts appropriated to the Commission to implement 

Section 3116 of the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005 and 

amounts appropriated to the Commission for generic homeland security activities.

OFFICE OF THE INSPECTOR GENERAL

6. FOR NECESSARY EXPENSES OF THE OFFICE OF THE INSPECTOR GENERAL IN CARRYING OUT THE

PROVISIONS OF THE INSPECTOR GENERAL ACT OF 1978, AS AMENDED:

P. L. 95-452, 5 U.S.C. app., as amended by P. L. 100-504

P. L. 100-504 amended P. L. 95-452 to establish an Office of the Inspector General in the NRC 

effective April 17, 1989, and to require the establishment of a separate appropriation account to fund 

the Office of the Inspector General.

7. TO REMAINAVAILABLE UNTIL SEPTEMBER 30, 2015:

31 U.S.C. 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.

8. REVENUES FROM LICENSING FEES, INSPECTION SERVICES, AND OTHER SERVICES AND COLLECTIONS

SHALL BE RETAINED AND BE AVAILABLE UNTIL SEPTEMBER 30, 2015, FOR NECESSARY SALARIES AND

EXPENSES IN THIS ACCOUNT, NOTWITHSTANDING 31 U.S.C. 3302:

Under Title V of the Independent Offices Appropriation Act of 1952, the NRC is authorized to collect 

license fees. Pursuant to 31 U.S.C. 9701, any person who receives a service or thing of value from the 

Commission shall pay fees to cover the NRC’s cost in providing such service or thing of value.

Pursuant to 42 U.S.C. 2214, the NRC is required to assess and collect 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 amendments to 42 U.S.C. 2214, enacted in the Energy Policy Act of 2005, and this 

appropriations request, the aggregate annual amount of such charges approximate 90 percent of the 

Commission’s budget authority, less amounts appropriated to the Commission to implement Section 

3116 of the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005 and amounts 

appropriated to the Commission for generic homeland security activities.
PROPOSED FY 2014 APPROPRIATIONS LEGISLATION 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 22 U.S. NUCLEAR REGULATORY COMMISSION

31 U.S.C. 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 APPROPRIATEDSHALL BE REDUCED BY THE AMOUNT OF REVENUES RECEIVED:

Pursuant to 42 U.S.C. 2214, the NRC is required to assess and collect 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 amendments to 42 U.S.C. 2214, enacted in the Energy Policy Act of 2005, and this 

appropriations request, the aggregate annual amount of such charges approximate 90 percent of the 

Commission’s budget authority, less amounts appropriated to the Commission to implement Section 

3116 of the Ronald W. Reagan National Defense Authorization Act for Fiscal Year 2005 and amounts 

appropriated to the Commission for generic homeland security activities.
NUCLEAR REACTOR SAFETY 

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NUCLEAR REACTOR SAFETY

NUCLEAR REACTOR SAFETY STRATEGIC GOALS 

Safety—ensure adequate protection of public health and safety and the environment. 

Security—ensure adequate protection in the secure use and management of radioactive materials. 

The Nuclear Reactor Safety Program encompasses U.S. Nuclear Regulatory Commission’s (NRC) 

efforts to ensure that civilian nuclear power and research and test reactors are licensed and operated in 

a manner that adequately protects public health and safety, protects the environment, and provides 

high assurance of the physical security of reactor facilities. This program contributes to the NRC’s 

Safety and Security goals through activities of the Operating Reactors and New Reactors Business 

Lines that license and regulate existing and new nuclear reactors to ensure their safe operation and 

physical security. The Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 

1974, as amended, are the foundations for the NRC’s regulation of the Nation’s civilian nuclear power 

industry. 

Nuclear security is a high priority for the NRC. Throughout the agency’s history, effective regulation 

and strong partnerships with a variety of Federal, State, and local authorities have ensured security at 

civilian nuclear reactors across the country, especially power reactors. The NRC recognizes the need 

for continuous improvement to ensure the safety and security of nuclear power plants. In recent years, 

the NRC has undertaken comprehensive enhancements to bolster the security of our Nation’s nuclear 

facilities and radioactive materials. 

Nuclear Reactor Safety

(Dollars in Millions)

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Business Line $M FTE $M FTE $M FTE

Operating Reactors 534.7 2,100.4 571.9 2,120.0 37.2 19.6 

New Reactors 265.4 924.6 240.5 865.5 (24.9) (59.1)

Total $800.1 3,025.0 $812.4 2,985.5 $12.3 (39.6)

Numbers may not add due to rounding.

PROGRAM RESOURCE SUMMARY 

The fiscal year (FY) 2014 proposed budget request for the Nuclear Reactor Safety Program is 

$812.4 million, which includes $334.7 million in contract support and travel and $477.7 million in 

salaries and benefits to support 2,985.5 full-time equivalents (FTE). This amount funds activities in the 

Operating Reactors and New Reactors Business Lines. It represents an increase of $12.3 million, 

including a decrease of 39.6 FTE, from the FY 2012 enacted budget. This increase primarily supports

implementation of the Fukushima Near-Term Task Force recommendations and regulatory activities 

associated with locating, licensing, and overseeing new and operating nuclear power plants, and an 

agencywide effort to reduce overhead resources through increased efficiency and effectiveness.
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 26 U.S. NUCLEAR REGULATORY COMMISSION

OPERATING REACTORS

Operating Reactors by Product Line

(Dollars in Millions)

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Product Line $M FTE $M FTE $M FTE

Licensing 89.5 477.3 101.4 479.1 11.9 1.8 

Oversight 157.3 888.6 163.6 878.3 6.2 (10.3)

Rulemaking 13.3 60.9 17.7 72.5 4.3 11.6 

International Activities 2.3 13.5 2.4 14.2 0.1 0.7 

Research 66.1 171.0 67.8 177.1 1.7 6.1 

Generic HLS 6.5 25.1 3.8 18.9 (2.8) (6.2)

Event Response 14.3 55.8 16.8 55.1 2.5 (0.6)

Subtotal $349.4 1,692.1 $373.4 1,695.1 $24.1 3.0 

Corporate Support 185.4 408.3 198.5 424.9 13.1 16.5 

Total $534.7 2,100.4 $571.9 2,120.0 $37.2 19.6 

Numbers may not add due to rounding.

The Operating Reactors Business Line encompasses the regulation of 104 operating civilian nuclear 

power reactors and 31 research and test reactors (RTRs) in a way that adequately protects the public 

health and safety, protects the environment, and provides high assurance of physical security. Under 

the U.S. Nuclear Regulatory Commission’s (NRC’s) regulatory oversight, the amount of safe electrical 

power generated from the 104 domestic nuclear power plants now contributes approximately 

20 percent of the Nation’s electrical production. 

The NRC establishes regulatory requirements for the design, construction, operation, and security of 

nuclear power plants and RTRs in accordance with the provisions of the Atomic Energy Act of 1954, as 

amended. Through Operating Reactors Business Line activities, the NRC ensures the fundamental 

tenets of its Safety and Security goals in protecting the public and workers from the radiation hazards of 

nuclear reactors. To ensure that plants are operating safely within these requirements, the NRC 

licenses the plants to operate, licenses the personnel who operate the plants, and establishes technical 

specifications for each plant’s operation. The NRC also ensures nuclear safety through rulemaking and 

research efforts, enforcement, and international activities. The NRC oversees civilian nuclear reactors 

and verifies operator adherence to the NRC’s rules and regulations.

The NRC has undertaken comprehensive enhancements to bolster the security of our Nation’s nuclear 

facilities. Nuclear power plants must be able to defend successfully against a set of hypothetical 

threats that the agency refers to as the design-basis threat (DBT). These hypothetical threats 

challenge a plant’s physical security, personnel security, and cyber security. The agency continuously 

evaluates this set of hypothetical threats against real-world intelligence to ensure that it remains current 

and prepared.
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The budgetary resources will enable the NRC to continue licensing and regulatory activities to ensure 

the safe and secure operation of these civilian nuclear reactors. The NRC has developed product lines 

for operating reactors that best support safety and security strategies that affect strategic outcomes as 

they relate to existing civilian reactors. The resources requested support the Operating Reactors 

Business Line within the following seven product lines: Licensing, Oversight, Rulemaking, Research, 

International Activities, Generic Homeland Security (HLS), and Event Response. The outputs of the 

product lines under this business line contribute to the scoring of the NRC Safety and Security 

Performance Measures and their contribution to the achievement of its Strategic Outcomes.

CHANGES FROM FY 2012 ENACTED BUDGET

Resources increased to support the implementation of the Fukushima Near-Term Task Force (NTTF) 

recommendations that included a shift from New Reactors to Operating Reactors. Other changes 

include an increase in the Licensing Product Line to support activities related to an increase in 

scheduled workload for license renewals, medical isotope application reviews, National Fire Protection 

Association Standard 805 (NFPA 805) license amendment request (LAR) reviews, and reduction of the 

backlog of topical reports. Oversight Product Line resources increased to support the implementation 

of the Force-on-Force program and the replacement of the agency’s Reactor Program System. 

Rulemaking Product Line resources increased to support Commission-directed medium priority rules. 

The Research Product Line increased to support the update of nuclear power plant risk analysis to 

include a broader scope of events, severe accident analysis methods, and materials degradation 

research.

LICENSING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY LICENSING 

Safety—develop, maintain, and implement licensing and regulatory programs for reactors. 

Security—review security plans and changes for consistency with security requirements. 

For FY 2014, the NRC requests $101.4 million, including 479.1 full-time equivalents (FTE), for licensing 

activities. This funding level represents an increase of $11.9 million, including 1.8 FTE, when 

compared with the FY 2012 enacted budget. Resources increase to support the implementation of the 

Fukushima NTTF recommendations. Other changes include an increase in scheduled workload for 

license renewals, medical isotope application reviews, NFPA 805 LAR reviews, and reduction of the 

backlog of topical reports.

The Licensing Product Line supports licensing activities that the NRC uses to establish requirements to 

ensure the safety of operating nuclear power reactor licensees, RTRs, medical isotope production 

facilities, and requests for license renewals. Other changes provide an adequate margin of safety and 

security consistent with the NRC’s rules and regulations. 

The NRC licenses civilian nuclear power reactors and nonpower reactors to ensure that they are 

operated in a way that adequately protects the public health and safety, protects the environment, and 

provides high assurance of physical security.

In FY 2014, the NRC will continue licensing activities for 104 power reactors. The NRC anticipates that 

the licensing workload will include completing 900 licensing actions (200 related to Fukushima), 

including the review of approximately 11 power uprates and approximately 22 ongoing NFPA 805 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 28 U.S. NUCLEAR REGULATORY COMMISSION

reviews for the approximately 35 reactors that will be transitioning to a risk-informed, 

performance-based set of requirements.

Reviews will continue for 11 license renewal applications for operating reactors. The NRC expects to 

review two new applications. The resources will support the development, maintenance, and 

implementation of the license renewal infrastructure, process assessments, improvements, and 

activities related to developing infrastructure for potential applications for license renewals.

The NRC will continue licensing reviews, issuing license amendments, and performing project 

management activities for the existing 31 licensed operating nonpower reactors. The agency will ensure 

that operators are qualified and licensed to perform their duties. In addition, the NRC will review 

applications for medical isotope production facilities and information that licensees submitted to support 

conversion of nonpower reactors from high-enriched to low-enriched uranium fuel. The NRC will 

complete 500 other licensing tasks and related activities, including assistance to the regions; interactions 

with vendors, industry, and owners’ groups; and 20 technical topical report reviews that will resolve 

generic issues and will reduce the topical reports backlog. In addition, the NRC expects to complete 

approximately 55 operator licensing examinations and 4 generic examinations for reactor operators. 

Resources also support licensing activities, such as the review of licensing amendments associated 

with the security plan changes; cyber security; emergency preparedness reviews; and license renewal 

activities and associated adjudication, legal advice, and representation. The NRC will continue Federal 

interactions with the American Society of Mechanical Engineers (ASME) on coating guidance, grid 

stability, and digital instrumentation and control.

OVERSIGHT 

STRATEGIC GOAL STRATEGIES SUPPORTED BY OVERSIGHT 

Safety—continue to oversee the safe operation of existing plants and licensee safety performance through 

inspections, investigations, enforcement, and performance assessment activities. 

Security—evaluate licensee security and emergency preparedness programs; use Force-on-Force inspections to 

test security. 

For FY 2014, the NRC requests $163.6 million, including 878.3 FTE, for oversight activities. This 

funding level represents an increase of $6.2 million, including a decrease of 10.3 FTE, when compared 

with the FY 2012 enacted budget. Resources increase to support the implementation of the Fukushima 

NTTF recommendations. Other changes include an increase to support the Force-on-Force Program 

and the replacement of the agency’s Reactor Program System offset by a decrease because of an 

agencywide effort to reduce overhead resources through increased efficiency and effectiveness.

The Oversight Product Line supports the activities and methods the NRC uses to oversee the safe and 

secure operation of existing nuclear reactors, to better identify significant performance issues, and to 

ensure that licensees take appropriate actions to maintain acceptable operating performance to 

adequately protect public health and safety and the environment.

The NRC performs continuous oversight of plants through its Reactor Oversight Process (ROP), which 

verifies that the 104 currently licensed nuclear power reactors are operated safely and securely in 

accordance with the NRC’s rules, regulations, and license requirements. The NRC has full authority to 

take action to protect public health and safety and can demand immediate licensee action, up to and 

including a plant shutdown. The ROP uses NRC inspection findings and performance indicators from 
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 29 U.S. NUCLEAR REGULATORY COMMISSION

licensees to assess the safety performance of each plant within a regulatory framework of seven 

cornerstones of safety and security: (1) frequency of potential accident-initiating events; (2) availability, 

reliability, and capability of mitigating systems, (3) integrity of radiation barriers, such as fuel cladding, 

reactor coolant system, and containment boundaries, (4) emergency preparedness, (5) protection of 

the public from radiation releases, (6) occupational radiation safety, and (6) physical protection against 

the DBT for radiological sabotage.

The ROP recognizes that not all issues are equally significant. The ROP structure initiates more NRC 

engagement and oversight for more significant events. Plants are expected to address issues through 

their corrective action programs for less significant events. In this way, the oversight workload directly 

supports the Safety and Security goals and related strategic measures and outcomes.

As a condition of their licenses, nuclear power plant operators develop and maintain effective 

emergency preparedness plans to protect the public. The NRC inspects plants to ensure that they are 

meeting the requirements for emergencies and to evaluate the implementation of those 

requirements. In addition, the agency monitors certain performance indicators related to emergency 

preparedness.

Generally, the NRC performs two types of inspections: baseline and plant-specific. The FY 2014 

budget request includes resources for planned baseline and anticipated plant-specific 

inspections. Historically, the resources required for these inspections have been fairly constant. A 

portion of the baseline inspection program is conducted on a 3-year cycle, including approximately 22 

fire protection and 22 component design-basis inspections per year. Baseline inspections focus on 

plant activities, especially those that performance indicators do not measure adequately. Resources 

also support plant-specific inspections that typically include 20 reactive inspections, 75 inspections 

related to performance or specific changes (e.g., inspections at independent spent fuel storage 

installations, digital control room inspections), and approximately 100 generic issue inspections that 

address areas of emerging concern (e.g., cyber security or areas where recurring problems have 

occurred). Security resources support the NRC’s security inspection and assessment program with a 

number of key elements. These include baseline, tri-annual Force-on-Force, and special inspections; 

and development of the annual report to Congress. For 2-years, there will be an increase in regional 

work for target set and protective strategy inspections as a result of the new 10 CFR Part 73 rule. 

The ROP also includes the Industry Trends Program through which the NRC collects, analyzes, 

displays, and trends industrywide reactor performance data to determine whether the data show 

statistically significant adverse industry trends in reactor safety performance.

Resources also support assessment of licensee performance and evaluation of input data 

(i.e., performance indicators, the significance determination process, and determination of any 

necessary followup actions resulting from enforcement processing related casework and project and 

contract management oversight of the Alternative Dispute Resolution (ADR) Program). The NRC 

conducts performance-based evaluations of licensee security and emergency preparedness programs 

and assesses their effectiveness. The NRC will perform emergency preparedness baseline and special 

inspections that will include outreach activities with State and local Governments, Tribal organizations, 

and interstate organizations. 

Resources also support legal review, communications to internal and external stakeholders, and audits 

associated with the ROP, license renewal inspections, investigations and early ADR program activities, 

security issues, performance assessments, and development of enforcement guidance. 
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Resources will support event evaluation, generic communications, and the review of industry operating 

experience (screening of approximately 3,000 national and international operational events per year). 

Approximately 150 to 200 issues per year receive additional detailed evaluations. Resources support 

independent evaluation and trending of operational events and funding of human factor event 

evaluations. 

Resources also support enforcement, allegation activities, and investigations of alleged 

wrongdoing. Enforcement is used to deter noncompliance with NRC requirements and to encourage 

prompt identification and correction of violations.

The ROP includes an assessment process, which integrates inspection findings with other objective 

measures of performance that licensees submit quarterly for each power reactor site. Results from this 

assessment process are used as feedback to determine appropriate NRC actions for the reactor sites.

Resources will support the replacement, maintenance, and operation of the Reactor Programs System 

(RPS), which is used to plan and schedule inspection activities and capture and report inspection 

findings. Replacement of the current system is required since it was developed from 1995 to 1998; the 

system is now obsolete. RPS is critical to supporting the oversight and inspection of the 104 nuclear 

power reactors and 31 nonpower reactors. This agencywide tool supports 47 uranium recovery sites 

and 9 major fuel cycle facilities. The resources also will support simulator hardware and software 

maintenance for reactor technology training and Web development. 

RULEMAKING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RULEMAKING 

Safety—use sound science and state-of-the-art methods to establish, where appropriate, risk-informed and 

performance-based regulations. 

Security—use a framework of rules and regulations to guide the security activities of the agency. 

For FY 2014, the NRC requests $17.7 million, including 72.5 FTE, for rulemaking activities. This 

funding level represents an increase of $4.3 million, including 11.6 FTE, when compared with the FY 

2012 enacted budget. Resources increase to support the implementation of the Fukushima NTTF 

recommendations. Other changes include an increase to support medium-priority and Fukushima 

NTTF rules. 

The Rulemaking Product Line includes the development and update of regulatory basis rules and 

regulatory guidance documents that promote licensee compliance with underlying safety principles and 

security requirements. 

The regulatory framework guides the safety activities of the agency and its licensees. The NRC’s rules 

and regulations contribute to the Safety and Security goals and related strategic measures and 

outcomes because they form the foundation for the safety and security activities of the agency. NRC 

regulations are contained in Title 10 of the Code of Federal Regulations (10 CFR), “Energy.”

The FY 2014 workload includes 14 high-priority rulemaking activities and 3 medium-priority rulemaking 

activities directed by the Commission, including policy development activities related to the NRC

regulatory framework after the Fukushima Event. Examples of high-priority rulemaking activities 

include 3 rulemakings from the Fukushima NTTF recommendations and a rulemaking implementing the 

new statutory authority from the Energy Policy Act of 2005 on the use of enhanced weapons. 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 31 U.S. NUCLEAR REGULATORY COMMISSION

Resources also provide support for approximately 22 petitions for rulemaking (PRMs), assuming receipt 

of 6 PRMs each year and the issuance of 8 closure packages. Additionally, resources will support legal 

advice for rulemakings, petitions, and regulatory basis development efforts.

Resources for rulemaking support the development of technical assessment and regulatory bases 

needed to prepare and issue new or amended regulations and to develop supplemental regulatory 

guidance directly related to new and amended rules. Resources also allow the NRC to maintain 

rulemaking and regulatory analysis guidance documents based on lessons learned and process 

improvements and enhancements. In addition, resources support updates of reports such as the 

Regulatory Agenda.

INTERNATIONAL ACTIVITIES 

STRATEGIC GOAL STRATEGIES SUPPORTED BY INTERNATIONAL ACTIVITIES 

Safety—use domestic and international operating experience to inform decisionmaking. 

Security—work with international counterparts to exchange information. 

For FY 2014, the NRC requests $2.4 million, including 14.2 FTE, for international activities. This 

funding level represents an increase of $0.1 million, including 0.7 FTE, when compared with the FY 

2012 enacted budget, which does not represent a significant change in workload. 

The International Activities Product Line supports the NRC’s international work, which assists 

decisionmaking, awareness of and responses to emerging technical issues, and promoting best 

practices in realizing the Safety and Security goals and related strategic measures and 

outcomes. Additionally, the NRC participates in the development and evaluation of international 

standards to ensure that they are soundly based and to determine whether substantial safety 

improvement can be identified and implemented domestically. The NRC also must perform certain 

legislatively mandated international duties. These include licensing the import and export of nuclear 

materials and equipment and participating in activities supporting U.S. compliance with international 

treaties and agreement obligations. The NRC has bilateral programs to provide assistance or 

cooperation with 41 countries and Taiwan. In addition, the NRC actively cooperates with multinational 

organizations, such as the International Atomic Energy Agency (IAEA) and the Nuclear Energy Agency, 

as part of the Organization for Economic Co-operation and Development. 

The International Activities Product Line workload includes periodic exchanges of information important 

to the safe operation of nuclear power plants, visits to operating domestic nuclear power plants, 

assistance to foreign regulatory bodies through the NRC Foreign Assignee Program, and the review 

and decisions on applications for the export and import of nuclear equipment. The NRC assists the 

IAEA and individual countries through its bilateral agreements and participates in multilateral activities 

with other nations, such as the Convention on Nuclear Safety, the Joint Convention on the Safety of

Spent Fuel Management and the Safety of Radioactive Waste Management, and IAEA’s Integrated 

Regulatory Review Service and International Physical Protection Advisory Service missions. 

The NRC supports activities associated with safety, security, and conversion of nonpower reactors and 

participates in international cooperative research programs that provide access to operating experience 

from foreign reactors to augment NRC programs in areas such as plant aging and materials 

degradation, fire risk, and pressurized thermal shock. Analysis of this experience contributes to the 

NRC’s knowledge base, improves assessments of plant risk, and improves the development of riskinformed approaches to regulation.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 32 U.S. NUCLEAR REGULATORY COMMISSION

The NRC works with international counterparts to exchange information, expertise, and operating 

experiences; to participate in ongoing research to recognize and respond to emerging technical issues; 

and to promote best safety and security practices. This international cooperation promotes nuclear 

safety and security worldwide.

RESEARCH 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RESEARCH 

Safety—improve the NRC’s regulatory programs and apply safety-focused research to anticipate and resolve 

safety issues. 

Security—use research to inform the security activities of the agency. 

For FY 2014, the NRC requests $67.8 million, including 177.1 FTE, for research activities. This funding 

level represents an increase of $1.7 million, including 6.1 FTE, when compared with the FY 2012 

enacted budget. Resources increase to support implementation of the Fukushima NTTF 

recommendations. Other changes include an increase to update nuclear power plant risk analysis to 

include a broader scope of events, severe accident analysis methods, and materials degradation 

research. 

The NRC’s research program mission is to evaluate and resolve safety issues for nuclear power plants 

and other facilities and materials that the agency regulates. Tasks under this mission include 

evaluating existing and potential safety issues; supplying independent expertise, information, and 

technical judgments to support timely and realistic regulatory decisions; reducing uncertainties in risk 

assessments; and developing technical regulations and standards. Research programs cover all 

technical areas of the NRC’s regulations. 

In FY 2014, research will be performed in various technical areas to ensure the continued safety and 

security of operating reactors. These areas include (1) research to address recommendations from the 

lessons learned evaluation of the Fukushima accident, (2) fire safety, (3) digital and electrical systems, 

(4) materials degradation, (5) reactor safety code development and analysis, (6) radiation protection, 

(7) probabilistic risk assessment (PRA), and (8) evaluation of hazards from natural events. 

Research will address recommendations from the lessons learned evaluation of the Fukushima 

accident, including PRA of seismically induced flooding and fire and analysis of filtered venting.

Fire safety research will continue to support the transition to a risk-informed, performance-based set of 

requirements in response to NFPA 805 and the current licensing basis for plants. This work includes 

cable fire testing, spurious circuit actuation testing, fire risk-assessment training, and fire modeling. 

Research on digital systems will include the review of current and future applications of digital 

instrumentation and controls, a failure mode and reliability assessment of software and digital systems, 

an assessment of the aging of components and equipment, and the security aspects of digital systems. 

Research associated with electrical systems will be conducted in equipment qualification for 

subsequent license renewal, assessment of the aging of electrical insulation materials, battery 

performance, the impact of smart grids on nuclear power plants, and assessment of failure of onsite 

power sources. 

Research will continue to further understand and manage potential degradation associated with reactor 

pressure boundary components, vessel internals, containment liners, and neutron-absorbing materials 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 33 U.S. NUCLEAR REGULATORY COMMISSION

used in spent fuel pools. This research includes assessing the effectiveness and reliability of various 

inservice inspection techniques, performing residual stress and nondestructive examination studies on 

retired components, evaluating the behavior of various components under severe accident conditions, 

developing a probabilistic code for assessing piping integrity, and studying the embrittlement of reactor 

vessel pressure boundary materials. Research is also being performed in material engineering to 

evaluate plant life extension for subsequent license renewal. 

The NRC uses computer codes to perform PRAs and evaluate thermal-hydraulic conditions, severe 

accidents, fuel behavior, and reactor kinetics during various operating and postulated accident 

conditions. Research in this area will continue to support decisionmaking for risk-informed activities, 

the review of licensees’ codes and performance of audit calculations, and the resolution of other 

technical issues. Code development is directed toward improving the realism and reliability of code 

results and making them easier to use. 

Research efforts will provide technical support in radiation protection, dose assessment, and 

assessment of human health effects for licensing, emergency preparedness, and nuclear security 

activities. This research will support recommendations on health physics policy. Research activities 

also will provide technical support for the development of environmental regulatory guidance to support 

regulatory needs.

Research efforts will include development of plant-specific standardized analysis risk models and 

maintenance of the Systems Analysis Programs for Hands-On Integrated Reliability Evaluations PRA 

code to support the ROP and other risk-informed agency decision processes. Resources also support 

the development of improved methods and tools for risk-informing regulatory programs, including the 

development of new PRA methods, models, and tools, and the development of a site Level 3 PRA to 

incorporate insights from advances in PRA technology and pilot draft guidance for using expert 

judgment in areas, such as human reliability and severe accident analysis. 

The NRC will conduct research to improve its understanding of earthquake occurrences and ground 

motion at nuclear power plant sites in the central and eastern sections of the United States and the 

performance of structures, passive components, and other issues related to earthquake engineering. 

Research efforts will include evaluation of hazards from natural events, including seismic hazards, 

flooding, and tsunami events. The agency will use these research results to inform licensing decisions 

and to update risk assessments.

GENERIC HOMELAND SECURITY 

STRATEGIC GOAL STRATEGIES SUPPORTED BY GENERIC HOMELAND SECURITY

Safety—effectively respond to events at NRC-licensed facilities and other events of national interest, including 

maintaining and enhancing the NRC’s critical incident response and communication capabilities. 

Security—support Federal response plans that use an approach to the security of nuclear facilities and 

radioactive material that integrates the efforts of licensees and Federal, State, local, and Tribal authorities. 

For FY 2014, the NRC requests $3.8 million, including 18.9 FTE, for generic HLS activities. This 

funding level represents a decrease of $2.8 million, including 6.2 FTE, when compared with the FY 

2012 enacted budget. The NRC reviewed the activities under the definitions for the Generic HLS 

product and shifted some resources to non-Generic HLS products in order to more accurately align 

resources to the planned workload.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 34 U.S. NUCLEAR REGULATORY COMMISSION

In FY 2014, the Generic HLS Product Line workload includes the entire scope of threat assessment 

activities (intelligence information assessment, internal and external communications, and 

information assessment team activities); intergovernmental coordination on national HLS priorities; 

integrated response planning and coordination; and emerging technology analysis and evaluation. 

The workload also includes developing and enhancing the ability to make risk-informed analyses of 

accident progression and radiological releases to the environment in response to accidents and 

malevolent attacks.

EVENT RESPONSE 

STRATEGIC GOAL STRATEGIES SUPPORTED BY EVENT RESPONSE 

Safety—effectively respond to events at NRC-licensed facilities and other events of national interest, including 

maintaining and enhancing the NRC’s critical incident response and communication capabilities. 

Security—support Federal response plans that use an approach to the security of nuclear facilities and 

radioactive material that integrates the efforts of licensees and Federal, State, local, and Tribal authorities. 

For FY 2014, the NRC requests $16.8 million, including 55.1 FTE, for event response activities. This 

funding level represents an increase of $2.5 million, including a decrease of 0.6 FTE, when compared 

with the FY 2012 enacted budget. Resources increase to support the replenishment of potassium 

iodide tablets in States where they are due to expire in FY 2013. 

The Event Response Product Line supports the NRC’s incident response and emergency 

preparedness activities to ensure that the agency can respond effectively to events at its licensees’ 

sites and ensure adequate protective measures can be taken by licensees to mitigate plant damage 

and minimize possible radiation exposure to members of the public. The NRC’s program for 

emergency preparedness and event response is focused on ensuring its licensees are capable of 

implementing adequate measures to protect public health and safety in the event of a radiological 

emergency.

Resources are included to ensure the NRC Headquarters Operations Center (HOC) is staffed 

around the clock and is able to collect and disseminate event response information and coordinate 

the agency’s response, consistent with its responsibilities as the coordinating agency for events 

involving NRC-licensed material under the National Response Framework. In addition, resources 

are included to support drill and exercise preparation and participation, NRC regional office event 

response readiness and Incident Response Centers, critical incident response communications tools 

(including the Emergency Response Data System and the HOC Information Management System), 

accident assessment tools (such as the Radiological Assessment System for Consequence Analysis 

(RASCAL) Radiation Dose Assessment Code), intergovernmental coordination and communications 

tools, and maintenance of the response program infrastructure (e.g., response manual procedures 

and associated guidance). Resources also support replenishing potassium iodide tablet supplies 

that will expire in FY 2013 for States with a population within the 10-mile emergency planning zone 

of operating nuclear reactors.
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 35 U.S. NUCLEAR REGULATORY COMMISSION

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

In 2011, the Nation’s nuclear power plants were operated within the NRC’s safety and security 

requirements. The performance measures for the Safety goal confirm that nuclear power plants were 

operating safely. In addition, the safety indicators for nuclear plants showed no adverse trends.

After the accident at Fukushima Dai-chi, the Commission directed the NRC staff to conduct a 

systematic and methodical review of NRC processes and regulations to determine whether the agency 

should make additional improvements to its regulatory system and to provide recommendations to the 

Commission for its policy direction. The NRC’s NTTF developed recommendations related to lessons 

learned from the Fukushima Dai-ichi event. The NRC staff prioritized the recommendations. 

Additionally, the staff published advance notices of proposed rulemaking to solicit comments on 

modification of the NRC’s station blackout regulation and the development of a new regulation 

concerning the integration of emergency operating procedures. The staff provided the Commission 

with its plans for implementing longer term activities associated with lessons learned from the 

Fukushima Dai-ichi event. The plans are to provide a roadmap for what actions or study the NRC 

should complete to be able to make an informed decision to either pursue further regulatory action or to 

conclude that the current regulatory approach is sufficient. 

The NRC completed 770 reactor licensing actions in FY 2012 and 95.8 percent of the licensing actions 

in the agency’s inventory within 1 year of receipt. 

The NRC approved seven plant-specific power uprates in FY 2012, which added an additional 

2,407 megawatts thermal or 802 megawatts electric to the Nation’s electrical grid. 

The NRC approved two license renewals in FY 2012. The NRC has renewed licenses for 73 units at 

42 sites since the license renewal program was established. The NRC is currently reviewing 

applications to renew the licenses for 13 units at 9 sites. The agency expects that all licensees of 

currently licensed units eventually will apply to renew their licenses. 

The NRC modified its regulatory inspection plan within the Reactor Oversight Process at both San 

Onofre Nuclear Generating Station and Crystal River Nuclear Generating Plant due to extended 

shutdowns to address technical issues. The NRC has continued to monitor and inspect both Crystal 

River and San Onofre in accordance with NRC Inspection Manual Chapter 0351, “Implementation of 

the Reactor Oversight Process at Reactor Facilities in an Extended Shutdown Condition for Reasons 

Other Than Significant Performance Problems.”

The agency published a final rule to correct amendments involving ASME Codes and new and 

revised ASME Code cases. In addition, the agency published a final rule to amend its regulations 

to require nonpower reactor licensees to obtain fingerprint-based criminal history records checks 

before granting individuals unescorted access to their facilities. The final rule on enhancements to 

emergency preparedness at nuclear power plants was published. In conjunction with the Federal 

Emergency Management Agency (FEMA), five forums were held around the country to provide 

licensees, State, local, and Tribal emergency planning personnel with information on 

implementation of the emergency preparedness rule changes and associated NRC and FEMA 

emergency preparedness guidance changes.

The NRC research program addressed key areas that support the agency’s safety mission. In FY 2012, 

the agency initiated a site PRA study to estimate consequences of severe accidents for all modes of 

operation and significant hazard categories and to consider multiunit operations. In addition, research 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 36 U.S. NUCLEAR REGULATORY COMMISSION

focused on hazards from natural events, including seismic, flooding, and tsunami events. With support 

from the U.S. Army Corps of Engineers, the NRC directed its efforts toward updating guidance on the 

design and evaluation of flood protection features for nuclear power plants. Other important research in 

FY 2012 focused on fire protection and risk issues; materials degradation, particularly as related to 

license renewal periods; digital instrumentation and control systems; and reactor thermal-hydraulics.

In August 2012, the NRC participated in the Second Extraordinary Meeting of the Convention on 

Nuclear Safety (CNS), which was held at the International Atomic Energy Agency (IAEA) in Vienna, 

Austria. The objective was to review and discuss lessons learned from the accident at Fukushima 

Daiichi. Over 600 people participated in the meeting, representing 64 of the 75 contracting parties 

to the Convention. There were six topic areas pertaining to Fukushima discussed during working 

sessions. The importance of sharing lessons learned from the Fukushima Dai-ichi accident was 

stressed during the closing session of the meeting, which was open to the public and members of 

the media.

The NRC was actively involved in several exercises. The agency participated in the national level 

exercise series (NLE 12), the annual continuity of operations exercise (Eagle Horizon 12) for Federal 

Executive Branch departments and agencies, and several exercises with licensed facilities and affected 

States as a part of the NRC’s ongoing response readiness program.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 37 U.S. NUCLEAR REGULATORY COMMISSION

OUTPUT MEASURES 

LICENSING

Completion of License Renewal Application Reviews

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete major 

milestones for 

4 applications.

Complete major 

milestones for 

3 applications.

Complete major 

milestones for 

3 applications.

Make final 

decision on license 

renewal for 

1 reactor unit.

TBD* Make final decision 

on license renewal 

for 0 reactor 

units.*

Actual Renewed 

4 licenses.

Renewed 5 licenses.

Completed safety 

evaluation reports 

for 3 applications 

and supplemental 

environmental 

impact statements 

for 2 applications.

Renewed 

8 licenses.

Made final 

decision on license 

renewal on 2 units.

• Final decisions for License Renewal applications are delayed throughout FY 2013 and FY 2014 due to Waste Confidence Decision.

Licensing Actions Completed per Year*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete 1,150 

licensing actions.

Complete 950 

licensing actions.

Complete 950 

licensing actions.

Complete950 

licensing actions.

TBD*** Complete 900 

licensing actions.*

Actual 1,002 completed 988 completed 849 completed 770 completed**

*As limited by the number of licensing action requests submitted or accepted the previous fiscal year.

**660 license amendments requests were submitted in FY 2011.

***802 license amendments requests were submitted in FY 2012. 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 38 U.S. NUCLEAR REGULATORY COMMISSION

Age of the Other Licensing Task Inventory*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% ≤ 1 year (yr) 

100% ≤ 2 yr

90% ≤ 1 yr

100% ≤ 2 yr

90% ≤ 1 yr

100% ≤ 2 yr

90% ≤ 1 yr 

100% ≤ 2 yr

TBD 90% ≤ 1 yr 

100% ≤ 2 yr

Actual 90% ≤ 1 yr 

100% ≤ 2 yr

94% ≤ 1 yr 

100% ≤ 2 yr

94.2% ≤ 1 yr 

99.6% ≤ 2 yr

94.6% ≤ 1 yr

100% ≤ 2yr

*Excludes multiplant actions and other unusually complex licensing tasks.

Age of Licensing Action Inventory*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 93% ≤ 1 yr

100% ≤ 2 yr

90% ≤ 1 yr

100% ≤ 2 yr

95% ≤ 1 yr 

100% ≤ 2 yr

95% ≤ 1 yr 

100% ≤ 2 yr

TBD 95% ≤ 1 yr

100% ≤ 2 yr

Actual 94% ≤ 1 yr

100% ≤ 2 yr 

93% ≤ 1 yr

100% ≤ 2 yr 

90.3% ≤ 1 yr

99.9% ≤ 2 yr

95.8% < 1yr

100% < 2yr

*Excludes license renewal, improved standard technical specification conversions, and power uprates. Also excludes unusually complex LARs.

Other Licensing Tasks Completed per Year*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete 

600 other licensing 

tasks.

Complete 

600 other licensing 

tasks.

Complete 

600 other licensing 

tasks.

Complete 

600 other licensing 

tasks.

TBD** Complete 

500 other licensing 

tasks.*

Actual 541 other licensing 

tasks completed.

625 other licensing 

tasks completed.

465 other licensing 

tasks completed.

674 other licensing 

tasks completed.

*As limited by the number of other licensing task requests submitted or accepted the previous fiscal year.

**577 other licensing tasks submitted in FY 2012.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 39 U.S. NUCLEAR REGULATORY COMMISSION

Number of Operator Licensing Examinations Administered

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Meet licensee 

demand estimated 

at 55 initial 

operator licensing 

examination 

sessions and 4 

generic 

fundamentals 

examination 

sessions.

Meet licensee 

demand estimated 

at 55 initial 

operator licensing 

examination 

sessions and 4 

generic 

fundamentals 

examination 

sessions.

Meet licensee 

demand estimated 

at 55 initial 

operator licensing 

examination 

sessions and 4 

generic 

fundamentals 

examination 

sessions.

Meet licensee 

demand estimated 

at 55 initial 

operator licensing 

examination 

sessions and 4 

generic 

fundamentals 

examination 

sessions.

TBD Meet licensee 

demand estimated 

at 55 initial 

operator licensing 

examination 

sessions and 

4 generic 

fundamentals 

examination 

sessions.

Actual Met licensee 

demand estimated 

at 59 initial 

operator licensing 

examination 

sessions and 

4 generic 

fundamentals 

examination 

sessions.

Met licensee 

demand estimated 

at 54 initial 

operator licensing 

examination 

sessions and 

4 generic 

fundamentals 

examination 

sessions.

Met licensee 

demand estimated 

at 55 initial 

operator licensing 

examination 

sessions and 

4 generic 

fundamentals 

examination 

sessions.

Met licensee 

demand estimated 

at 49 (with 55 

originally 

estimated) initial 

operating licensing 

examination 

sessions and 

4 generic 

fundamentals 

examination 

sessions.

Minimize Necessary Communication Systems Devices for Senior Manager Use

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2011

Applicability still 

being checked.

$410,000 

reduction

Measure 

discontinued.

Actual

OVERSIGHT

Number of Plants for Which the Baseline Inspection Program Was Completed during the Most Recently Ended Inspection Cycle*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target All required 

baseline inspection 

procedures are 

completed at 

104 operating 

reactors.

All required 

baseline inspection 

procedures are 

completed at 

104 operating 

reactors.

All required 

baseline inspection 

procedures are 

completed at 

104 operating 

reactors.

All required 

baseline inspection 

procedures are 

completed at 

104 operating 

reactors.

TBD All required 

baseline inspection 

procedures are 

completed at 

104 operating 

reactors.

Actual Completed all 

reactors.

Completed all 

reactors.

Completed all 

reactors.

Completed all 

reactors.

*The baseline inspection program metric includes 104 operating reactors.

Percentage of Final Significance Determination Process Determinations Made within 90 Days for All Potentially

Greater Than Green Findings

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% 90% 90%* 90% TBD 90%

Actual 100% 93% 100% 100%

*Target mistakenly reported to be 100% in the 2011 Congressional Budget Justification.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 40 U.S. NUCLEAR REGULATORY COMMISSION

Time To Complete Reviews of Technical Allegations*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

TBD 90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

Actual 93% ≤ 150 days

98% ≤ 180 days 

99% ≤ 360 days*

95% ≤ 150 days 

98% ≤ 180 days 

100% ≤ 360 days

98% ≤ 150 days 

99% ≤ 180 days 

100% ≤ 360 days

98% ≤ 150 days 99% 

≤ 180 days 100 % ≤ 

360 days

*A few allegations exceeded the target because of complicated technical review or extended review at another Federal agency.

Timeliness in Completing Enforcement Actions*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Investigation 

cases: 100% 

completed within 

360 days of Office 

of Enforcement 

(OE) processing 

time. 

Noninvestigation 

cases: 100% 

completed within 

180 days of OE 

processing time.

Investigation 

cases: 100% 

completed within 

360 days of OE 

processing time. 

Noninvestigation 

cases: 100% 

completed within 

180 days of OE 

processing time.

Investigation

cases: 100% 

completed within 

360 days of OE 

processing time. 

Noninvestigation 

cases: 100% 

completed within 

180 days of OE 

processing time.

Investigation 

cases: 100% 

completed within 

330 days of OE 

processing time. 

Noninvestigation 

cases: 100% 

completed within 

160 days of OE 

processing time.

TBD Investigation 

cases: 100% 

completed within 

330 days of OE 

processing time. 

Noninvestigation 

cases: 100% 

completed within 

160 days of OE 

processing time.

Actual Investigation: 

None ≥ 360 days. 

Noninvestigation: 

None ≥ 180 days.

Investigation: 

None ≥ 360 days. 

Noninvestigation: 

None ≥ 180 days.

Investigation: 

None ≥ 360 days. 

Noninvestigation: 

None ≥ 180 days.

Investigation None 

≥ 330 days. 

Noninvestigation: 

None ≥ 180 days.

*(A) Cases involving investigations normally involve wrongdoing, including discrimination, and, by their nature, are more resource-intensive and less 

timely. Accordingly, the performance measure for cases involving investigations provides for more staff time.

(B) OE processing time is defined as that time from the date on which the case is opened or the licensee is briefed on the concern (exit) to the issuance of 

an enforcement action or other appropriate disposition less (1) any time the NRC could not act because the case resides with the U.S. Department of Labor, 

U.S. Department of Justice, other Government entity, or where the licensee or anyone outside the enforcement process causes a lengthy deferment and 

(2) any time the NRC could not act because of processing Freedom of Information Act requests.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 41 U.S. NUCLEAR REGULATORY COMMISSION

Timeliness in Completing Investigations—Target 1

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 80% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 

10 months or less.

80% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 

10 months or less.

80% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 

10 months or less.

80% of 

investigations that 

developed sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 

10 months or less.

TBD 80% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing 

will be completed 

in 9 months or 

less.

Actual Completed 106 

investigations; 

98.1% (104) of 

those that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing 

were completed in 

10 months or less.

Completed 40 

investigations; 

98% (39) of those 

that developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing 

were completed in 

9 months or less.

Completed 93 

investigations; 

84% (78) of those 

that developed 

sufficient 

information to

reach a conclusion 

on wrongdoing 

were completed in 

9 months or less.

Completed 

114 investigations; 

83% (95) of those 

that developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing 

were completed in 

9 months or less.

Timeliness in Completing Investigations—Target 2

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Close 100% of 

Office of 

Investigations (OI) 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Close 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Close 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Close 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement action.

TBD Close 100% of OI 

investigations in 

time to initiate 

civil or criminal 

enforcement 

action.

Actual Closed 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Closed 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Closed 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Closed 100% of OI 

Investigations in 

time to initiate civil 

or criminal 

enforcement action.

RESEARCH

Timeliness of Completing Actions on Critical Research Programs*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

TBD 90% of major 

milestones met on 

or before their due 

date.

Actual 100% across 

programs

100% across 

programs

100% across 

programs

100% across

programs

*Critical research programs typically respond to high-priority needs from the Commission and the NRC’s licensing organizations. Critical research programs 

will be the highest priority needs identified at the beginning of each fiscal year.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 42 U.S. NUCLEAR REGULATORY COMMISSION

Acceptable Technical Quality of Agency Research Technical Products*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Combined score ≥ 

3.5

Combined score ≥ 

3.5

Combined score ≥ 

3.5

Combined score ≥ 

3.5

TBD Combined score ≥ 

3.75

Actual 4 4.6 4.8 4.5

EVENT RESPONSE

Emergency Response Performance Index*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 100% 100% 100% 100% TBD 100%

Actual 100% 100% 100% 100%

*This performance index provides a single overall performance measure of the agency’s 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 agency’s 

preparedness and response ability.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 43 U.S. NUCLEAR REGULATORY COMMISSION

NEW REACTORS 

New Reactors by Product Line 

(Dollars in Millions)

FY 2012 

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Product Line $M FTE $M FTE $M FTE

Licensing 131.9 483.1 104.8 439.9 (27.0) (43.2)

Oversight 35.7 197.1 39.1 198.3 3.5 1.2 

Rulemaking 1.8 9.0 2.6 14.1 0.7 5.0 

International Activities 1.6 9.5 1.2 7.0 (0.3) (2.5)

Research 9.6 37.0 9.1 27.3 (0.5) (9.7)

Generic HLS 0.8 3.6 0.0 0.0 (0.8) (3.6)

Subtotal $181.3 739.4 $156.9 686.6 ($24.4) (52.7)

Corporate Support 84.1 185.2 83.6 178.9 (0.5) (6.4)

Total $265.4 924.6 $240.5 865.5 ($24.9) (59.1)

Numbers may not add due to rounding.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 44 U.S. NUCLEAR REGULATORY COMMISSION

The work of the New Reactors Business Line responds to the industry’s renewed interest in building 

new commercial nuclear power plants to meet the Nation’s future electric power generation needs. All 

civilian nuclear power reactors must be licensed by the U.S. Nuclear Regulatory Commission (NRC) 

and adhere to the agency’s regulations to operate in the United States. Renewed demand and national 

policy initiatives, such as the U.S. Department of Energy’s Nuclear Power 2010 program and the 

Energy Policy Act of 2005, have stimulated a nuclear resurgence. The New Reactors Business Line is 

responsible for the regulatory activities associated with locating, licensing, and overseeing construction 

of new nuclear power reactors. The NRC reviews new nuclear power reactor design certification (DC), 

combined license (COL), and early site permit (ESP) applications consistent with Title 10 of the Code of 

Federal Regulations (10 CFR) Part 52, “Licenses, Certifications, and Approvals for Nuclear Power 

Plants,” and industry’s projected plans and schedules. The NRC also reviews new nuclear power 

reactor construction permit and operating license applications consistent with 10 CFR Part 50, 

“Domestic Licensing of Production and Utilization facilities.” The new reactor activities ensure that the 

development of new civilian nuclear power reactor facilities is done in a way that protects the public 

health and safety, protects the environment, and provides high assurance of security.

The NRC has streamlined the application process for new reactors under 10 CFR Part 52, including 

publishing a major revision in fiscal year (FY) 2008. By issuing a COL, the NRC authorizes the 

licensee to construct and, with specified conditions, operate a nuclear power plant at a specific 

site. The application process prescribed under 10 CFR Part 50, which was implemented for all 

currently operating reactors, involves separate applications for the issuance of a construction permit 

and an operating license. 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 45 U.S. NUCLEAR REGULATORY COMMISSION

The NRC continues to interact with vendors and utilities on prospective new reactor applications and 

licensing activities.

The NRC continues to perform technical reviews of large light-water reactors and to provide oversight 

of construction activities. These activities include conducting inspections of plants under construction, 

conducting inspections of component suppliers, and supporting inspections of key international nuclear 

equipment. In addition, the NRC will begin to review multiple advanced reactor applications.

The NRC has organized New Reactors activities into product lines that best support Safety and 

Security strategies and that affect strategic outcomes as they relate to new civilian reactors. The 

resources requested support all direct aspects of new reactors within the following six product lines: 

Licensing, Oversight, Rulemaking, Research, International Activities, and Generic Homeland Security. 

The outputs of the product lines under this business line contribute to the scoring of the NRC Safety 

and Security Performance Measures and their contribution to the achievement of its Strategic 

Outcomes.

CHANGES FROM FY 2012 ENACTED BUDGET

Resources decreased to support the implementation of the Fukushima Near-Term Task Force (NTTF) 

recommendations that included a shift from New Reactors to Operating Reactors. Other changes 

include a decrease due an agencywide effort to reduce overhead resources through increased 

efficiency and effectiveness. The decreases are offset by an increase to support the anticipated receipt 

of two advanced reactor DC applications and associated advanced reactor license applications and by 

an increase to prepare guidance documents, such as design-specific review standards. 

LICENSING

STRATEGIC GOAL STRATEGIES SUPPORTED BY LICENSING

Safety—develop, maintain, and implement licensing and regulatory programs for reactors.

Security—review security plans for consistency with security requirements.

For FY 2014, the NRC requests $104.8 million, including 439.9 FTE, for licensing activities. This 

funding level represents an overall decrease of $27.0 million, including 43.2 FTE, when compared with 

the FY 2012 enacted budget. Resources decreased to support implementation of the Fukushima NTTF 

recommendations that included a shift from New Reactors to Operating Reactors. Other changes 

include a decrease because of the completion of the Three White Flint North building, revised workload 

assumptions based on historical projected versus actual demand, and an agency wide effort to reduce 

overhead resources through increased efficiency and effectiveness. 

The Licensing Product Line supports the licensing process—the NRC’s determination that applicants’ 

plans for the development, construction, and operation of new nuclear power plants provide an 

adequate margin of safety and security to ensure protection of the public health and safety and the 

environment, consistent with the NRC’s rules and regulations.

Licensing includes reviewing and certifying new and advanced reactor designs and developing a 

regulatory framework, including the supporting technical basis to license advanced reactor designs. 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 46 U.S. NUCLEAR REGULATORY COMMISSION

The licensing workload includes the review of COL and operating license applications, including 

meetings before the Advisory Committee on Reactor Safeguards and hearing preparations before the 

Atomic Safety and Licensing Board Panel. A COL, issued by the NRC, authorizes the licensee to 

construct and, with specified conditions, operate a nuclear power plant at a specific site. As 

of June 2012, the NRC has received 18 COL applications from the nuclear power industry, and it is 

currently reviewing the 10 applications that remain active (2 applications were issued licenses, 5 

applicants requested their reviews be suspended, and 1 application was amended to become an ESP). 

The NRC expects to complete the licensing process for one application in FY 2013 and to continue 

work on the balance during FY 2014. Resources will fund environmental reviews and safety reviews, 

which include emergency preparedness technical reviews, security plan technical reviews, 

security-related assessments, and financial analysis of COL applicants. Licensing also provides the 

resources to support licensing-related legal representation, independent advice, and adjudicatory 

reviews; IT for licensing activities; an operator licensing system; scheduler support; and the regulatory 

infrastructure for licensing activities. 

The NRC issues a DC to certify a standard nuclear plant design that is independent of a specific 

site. This DC is valid for 15 years. Budgetary resources for licensing during FY 2014 will support the 

ongoing review of three DCs (U.S. Evolutionary Power Reactor (U.S.-EPR), U.S. Advanced 

Pressurized-Water Reactor (U.S.-APWR), and Korea Hydro Nuclear Power (formerly known as Korea 

Electric Power Corporation)); the continuing review of one DC renewal (advanced boiling-water reactor 

(ABWR)); startup reviews of a second DC renewal (ABWR); and two new DCs (Babcock & Wilcox 

mPower and NuScale). 

Licensing resources support the review of two ESP applications received in FY 2010 and the initiation 

of a review of an advanced reactor ESP expected in FY 2014.

Resources also support license amendments for post-COL activities. The NRC projects that a 

significant percentage of amendments will be for important or significant design changes associated 

with resolving first-of-a-kind construction issues. Resources also will continue to support review and 

evidentiary hearing activities; license-related legal advice and representation, independent advice, and 

adjudicatory reviews; and the regulatory infrastructure for postlicensing. 

Licensing resources support the expected reactivation of construction and licensing of Bellefonte, 

Unit 1.

New reactors licensing resources support incorporating interim staff guidance and lessons learned 

into regulatory guides and Standard Review Plans (SRPs), beginning the 5-year update of the SRP, 

developing and maintaining other staff guidance, and providing contract support for scheduling staff 

reviews. Resources continue to support the staff's effort to resolve identified policy and key technical 

issues facing advanced reactors. In addition, these resources support the implementation of issue 

resolutions through development of both new and revised rules and guidance documents. Resources 

also support the development and implementation of technical bases for anticipated advanced 

reactor applications. 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 47 U.S. NUCLEAR REGULATORY COMMISSION

OVERSIGHT 

STRATEGIC GOAL STRATEGIES SUPPORTED BY OVERSIGHT 

Safety—oversee the development and construction of new nuclear power reactors. 

Security—evaluate license applicants’ security plans. 

For FY 2014, the NRC requests $39.1 million, including 198.3 FTE, for oversight activities. This 

funding level represents an increase of $3.5 million, including 1.2 FTE, when compared with the 

FY 2012 enacted budget. This increase is because of the inspection of six reactors under construction 

and an increase in vendor inspections from 15 to 30. 

The Oversight Product Line provides resources to support construction inspection activities. During 

FY 2014, the NRC will develop and implement construction inspection activities to support inspection of 

six reactors under construction (Vogtle, Units 3 and 4; V.C. Summer, Units 2 and 3; Bellefonte, Unit 1; 

and Watts Bar, Unit 2). Oversight includes resources needed for an increase in enforcement-related 

casework, construction and vendor allegations, and investigations of wrongdoing. The NRC will 

continue inspection of construction and preoperational testing activities for Watts Bar, Unit 2, to support 

operation in FY 2014. For Bellefonte, Unit 1, the NRC will continue its inspections under the Deferred 

Plant Policy Statement on maintenance, preservation, and documentation activities and the program to 

assess the condition of the facility. Budgetary resources support an increase for up to 30 vendor 

inspections in FY 2014 to ensure integrity of the supply chain, consistent with the expected increase in 

the number of suppliers and sites under active construction. In addition, the NRC will support the 

continued implementation of a formal agency wide program to monitor and evaluate counterfeit, 

fraudulent, and suspect items, as developed in FY 2011.

Oversight seeks to verify that the new reactor construction process adequately protects public health 

and safety, protects the environment, and provides high assurance of the security of facilities through 

verification that plants are constructed to the requirements established during the licensing process.

In FY 2014, resources are needed to continue training, development, and construction of new reactor 

simulators at the Technical Training Center, the training development of new licensing examiners, and 

the Fitness-for-Duty (FFD) Program, including the operation and maintenance of the electronic 

reporting systems for FFD performance reports.

RULEMAKING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RULEMAKING 

Safety—use sound science and state-of-the--art methods to establish, where appropriate, risk-informed and 

performance-based regulations. 

Security—use a framework of rules and regulations to guide the security activities of the agency. 

For FY 2014, the NRC requests $2.6-million, including 14.1 FTE, for rulemaking activities. This funding 

level represents an increase of $0.7 million, including 5.0 FTE, when compared with the FY 2012 

enacted budget, which represents a slight increase for high-priority rulemaking. 

The Rulemaking Product Line supports activities to maintain the safety and security framework of rules, 

regulatory guidance, and SRPs. This framework promotes licensee compliance with underlying safety 

principles and security requirements. In FY 2014, resources support work on four high-priority 

rulemakings, two of which are directly related to DC activities, and the rulemaking under 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 48 U.S. NUCLEAR REGULATORY COMMISSION

10 CFR Part 21, “Reporting of Defects and Noncompliance,” and associated guidance development to, 

in part, resolve commitments in response to Inspector General audits. These resources also support 

one medium-priority Commission-directed rulemaking related to amending Appendix I, “Numerical 

Guides for Design Objectives and Limiting Conditions for Operation To Meet the Criterion ‘As Low As Is 

Reasonably Achievable’ for Radioactive Material in Light-Water-Cooled Nuclear Power Reactor 

Effluents,” to 10 CFR Part 50 to incorporate International Commission on Radiological Protection 

recommendations. 

INTERNATIONAL ACTIVITIES 

STRATEGIC GOAL STRATEGIES SUPPORTED BY INTERNATIONAL ACTIVITIES 

Safety—use domestic and international operating experience to inform decisionmaking. 

Security—work with international counterparts to exchange information. 

For FY 2014, the NRC requests $1.2 million, including 7.0 FTE, for International Activities. This funding 

level represents an overall decrease of $0.3 million, including 2.5 FTE, when compared with the 

FY 2012 enacted budget, which does not represent a significant change in workload. 

The International Product Line supports the NRC’s interface with international counterparts to exchange 

information, expertise, operating experience, and research results. These activities help the NRC 

recognize and respond to emerging technical issues and to promote best safety and security 

practices. Resources support the continued participation in the Multinational Design Evaluation 

Program that will continue international exchanges of licensing and construction inspection activities to 

potentially increase safety at U.S. sites. 

RESEARCH 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RESEARCH 

Safety—improve the NRC’s regulatory programs and apply safety-focused research to anticipate and resolve 

safety issues. 

Security—use research to inform the security activities of the agency. 

For FY 2014, the NRC requests $9.1 million, including 27.3 FTE, for research activities. This funding 

level represents an overall decrease of $0.5 million, including 9.7 FTE, when compared with the 

FY 2012 enacted budget, which does not represent a significant change in workload. 

The NRC’s research program mission is to evaluate and resolve safety issues for nuclear power plants 

and other facilities and materials that the agency regulates. This includes evaluating existing and 

potential safety issues; supplying independent expertise, information, and technical judgments to 

support timely and realistic regulatory decisions; reducing uncertainties in risk assessments; and 

developing technical regulations and standards.

New reactors research funding supports the resolution of technical issues in DC reviews; development 

of regulatory guidance for new reactor licensing; advancement of the NRC’s knowledge of, and 

infrastructure for, earthquake engineering; and development of new reactor plant models. Research 

resources also support the advanced reactors program, including the development of expertise, tools, 

and data in thermal-hydraulics, severe accidents, probabilistic risk assessment, and seismic and 
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 49 U.S. NUCLEAR REGULATORY COMMISSION

structural analysis. Advanced reactor program research will support the review of integral 

pressurized-water reactors. 

GENERIC HOMELAND SECURITY 

STRATEGIC GOAL STRATEGIES SUPPORTED BY GENERIC HOMELAND SECURITY 

Safety—effectively respond to events at NRC-licensed facilities and other events of national interest, including 

maintaining and enhancing the NRC’s critical incident response and communication capabilities. 

Security—support Federal response plans that use an approach to the security of nuclear facilities and 

radioactive material that integrates the efforts of licensees and Federal, State, local, and Tribal authorities. 

THE NRC REVIEWED THE ACTIVITIES UNDER THE DEFINITIONS FOR THE GENERIC HLS PRODUCT AND SHIFTED SOME 

RESOURCES TO NON-GENERIC HLS PRODUCTS IN ORDER TO MORE ACCURATELY ALIGN RESOURCES TO THE PLANNED 

WORKLOAD.

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

The NRC continued the technical and safety reviews of 10 COLs, 2 ESPs, 2 DC amendments, and

2 DC renewals. The agency issued the first-ever COLs for Vogtle and V.C. Summer along with a 

limited work authorization for Vogtle. The NRC prepared two high-priority rulemakings for the 

Westinghouse AP1000 and ABWR final rule. 

In addition, the staff completed the final supplemental environmental impact statement for Levy County 

COL. The NRC continued its safety and environmental reviews of two ESP applications: Victoria 

County and PSE&G. In August 2012, the ESP application for Victoria County Station was withdrawn by 

the applicant. The NRC initiated pre-licensing activities for the Blue Castle ESP application. 

The agency provided Congress with a report describing the staff’s overall strategy to prepare for 

reviewing advanced reactor designs. The NRC continued pre-application reviews for two small 

modular reactors. The NRC also began an extensive inspection and licensing effort associated with the 

reactivation of the Tennessee Valley Authority Watts Bar unit 2 Nuclear Power Plant.
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 50 U.S. NUCLEAR REGULATORY COMMISSION

OUTPUT MEASURES 

LICENSING

Review ESP Applications on the Schedules Negotiated with the Applicants

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete one ESP 

review (Vogtle).

No ESPs planned 

for FY 2010.

No ESPs planned 

for FY 2011.

Review Victoria 

and PSE&G 

applications.*

TBD Continue Victoria 

and PSE&G 

reviews. 

Actual Issued Vogtle ESP 

review on 

schedule.

Completed 

milestones for two 

ESP reviews 

(Vogtle and 

PSE&G).

No ESPs conducted 

during FY 2011.

Continued review 

of the PSEG ESP 

application. The 

Victoria County 

ESP application 

was withdrawn in 

August 2012.

*Change in previously reported FY 2012 because of resource planning changes.

Review DC Applications on the Schedules Negotiated with the Applicants

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete 

milestones 

necessary to 

support ESBWR, 

U.S.-EPR, and 

U.S.-APWR DC 

reviews. Complete 

review of AP1000 

DC application.

Complete review 

of ESBWR DC 

application 

(rulemaking) and 

AP1000 amended 

application 

(rulemaking) and 

continue review of 

U.S.-EPR and 

U.S.-APWR DC 

applications.

Complete review 

of ESBWR DC 

application 

(rulemaking) and 

AP1000 amended 

application 

(rulemaking) and 

continue review of 

U.S.-EPR and 

APWR DC 

applications.

Complete 

rulemaking 

activities for 

AP1000 

amendment and 

ESBWR and ABWR 

AIA amendment. 

Complete review 

of EPR design. 

Begin rulemaking 

activities for the 

EPR and the 

U.S.-APWR.* 

TBD Continue review of 

U.S.-APWR, 

KEPCO, and one 

ABWR DC renewal. 

Begin milestones 

necessary to 

support the 

second U.S.-ABWR 

DC renewal. 

Complete review 

of U.S.-EPR design 

and rulemaking. 

Continue 

rulemaking 

activities for 

U.S.-APWR. 

Actual Completed 

milestones 

necessary to 

support the 

ESBWR, U.S.-EPR, 

and U.S.-APWR 

DCs. 

Completed 

milestones 

associated with 

ABWR design 

certification 

amendment.

Completed 

milestones to 

support 

U.S.-ESBWR, 

U.S.-EPR, AP1000 

amendment, 

U.S.-APWR design, 

and U.S.-ABWR 

amendment 

reviews.

Completed review 

of ESBWR DC 

application 

(rulemaking) and 

AP1000 amended 

application 

(rulemaking) and 

continued review 

of U.S.-EPR and 

U.S.-APWR.

Completed AP1000 

DC amendment 

and the U.S.-ABWR 

amendment.

*Change to previously reported the FY 2012 and FY 2013 target is because the applicant inability to provide complete and timely submittals to allow the 

staff to complete safety reviews on the previously agreed upon schedules has led to the need to revise completion dates associated with the ESBWR, U.S.-

EPR, and U.S.-APWR.
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 51 U.S. NUCLEAR REGULATORY COMMISSION

Review Small Modular Reactor DC Applications on the Schedules Negotiated with the Applicants

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in FY 

2013

TBD Complete 

milestones 

necessary to 

support the review 

of two SMR DC 

applications

Actual

*Change to previously reported FY 2012 target because of resource planning changes. Excludes Watts Bar, Unit 2; Bellefonte, Unit 1; and Clinch-River.

**Five of the 17 COLs scheduled for review during FY 2011 remained in a suspended status (outside of the NRC’s control).

***Excludes Watts Bar, Unit 2, and Bellefonte, Unit 1.

Identify and Resolve Policy and Key Technical Issues Facing the Review of SMR Applications

Implement Resolutions through Rule Changes or Guidance Development

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure for 

FY 2013

TBD Complete milestones 

necessary to support 

the resolution of 

policy and key 

technical issues. In 

addition, complete 

milestones necessary 

to support 

implementation of 

resolutions.

Actual

Review SMR Preapplication Submittals on the Schedules Negotiated with the Applicants

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2013

TBD Complete 

milestones 

necessary to 

support 

preapplication 

activities for 

two DC 

applications .

Actual

Review SMR COL and Construction Permit Applications on the Schedules Negotiated with the Applicants

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in FY 

2013

TBD Complete 

milestones 

necessary to 

support the review 

of the TVA 

construction 

permit. 

Actual
NUCLEAR REACTOR SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 52 U.S. NUCLEAR REGULATORY COMMISSION

OVERSIGHT

Complete All Vendor Inspections as Scheduled and Resourced

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in FY 

2010

Complete 10 

domestic and 

international 

vendor 

inspections.

Complete 15 

domestic and 

international 

vendor 

inspections.

Complete 15 

domestic and 

international 

vendor 

inspections.

TBD Complete 30 

domestic and 

international 

vendor 

inspections.

Actual Completed 11 

vendor 

inspections, 6 

quality assurance 

implementation 

inspections, and 3 

aircraft impact 

assessment 

inspections.

Completed 15 

domestic and 

international 

vendor 

inspections.

Completed 27 

vendor 

inspections.
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 53 U.S. NUCLEAR REGULATORY COMMISSION
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 54 U.S. NUCLEAR REGULATORY COMMISSION
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 55 U.S. NUCLEAR REGULATORY COMMISSION

NUCLEAR MATERIALS AND WASTE SAFETY 

NUCLEAR MATERIALS AND WASTE SAFETY STRATEGIC GOALS 

Safety—ensure adequate protection of public health and safety and the environment. 

Security—ensure adequate protection in the secure use and management of radioactive materials. 

The Nuclear Materials and Waste Safety Program encompasses the U.S. Nuclear Regulatory 

Commission (NRC) efforts to ensure that nuclear materials are used and that waste is managed in a 

manner that adequately protects the health and safety of the public, protects the environment, and 

promotes the common defense and security. Through this program, the NRC regulates uranium 

processing and fuel facilities; nuclear materials users (medical, industrial, research, and academic); 

spent fuel storage; transportation of radioactive materials; decontamination and decommissioning of 

facilities; and low-level and high-level radioactive waste. This program contributes to the NRC’s Safety 

and Security goals through activities of the Fuel Facilities, Nuclear Materials Users, Spent Fuel Storage 

and Transportation, Decommissioning and Low-Level Waste Business Lines that license and regulate 

nuclear materials and waste to ensure their safe and secure handling. The Atomic Energy Act of 1954, 

as amended; the Energy Reorganization Act of 1974, as amended; the Nuclear Waste Policy Act of 

1982; and the Energy Policy Act of 2005 are the foundations of the NRC’s regulatory authority.

The nuclear fuel cycle process includes extraction of uranium from the ore, conversion of the uranium 

into a form suitable for enrichment, enrichment of the uranium to a level and type suitable for nuclear 

fuel, and use of the enriched uranium in fabricating fuel assemblies for use in nuclear reactors. The 

NRC licenses, oversees, and regulates the facilities involved in the process. Nuclear materials have 

many industrial, medical, and academic uses outside the nuclear fuel cycle. The NRC licenses, 

oversees, and regulates large and small users of nuclear materials, such as radiographers, hospitals, 

private physicians, nuclear gauge users, irradiators, and universities. Licensees with special nuclear 

material (SNM) verify and document their inventories in the Nuclear Materials Management and 

Safeguards System (NMMSS) database, which tracks material transfers and inventories. Both the 

NRC and the Agreement States carry out their respective radiation safety regulatory programs for 

nuclear materials users under the framework of the National Materials Program (NMP). This covers 

activities solely carried out by the NRC and 37 Agreement State programs, such as licensing, 

inspection, response to incidents, staffing and training, and enforcement and investigation.

About three million packages of radioactive materials are shipped each year in the United States by 

road, rail, air, or water. Regulating the safety of commercial radioactive material shipments is the joint 

responsibility of the NRC and the U.S. Department of Transportation. The NRC reviews and certifies 

shipping packages for the commercial transport of large quantities of radioactive materials to ensure 

transportation safety. In addition, the NRC reviews and certifies shipping package designs for the 

U.S. Department of Energy’s noncommercial transuranic waste shipments. 

The NRC ensures safety and security in the management and disposition of radioactive waste. Nuclear 

waste is categorized as either low-level radioactive waste (LLW) or high-level radioactive waste (HLW). 

The NRC and the Agreement States regulate the management and disposition of LLW. The NRC or 

Agreement States license, oversee, and regulate commercial LLW disposal facilities.

The majority of HLW is the irradiated fuel from commercial nuclear power reactors. The NRC licenses, 

oversees, and regulates the management and disposition of HLW from commercial nuclear power 

plants and other reactors. Irradiated fuel initially is stored in pools at reactor sites; after an appropriate 

time period, it is moved to dry storage. Dry storage is done in casks, or canisters, that the NRC has 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 56 U.S. NUCLEAR REGULATORY COMMISSION

certified for such use. These casks are stored at independent spent fuel storage installations that the 

NRC licenses and regulates. 

Decommissioning is the safe removal of a nuclear facility from service and reduction of residual 

radioactivity to a level that permits release of the property and termination of the NRC license. The 

NRC and Agreement States regulate the decontamination and decommissioning of uranium recovery 

facilities, materials and fuel cycle facilities, nuclear power plants, and research and test reactors. 

Security efforts in this program include safeguards and security reviews and inspections, Force-onForce (FOF) exercises for certain fuel cycle facilities, regulatory improvements, and implementation of a 

national registry (i.e., the National Source Tracking System (NSTS)) of radioactive sources of concern 

and the Integrated Source Management Portfolio (ISMP). The NRC will continue to maintain a high 

state of incident response readiness and coordination with other Federal, State, and local agencies. 

Nuclear Materials and Waste Safety

(Dollars in Millions)

FY 2012 

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Business Line $M FTE $M FTE $M FTE

Fuel Facilities 56.1 228.4 60.2 237.7 4.1 9.3 

Nuclear Materials 

Users

93.0 344.7 86.9 318.7 (6.1) (25.9)

Spent Fuel Storage 

and Transportation

40.8 155.1 45.4 160.7 4.6 5.6 

Decommissioning 

and Low-Level Waste

37.3 142.1 39.0 142.1 1.8 (0.0)

Total $227.1 870.4 $231.5 859.2 $4.4 (11.1)

Numbers may not add due to rounding.

PROGRAM RESOURCE SUMMARY

The FY 2014 proposed budget request for Nuclear Materials and Waste Safety is $231.5 million, which 

includes $94.1 million in contract support and travel, and $137.4 million in salaries and benefits to 

support 859.2 full-time equivalents (FTE). This would fund activities in Fuel Facilities, Nuclear Materials 

Users, Spent Fuel Storage and Transportation, and Decommissioning and LLW Business Lines. This 

funding level represents an increase of $4.4 million, including a decrease of 11.1 FTE when compared 

with the FY 2012 enacted budget, which is primarily because of support for a revised Waste 

Confidence decision.
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 57 U.S. NUCLEAR REGULATORY COMMISSION

FUEL FACILITIES

Fuel Facilities by Product Line 

(Dollars in Millions)

FY 2012 

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Product Line $M FTE $M FTE $M FTE

Licensing 10.8 54.3 9.3 43.4 (1.5) (10.8)

Oversight 17.8 103.0 20.3 112.6 2.5 9.6 

Rulemaking 1.8 8.0 2.5 12.7 0.7 4.7 

International Activities 1.1 5.1 2.0 11.4 0.9 6.3 

Research 0.5 1.4 0.1 0.8 (0.3) (0.6)

Generic HLS 3.1 8.4 2.8 5.2 (0.3) (3.2)

Event Response 0.6 3.5 0.6 3.5 0.0 (0.0)

Subtotal $35.7 183.6 $37.7 189.5 $2.0 6.0 

Corporate Support 20.4 44.9 22.5 48.2 2.1 3.3 

Total $56.1 228.4 $60.2 237.7 $4.1 9.3 

Numbers may not add due to rounding.
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 58 U.S. NUCLEAR REGULATORY COMMISSION

The Fuel Facilities Business Line activities ensure that fuel cycle facilities are licensed and operated in 

a manner that adequately protects the public health and safety, protects the environment, and 

promotes the common defense and security. Once uranium ore has been mined and milled (extraction 

of uranium from the ore), it moves on to conversion, enrichment, and fuel fabrication 

facilities. Conversion of the uranium changes it into a form suitable for enrichment. Enrichment 

processes the uranium to a level and type suitable for nuclear fuel, and fabrication uses the enriched 

uranium to make fuel assemblies for nuclear reactors. The NRC licenses, oversees, and regulates fuel 

cycle facilities, such as conversion, enrichment, and fuel fabrication facilities, as well as nuclear fuel

research and pilot facilities. There are four uranium enrichment facilities and seven licensed major fuel 

fabrication and production facilities in the United States.

In fiscal year (FY) 2014, the NRC will oversee the construction of (1) the General Electric-Hitachi laser 

enrichment facility, (2) the AREVA centrifuge enrichment facility, and the (3) International Isotopes 

(INIS) depleted uranium deconversion facility and will continue conducting primary systems, structures, 

and components verifications for the Mixed-Oxide (MOX) Fuel Fabrication Facility. The NRC will 

continue to oversee operation of the other fuel cycle facilities. 

The NRC will continue to evaluate routine license amendments to support changes in the plans for 

construction of approved facilities and in the operation of existing licensed facilities. Licensed fuel 

facilities possess special nuclear material (SNM), such as plutonium and enriched uranium. These 

SNM licensees verify and document their inventories and material transfers in the Nuclear Materials 

Management and Safeguard System (NMMSS) database.

Fuel Facilities Business Line activities also include the Nuclear Materials Information Program and the 

interagency agreement with the U.S. Department of Energy (DOE) for certification and accreditation of 

classified computer systems at enrichment facilities. Other activities include environmental, emergency 

preparedness, and licensee performance reviews; legal advice and representation; adjudicatory 

hearing-related activities; independent review and advice; security support for licensing activities; 

inspection oversight; allegations and enforcement activities; rulemaking; international cooperation and 

assistance; International Atomic Energy Agency (IAEA) missions; export and import licensing; and 

treaties, agreements, and conventions.

The NRC has organized the activities of the Fuel Facilities Business Line into product lines that best 

support Safety and Security strategies and accomplish strategic outcomes as they relate to fuel cycle 

facilities. The resources requested support all direct aspects of planned activities within the following 

seven product lines: Licensing, Oversight, Rulemaking, Research, International Activities, Generic 

Homeland Security, and Event Response.

The outputs of the product lines under this business line contribute to the scoring of the NRC Safety 

and Security Performance Measures and their contribution to the achievement of the agency’s Strategic 

Outcomes.

CHANGES FROM FY 2012 ENACTED BUDGET

Resources increase to support construction oversight at the MOX, AREVA, General Electric-Hitachi 

and INIS facilities; continued enhancements to the fuel cycle oversight process (FCOP) and the 

oversight infrastructure; and activities related to applications of International Safeguards at enrichment 

facilities, such as Louisiana Energy Services (LES), General Electric-Hitachi, and AREVA Eagle 

Rock. These increases were partially offset by decreases to reflect the transfer of funding to support 

the medical isotope application review under Title 10 of the Code of Federal Regulations (10 CFR) 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 59 U.S. NUCLEAR REGULATORY COMMISSION

Part 50, “Domestic Licensing of Production and Utilization Facilities,” that the Operating Reactor 

Business Line is funding and by a decrease in security support for licensing activities. 

LICENSING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY LICENSING 

Safety—develop, maintain, and implement licensing and regulatory programs for fuel facilities’ material, 

spent fuel management, waste management, uranium recovery, and decommissioning. 

Security—review security plans and changes for consistency with security requirements. 

For FY 2014, the NRC requests $9.3 million, including 43.4 FTE, for licensing activities. This funding 

level represents a decrease of $1.5 million, including 10.8 FTE, when compared with the FY 2012 

enacted budget. This decrease is because of the completion of existing license applications and the 

issuance of licenses.

Activities under the Licensing Product Line confirm that requests for new facilities and license renewals 

and amendments are consistent with the NRC’s rules and regulations to ensure the adequate 

protection of the public health and safety, to protect the environment, and to promote the common 

defense and security. 

Licensing provides resources for the following:

• Licensing actions for conversion and deconversion, enrichment, fuel fabrication and greater 

than critical mass (GTCM) facilities, including new facilities at MOX, AREVA, General 

Electric-Hitachi, and INIS. Resources allow for project management, technical reviews, and 

financial assurance and decommissioning plan reviews of all new applications, amendments, 

and renewals. In addition, resources support interagency agreements for classified computer 

networks. Resources also allow the Advisory Committee for Reactor Safeguards members and 

staff to provide timely and independent advice to the Commission on fuel-cycle-related matters. 

Further, resources support adjudicatory hearing-related activities and legal advice and 

representation on issues associated with licensing.

• Licensing support and reviews, including support to assist in the review of new reactor 

environmental reports and preparation of environmental impact statements, material control and 

accounting (MC&A), safeguards and criticality safety support to reactors, new reactors, and 

decommissioned sites. 

• Emergency preparedness licensing reviews for operating fuel cycle facilities. Resources 

provide continued support for annual reviews of emergency plans for fuel fabrication facilities 

and review and analysis of licensee amendment requests.

• Environmental reviews for fuel cycle facility license applications, license renewals, amendments 

and preapplication activities. Additionally, resources support reviews for license transfer 

applications, provide hearing support for license applications, and provide support during 

license renewal. Examples include one complex amendment (Westinghouse Electric 

Corporation’s potential change to a dry conversion process); INIS Phase 2; a license application 

for a source detection experiment and testing facility under 10 CFR Part 70, “Domestic 

Licensing of Special Nuclear Material”; and an MOX facility expansion.
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 60 U.S. NUCLEAR REGULATORY COMMISSION

• Regulatory activities related to agency followup to the Fukushima event, including actions from 

the Fukushima Near-Term Task Force, and inspections conducted under Temporary 

Instruction 2600/015, “Evaluation of Licensee Strategies for the Prevention and/or Mitigation of 

Emergencies at Fuel Facilities.”

• Security support for licensing activities (includes fuel manufacturing facilities, new enrichment 

technologies, and enrichment and conversion facilities), including interoffice coordination and 

support for the increased number of operating facilities (LES and U.S. Enrichment Corp 

(USEC)). 

OVERSIGHT 

STRATEGIC GOAL STRATEGIES SUPPORTED BY OVERSIGHT

Safety—oversee licensee safety performance through inspections, investigations, enforcement, and 

performance assessment activities. 

Security—oversee licensee security performance through inspections and Force-on-Force exercises. 

For FY 2014, the NRC requests $20.3 million, including 112.6 FTE, for oversight activities. This 

funding level represents an increase of $2.5 million, including 9.6 FTE, when compared with the 

FY 2012 enacted budget. This increase is because of increased oversight to support significant 

construction activities.

The oversight process ensures that licensees take appropriate actions to maintain acceptable operating 

performance to ensure the adequate protection of the public health and safety, to protect the 

environment, and to promote the common defense and security. The oversight process also ensures 

that facilities under construction are built in accordance with NRC requirements. 

The Oversight Product Line supports the following:

• Overall management of the oversight program for fuel facilities, including development and 

maintenance of policies, programs, and procedures for inspections of operating facilities and 

facilities under construction; assessment of the implementation of the inspection program; 

development a fuel cycle operating experience program; and development of a risk-informed 

FCOP. Resources also support coordination of inspection procedures, event coordination, and 

the MOX primary systems, structures, and components verification inspections. Resources 

support regional baseline and reactive inspections of operating fuel facilities and facilities under 

construction. This includes inspections of the Lead Cascade, Babcock & Wilcox, Nuclear Fuel 

Services, Paducah, Honeywell, Westinghouse, Global Nuclear Fuels, AREVA-Richland, 

URENCO USA, Global Laser Enrichment, MOX Fabrication, and INIS facilities. Resources also 

support the increase in construction and operational readiness for the MOX Fuel Fabrication 

Facility, AREVA-Eagle Rock, General Electric-Hitachi, and the INIS. Resources allow for 

regional support to FCOP and infrastructure enhancements and for regional inspections at 

General Electric-Vallecitos.

• Review of investigation reports, processing of enforcement actions, and oversight of project and 

contract management on the external safety culture and Alternative Dispute Resolution (ADR) 

Programs. 
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 61 U.S. NUCLEAR REGULATORY COMMISSION

• Maintenance of baseline inspections for safety, security, physical projection, Force-on-Force, 

and reactive inspections of operating facilities. Inspection oversight will increase as LES, 

USEC/American Centrifuge Plant (ACP), AREVA, General Electric-Hitachi, MOX, and INIS 

begin or continue to construct their facilities. Inspection frequency has increased for these 

facilities based on concerns about control of access to sensitive information. In addition, the 

NRC is committed to enhancing FCOP to be more effective and efficient. 

RULEMAKING

STRATEGIC GOAL STRATEGIES SUPPORTED BY RULEMAKING 

Safety—maintain a framework of rules, regulatory guidance, and standard review plans that promote licensee 

compliance with underlying safety principles. 

Security—use a risk-informed approach to implement appropriate regulatory controls for the possession, 

handling, import, export, and transshipment of radioactive materials. 

For FY 2014, the NRC requests $2.5 million, including 12.7 FTE, for rulemaking activities. This funding 

level represents an increase of $0.7 million, including 4.7 FTE, when compared with the FY 2012 

enacted budget. This increase is to support cyber security, chemical security, and fitness for duty. The 

Rulemaking Product Line supports developing cyber security regulations for fuel cycle facilities. 

In addition, resources provide support for rulemaking in security-related areas, including enhanced 

security at fuel cycle facilities (Category I, II, and III and gaseous diffusion plants). This supports 

guidance development, outreach, and work with the interagency on material attractiveness. Further, 

resources will support proposed rule development and the updating of regulatory guidance for the 

enhancements to fuel cycle and special nuclear material (SNM) security. 

INTERNATIONAL ACTIVITIES

STRATEGIC GOAL STRATEGIES SUPPORTED BY INTERNATIONAL ACTIVITIES 

Safety—use international collaboration and coordination to inform decisionmaking. 

Security—promote U.S. national security interests and nuclear proliferation policy objectives for NRC-licensed 

imports and exports of source and SNM and nuclear equipment. 

For FY 2014, the NRC requests $2.0 million, including 11.4 FTE, for international activities. This 

funding level represents an increase of $0.9 million, including 6.3 FTE, when compared with the 

FY 2012 enacted budget. Resources primarily increase to reflect the reallocation of activities from the 

Material Users business line to more accurately align resources by business line. Resources also 

increase to strengthen IAEA safeguards approach to enrichment facilities being licensed and to support 

an increase in bi-lateral meetings to discuss safeguards approach at enrichment facilities and other fuel 

cycle facilities.

The NRC works with international counterparts to exchange information, expertise, operating 

experiences, and ongoing research to recognize and respond to emerging technical issues and to 

promote best safety and security practices. The International Activities Product Line supports the 

application of IAEA safeguards to fuel cycle facilities, international coordination, and assistance on 

next-generation safeguards designs. 
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The International Activities Product Line supports the following:

• Activities that include obligation tracking reviews, approvals, and treaty compliance activities 

that support the nonproliferation treaty, and Additional Protocol treaty for all NRC licensees 

(including Agreement States licensees).

• Activities involved in import and export license applications reviews, DOE Part 0810, and import 

and export of technology and equipment.

• Training and assistance to other countries through existing multilateral and bilateral agreements 

and through bilateral and multilateral discussions with, and support for, other countries and 

international organizations on physical protection matters. 

• Bilateral visits involving physical protection conducted with other countries possessing or 

obtaining U.S.-origin SNM to conduct import or export licensing reviews.

RESEARCH 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RESEARCH 

Safety—improve the NRC’s regulatory programs and apply safety-focused research to anticipate and resolve 

safety issues. 

Security—use research to inform the security activities of the agency. 

For FY 2014, the NRC requests $0.1 million, including 0.8 FTE, for research activities, which is a 

decrease of $0.3 million, including 0.6 FTE, when compared to the FY 2012 enacted budget. 

Resources decrease to reflect the completion of reviews of fuel cycle facility applications and a longterm research project on advanced reprocessing. This decrease is partially offset by an increase to 

support the revised Fuel Cycle Oversight Program and cable fire testing for fuel facilities.

The Research Product Line supports the NRC’s regulatory mission by providing technical advice, tools, 

and information to identify and resolve safety issues and to make regulatory decisions. This includes 

conducting confirmatory experiments and analyzing and preparing the agency for the future by 

evaluating the safety aspects of new technologies. Resources support user needs related to the FCOP 

and cable fire testing for fuel facilities.

GENERIC HOMELAND SECURITY

STRATEGIC GOAL STRATEGIES SUPPORTED BY GENERIC HOMELAND SECURITY 

Safety—conduct NRC safety, security, and emergency preparedness programs in an integrated manner. 

Security—support Federal response plans that use an approach to the security of nuclear facilities and 

radioactive material that integrates the efforts of licensees and Federal, State, local, and Tribal authorities. 

In FY 2014, the NRC requests $2.8 million, including 5.2 FTE for generic homeland security activities. 

This funding level represents a decrease of $0.3 million and 3.2 FTE when compared with the FY 2012 

enacted budget, which does not represent a significant change in workload.

The Generic Homeland Security Product Line supports security activities related to intergovernmental 

coordination and communication. It also supports security activities that are not plant-specific nor 

associated with a rulemaking, licensing, inspection, or oversight. 
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Resources support the NMMSS database, NMIP, and a contract with U.S. Department of Army to 

monitor domestic travel of classified technology. Resources also support activities related to 

intergovernmental coordination and cooperation and communication on homeland security matters.

EVENT RESPONSE

STRATEGIC GOAL STRATEGIES SUPPORTED BY EVENT RESPONSE 

Safety—effectively respond to events at NRC-licensed facilities and other events of national interest, including 

maintaining and enhancing the NRC’s critical incident response and communication capabilities. 

Security—support Federal response plans that use an approach to the security of nuclear facilities and 

radioactive material that integrates the efforts of licensees and Federal, State, local, and Tribal authorities. 

In FY 2014, the NRC requests $0.6 million, including 3.5 FTE, for event response activities, which does not 

represent a significant change in resources or workload when compared with the FY 2012 enacted budget.

The Event Response product line supports efforts to develop and enhance the fuel facilities event 

response program, plans, and procedures. Resources provide for one full-participation emergency 

preparedness exercise with an operating fuel facility. Resources also support the development and 

maintenance of the response capability associated with fuel facility-related incidents (i.e., emergency 

response coordinators, a training and qualification program, procedures, intra- and interagency 

coordination and outreach, and incident response actions for fuel facility licensees). Additional 

resources have been added to maintain 24 hour mobile response program, which will be used to 

predict chemical effects in drills and in real events at fuel facilities. 

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

The agency completed review of the General Electric-Hitachi license application for the Wilmington 

laser enrichment facility and issued the safety evaluation report (SER) and FEIS in February 2012. The 

NRC staff concluded that the license application provides an adequate basis for safety and safeguards 

and that the operations from the proposed activities will not pose an undue risk to worker or public 

health and safety. The staff conducted a public meeting on May 10, 2012, in Wilmington to discuss its 

FEIS and SER findings. The mandatory hearing was held in July 2012 in Rockville, MD. The Atomic 

Safety and Licensing Board (ASLB) issued its determination decision in September 2012. 

In December 2010, the agency issued the final SER for the license application by Shaw AREVA MOX 

Services, LLC, to possess and use radioactive material at the MOX fuel fabrication facility at the DOE’s 

Savannah River Site near Aiken, SC. The SER was reviewed and approved. The licensing hearing 

was held on March 7–9, 2012. The ASLB made a ruling on June 29, 2012. In that ruling, the ASLB 

determined that additional information is needed from the applicant before disposition of the 

contentions can be made.

In May 2012, the agency issued the SER for the license application by International Isotopes Fluorine 

Products (IIFP) to construct and operate a facility to convert depleted uranium hexafluoride into an 

oxide form for ultimate disposal and to recover the fluorine for other commercial applications. The 

SER for IIFP was completed in May 2012 and published as NUREG-2116, “Safety Evaluation Report 

for the International Isotopes Fluorine Products, Inc., Fluorine Extraction Process and Depleted 

Uranium Deconversion Plant in Lea County, New Mexico.” In August 2012, the FEIS was completed 

and published as NUREG-2113, “Final Environmental Impact Statement for the Proposed Fluorine 
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Extraction Process and Depleted Uranium Deconversion Plant.” The license was issued in 

October 2012. Construction is scheduled to begin in mid-2013.

During FY 2012, the agency continued to define the technical basis needed to support the development 

of possible future regulations related to reprocessing facility licensing to resolve gaps and support an 

effective and efficient regulatory framework. 

In FY 2009, the agency began an initiative to revise and consolidate the regulations for MC&A of SNM. 

During FY 2010, staff began developing the draft rule text, and this work continued into early 

FY 2013. The draft rule text is expected to be released for public comment in early FY 2014.

A proposed rule and draft guidance to require an integrated safety analysis for certain 10 CFR Part 40 

facilities was published in the Federal Register on May 17, 2011. The public comment period ended in 

September 2011, and the staff considered public comments for the proposed Draft Final Rule. The 

Draft Final Rule is currently with the Commission for consideration.
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OUTPUT MEASURES

LICENSING

Timeliness of Completing “Complex” Fuel Cycle Licensing Actions, from the Date of Acceptance, Excluding Requests for

Additional Information (RAIs) with an Assumption of 30-Day Response to a Request for Additional Information

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in FY 

2012

100% ≤ 1.5 years 

(yr)

100% ≤ 1.5 yr 100% ≤ 1.5 yr TBD 100% < 1.5 yr

Actual 100% ≤ 1.5 yr 98% ≤ 1.5 yr* 96% ≤ 1.5 yr**

*The late licensing action was a complex review that included four separate actions. The licensee did not provide the final version in response to RAIs until late in the process 

(500 days). A field verification was required following receipt of the final documents, and the action was closed in 599 days.

**The late licensing action was due to the management decision to focus on higher priority licensing working, challenging and contentious nature of the safety and 

environmental reviews, extensive stakeholder interactions, and changing expectations in the depth and detail of the SER. The staff is developing and implementing lessons 

learned to improve the license renewal process and other significant licensing actions.

Timeliness of Completing "Noncomplex" Fuel Cycle Licensing Actions (e.g., Amendments and Reviews) from the Date of Acceptance, including a 30-Day 

Response for an RAI

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in FY 

2010

85% ≤ 150 days 

100% < 1 yr

85% ≤ 150 days 

100% < 1 yr

85% ≤ 150 days 

100% < 1 yr

TBD 85% ≤ 150 days 

100% < 1 yr

Actual 92% ≤ 150 days 

100% < 1 yr

92% ≤ 150 days 

100% < 1 yr

93% ≤150 days

100% ≤ 1 yr

New Fuel Facilities Hearing Support*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New efficiency 

measure to begin 

in FY 2011

Actual hours 

expended on 

major tasks in 

support of 

licensing board 

hearings, as 

documented in the 

Fuel Cycle Safety 

and Safeguards 

Division Operating 

Plan, will not 

exceed the 

projected hours by 

more than 10%.*

Actual hours 

expended on 

major tasks in 

support of 

licensing board 

hearings, as 

documented in the 

Fuel Cycle Safety 

and Safeguards 

Division Operating 

Plan, will not 

exceed the 

projected hours by 

more than 10%.*

TBD Actual hours 

expended on 

major tasks in 

support of 

licensing board 

hearings, as 

documented in the 

Fuel Cycle Safety 

and Safeguards 

Division Operating 

Plan, will not 

exceed the 

projected hours by 

more than 10%.*

Actual Target was met. Target was met.

*Targets, baselines, and calculation methods are under development, and the measure may be revised.
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OVERSIGHT

Timeliness in Completing Reviews for Technical Allegations

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

TBD 90% < 150 days 

95% < 180 days 

100% < 360 days

Actual 100% ≤ 150 days 

100% ≤ 180 days 

100% ≤ 360 days

81% ≤ 150 days* 

96% ≤ 180 days 

100% ≤ 360 days

97% ≤ 150 days 

98% ≤ 180 days 

100% ≤ 360 days

94% ≤ 150 days

97% ≤ 180 days

**97% ≤ 360 days

*This metric was not met because allegations in the first quarter were not being closed in ≤ 150 days. Three of the four were affected by regional staff 

reassignments and case complexities requiring substantial staff and management review. The fourth case involved issues of dual regulation between the 

NRC and the U.S. Environmental Protection Agency (EPA) and required extensive research of EPA requirements and communications with State 

representatives. The region focused attention in this area throughout the remainder of FY 2010 (closed all but one fuel facility allegation in the second and 

third quarters in ≤ 150 days), but it was ultimately unable to meet the metric primarily because of the considerable staff and management effort required 

to evaluate three new fuel facility allegations in the fourth quarter of FY 2010 that each involved unusually large numbers of concerns, causing the time 

needed for closure to be greater than 150 (but less than 180) days.

**Allegations referred to the Office of Enforcement (OE) by the Office of the Inspector General (OIG) were misplaced by OE in mid October 2010, resulting in 

extensive delay (13 months or more) in allegation processing. The package from OIG was relocated in February 2012. The allegations involved Region II 

fuel cycle facilities and, once identified, were promptly forwarded to OE in Region II. One of the two allegations was subsequently closed in the second 

quarter of FY 2012, and the other remains open pending the results of an OI investigation. After discovery, the OE Allegation Program staff discussed the 

occurrence with OIG, Region II, and the agency’s office allegation coordinators (OACs). OE discussed the event internally, and the Director of OE prepared a 

memorandum to all OE staff, reminding them of the event, staff responsibilities, and actions to prevent reoccurrence. 

Safety and Safeguards Inspection Modules 

Complete All Core and Reactive Inspection Modules as Scheduled in Fuel Cycle Master Inspection Plan

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete 286 

inspection 

modules.

Complete 286 

inspection 

modules.

Complete 328 

inspection 

modules.*

Complete 307 

inspection 

modules.*

Measure 

discontinued in FY 

2013.

Actual Completed 286 

inspection 

modules.

Completed 289 

inspection 

modules.

Completed 320 

inspection 

modules.**

Completed 318

inspection 

modules

*USEC/ACP began enrichment operations during FY 2010. LES is not expected to begin operations until after FY 2012.

**An MC&A inspection scheduled for LES in February was postponed to coincide with upcoming readiness review inspections; a low-enriched NFS inspection 

scheduled for July was moved to October to coincide with the high-enriched inspection; and an LES inspection report that was not issued in this fiscal year 

to resolve a nonconcurrence. Since the inspection program is conducted by calendar year (CY), postponement of the MC&A LES and NFS inspections to the 

first quarter of FY 2012 (while still in CY 2011 inspection year) will support completion of the core program.

Timeliness of Safety and Safeguards Inspection Modules

Complete Core Inspection Modules As Scheduled in Fuel Cycle Master Inspection Plan

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target > 97% completed 

on time

> 97% completed 

on time

> 99% completed 

on time

> 99% completed 

on time

Measure 

discontinued in FY 

2013.

Actual 100% completed 

on time

100% completed 

on time

100% completed 

on time

100% completed 

on time
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Percentage of Operating Fuel Facilities for Which the Core Inspection Program Was Completed as Planned

during the Most Recently Ended Inspection Cycle * 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in FY 

2013

TBD 100%

Actual

*Replaces former output measures on core and reactive inspection modules and timeliness of safety and safeguards inspection modules.
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NUCLEAR MATERIALS USERS

Nuclear Materials Users by Product Line 

(Dollars in Millions)

FY 2012 

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Product Line $M FTE $M FTE $M FTE

Licensing 13.4 67.1 13.0 67.7 (0.4) 0.6 

Oversight 19.4 99.2 18.2 91.1 (1.2) (8.1)

Rulemaking 3.7 20.3 2.4 12.6 (1.4) (7.7)

International Activities 2.1 12.0 2.5 13.6 0.3 1.7 

Research 1.0 4.1 1.4 3.8 0.4 (0.3)

Generic HLS 15.5 33.8 12.6 25.6 (2.8) (8.2)

Event Response 0.9 5.1 0.9 5.1 0.0 (0.0)

State, Tribal, and Federal Programs 7.2 37.3 7.3 37.7 0.1 0.4 

Subtotal $63.2 278.9 $58.1 257.1 ($5.0) (21.8)

Corporate Support 29.8 65.7 28.8 61.6 (1.1) (4.1)

Total $93.0 344.7 $86.9 318.7 ($6.1) (25.9)

Numbers may not add due to rounding.

Nuclear materials have many industrial, medical, and academic uses. The U.S. Nuclear Regulatory 

Commission (NRC) licenses, oversees, and regulates large and small users of nuclear materials, such 

as radiographers, hospitals, private physicians, nuclear gauge users, irradiators, and universities.

Nuclear Materials Users’ activities support the licensing, inspection, event evaluation, research, incident 

response, allegation, enforcement, and rulemaking to maintain the regulatory safety and security 

infrastructure needed to process and handle nuclear materials. The agency’s safety activities include 

completion of approximately 2,300 materials licensing actions and 1,000 routine health and safety 

inspections. Work also will be conducted on approximately 4 to 6 active materials rulemakings.

The Agreement State program has been in existence since 1959 with the adoption of Section 274 of 

the Atomic Energy Act (AEA). At present, there are 37 Agreement States. Under Section 274 of the 

AEA, the NRC has programmatic oversight responsibility to periodically review the actions of the 

Agreement States to ensure compliance with the requirements in the AEA to maintain adequate and 

compatible programs. The current review process under the Integrated Materials Performance 

Evaluation Program (IMPEP) is conducted with State staff participation. 

Nuclear Materials Users’ activities include reviews and issuance of NRC import and export 

authorizations, materials-related wrongdoing investigations, adjudicatory hearings for materials 

licensing and enforcement proceedings, technical training, and continuous improvements and 

centralized oversight of information technology (IT) and information management.

Nuclear Materials Users’ security activities include implementation and operation of a national registry 

to improve control of radioactive sources of concern and to prevent their malevolent use. The 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 69 U.S. NUCLEAR REGULATORY COMMISSION

Integrated Source Management Portfolio (ISMP) contract has integrated the three core systems that 

comprise the National Source Tracking System (NSTS), Web-Based Licensing (WBL), and the License 

Verification System (LVS). Together these systems will license and track sources and other radioactive 

materials under one management mechanism. Further, security activities include conducting 

inspections of security activities at materials facilities with radioactive materials in quantities of concern 

and prelicensing inspections of new materials license applicants. All of these activities strengthen 

controls for the possession, handling, import, and export of nuclear materials. In addition, resources 

will be used to conduct the NRC’s Agreement State liaison activities on enhanced control and security 

actions for materials licensees and on cooperative efforts and liaison with all State and local 

Governments and Native American Tribal Governments in matters related to homeland security for 

nuclear waste and materials.

The NRC has organized Nuclear Materials Users’ activities into product lines that best support Safety 

and Security strategies and affect Strategic Outcomes as they relate to materials licensing, inspection, 

and Agreement State activities. The resources requested support all direct aspects of Nuclear 

Materials Users within the following eight product lines: Licensing; Oversight; Rulemaking; Research; 

International Activities; Generic Homeland Security; Event Response; and State, Tribal, and Federal 

programs. The efforts under Nuclear Materials Users are designed to ensure that nuclear materials are 

licensed and used in a manner that adequately protects the public health and safety, protects the 

environment, and promotes the common defense and security.

The outputs of the product lines under this business line contribute to the scoring of the NRC Safety 

and Security Performance Measures and their contribution to the achievement of its Strategic 

Outcomes.

CHANGES FROM FY 2012 ENACTED BUDGET

Resources decreased in the Oversight, Rulemaking, and Generic Homeland Security Product Lines 

because of reductions in agency overhead, realignment of rulemaking resources, and reductions to IT 

and reclassification of generic homeland security resources within the budget structure. 

LICENSING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY LICENSING 

Safety—develop, maintain, and implement licensing and regulatory programs for fuel facilities, materials, 

spent fuel management, waste management, uranium recovery, and decommissioning activities. 

Security—support Federal response plans that use an approach to the security of nuclear facilities and 

radioactive material that integrates the efforts of licensees, Federal, State, local, and Tribal authorities.

For fiscal year (FY) 2014, the NRC requests $13.0 million, including 67.7 FTE, for licensing 

activities. This funding level represents a decrease of $0.4 million when compared with the FY 2012 

enacted budget, which does not represent a significant change in workload.

The Licensing Product Line supports completion of approximately 2,300 materials licensing actions 

(new applications, amendments, renewals, and terminations) in FY 2014. The NRC anticipates that 

materials licensing receipts will remain level and that the agency will be able to continue implementing 

the recommendations for enhanced security for licensing. Licensing confirms that requests to use 

nuclear materials or modify existing uses provide an adequate margin of safety and security consistent 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 70 U.S. NUCLEAR REGULATORY COMMISSION

with the NRC’s rules and regulations to ensure the adequate protection of the public health and safety, 

to protect the environment, and to promote the common defense and security. Resources also are 

budgeted over the planning period for legal assistance supporting materials licensing. In FY 2014, the 

agency supports adjudicatory hearing-related activities and limited appearance sessions for materials 

licensing proceedings. Legal advice and counsel will support materials licensing and enforcement 

actions based on new security requirements affecting materials licensees.

OVERSIGHT 

STRATEGIC GOAL STRATEGIES SUPPORTED BY OVERSIGHT 

Safety—oversee licensee safety performance through inspections, investigations, enforcement, and 

performance assessment activities. 

Security—enhance programs to control the security of radioactive sources and strategic special nuclear 

materials commensurate with their risk, including enhancement required by the Energy Policy Act of 2005. 

For FY 2014, the NRC requests $18.2 million, including 91.1 FTE, for oversight activities. This funding 

level represents a decrease of $1.2 million, including 8.1 FTE, when compared with the FY 2012 

enacted budget. This decrease is because of an agencywide effort to reduce overhead resources 

through increased efficiency and effectiveness. 

The Oversight Product Line activities ensure the continued safe and secure use of nuclear materials. 

These activities identify significant issues and ensure that licensees take appropriate actions to 

maintain acceptable levels of safety and security in their operating procedures, performance, and the 

use of nuclear materials. Oversight includes resources for inspections, event evaluations, allegations, 

investigations, enforcement, and related activities associated with the management and oversight of 

nuclear materials.

The workload includes completion of approximately 1,000 routine health and safety inspections in 

FY 2014, reciprocity and reactive inspections, and a registration and followup inspection program for 

certain general licensees. Resources will support implementation of the recommendation from the 

materials working group and the external independent review working group to revise the licensing and 

inspection infrastructure. The agency will support investigations of wrongdoing, materials-related 

enforcement actions, oversight of the Alternative Dispute Resolution (ADR) and allegation programs, 

and external safety culture program activities. 

The resources support event and incident evaluation activities, which include the protective measures 

team emergency response support function and the orphan source activity, and funding for the Nuclear 

Materials Events Database.

Continued coordination with States on agreements, as authorized by Section 274i of the AEA, and 

homeland security are planned. These activities include development and distribution of advisories, 

development and implementation of additional security measures (e.g., development of implementing 

guidance), and assurance that other homeland security information is provided to authorized State and 

local Government officials. The agency will continue to develop, coordinate, and assist in the 

maintenance of Section 274i agreements with States to conduct security inspections on behalf of the 

NRC for NRC-issued security orders.
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RULEMAKING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RULEMAKING 

Safety—use sound science and state-of-the-art methods to establish, where appropriate, risk-informed and 

performance-based regulations. 

Security—use a risk-informed approach to implement appropriate regulatory controls for the possession, 

handling, import, export, and transshipment of radioactive materials. 

For FY 2014, the NRC requests $2.4 million, including 12.6 FTE, for rulemaking activities. This funding 

level represents a decrease of $1.4 million, including 7.7 FTE, when compared with the FY 2012 

enacted budget. This decrease is because of a realignment of rulemaking resources to reflect more 

appropriately the business lines that these resources currently support. 

The Rulemaking Product Line will support rulemaking activities, including legal support to maintain the 

regulatory infrastructure needed to process and handle nuclear materials. Rules, guidance, and 

regulations promote licensee compliance with underlying safety principles and requirements.

In FY 2014, the NRC will work on approximately 4–6 active materials waste safety rulemakings and on 

continued interactive liaison with industry and professional societies to develop new codes and 

consensus standards and to address petitions for rulemaking submitted to the agency. An example of 

rulemakings determined as high priority are the amendments under Title 10 of the Code of Federal 

Regulations (10 CFR) Part 35, “Medical Use of Byproduct Material.” Rulemaking resources 

systematically improve the NRC’s regulatory program to ensure the safe use and management of 

nuclear materials and resolve safety issues. They also improve the NRC’s regulations by adding 

needed requirements, eliminating unnecessary requirements, and minimizing jurisdictional overlaps. 

The NRC will continue to work on the highest priority rulemakings.

INTERNATIONAL ACTIVITIES 

STRATEGIC GOAL STRATEGIES SUPPORTED BY INTERNATIONAL ACTIVITIES 

Safety—use domestic and international collaboration and cooperation to inform decisionmaking. 

Security—promote U.S. national security interests and nuclear proliferation policy objectives for NRC-licensed 

imports and exports of source and special nuclear materials and nuclear equipment. 

For FY 2014, the NRC requests $2.5 million, including 13.6 FTE, for international activities. This 

funding level represents an increase of $0.3 million, including 1.7 FTE, when compared with the 

FY 2012 enacted budget, which does not represent a significant change in workload.

The International Activities Product Line increases slightly to support NRC reviews and decisions on 

import and export authorizations of nuclear components and radiological materials, Subsequent 

Arrangements and Proposed 810 Licenses, control and tracking of imports and exports of sources, and 

bilateral and multilateral activities initiated for the exchange of technical information for the safe 

handling, storage, transport, and disposal of nuclear waste. Resources also provide for assistance 

activities related to the safety and security of medical and industrial sources, support to IAEA missions 

for training and regulation of nuclear materials, and assistance to foreign regulatory bodies through the 

assignee program. 
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The International Activities Product Line provides the way to work with international counterparts to 

exchange information, expertise, operating experience, and ongoing research to recognize and 

respond to emerging technical issues and to promote best safety and security practices. The NRC also 

participates in the development of international standards to ensure that they are soundly based and to 

determine whether substantial safety and security improvements can be identified and incorporated 

domestically.

RESEARCH 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RESEARCH 

Safety—improve the NRC’s regulatory programs and apply safety-focused research to anticipate and resolve 

safety issues. 

Security—use research to inform the security activities of the agency. 

For FY 2014, the NRC requests $1.4 million, including 3.8 FTE, for research activities. This funding 

level represents an increase of $0.4 million, including a decrease of 0.3 FTE, when compared with the 

FY 2012 enacted budget, which does not represent a significant change in workload.

The Research Product Line supports activities to identify, lead, or sponsor reviews that support the 

resolution of ongoing and future safety issues, including providing tools and expertise to support the 

NRC’s independent decisionmaking process.

The Research Product Line supports research on patient release experience to inform future policy 

actions. Research will continue on gemstone irradiation and consumer products. In addition, research 

activities for the medical and industrial sectors will support development and alignment of radiation 

protection regulations and guidance with the 2007 International Commission on Radiological Protection 

recommendations.

GENERIC HOMELAND SECURITY

STRATEGIC GOAL STRATEGIES SUPPORTED BY GENERIC HOMELAND SECURITY 

Safety—use domestic and international collaboration and cooperation to inform decisionmaking. 

Security—promote U.S. national security interests and nuclear proliferation policy objectives for NRC-licensed 

imports and exports of source and special nuclear materials and nuclear equipment. 

For FY 2014, the NRC requests $12.6 million, including 25.6 FTE, for generic homeland security 

activities. This funding level represents a decrease of $2.8 million, including 8.2 FTE, when compared 

with the FY 2012 enacted budget. The NRC reviewed the activities under the definitions for the 

Generic HLS product and shifted some resources to non-Generic HLS products in order to more 

accurately align resources to the planned workload.

The Generic Homeland Security Product Line supports security coordination and liaison; security 

rulemaking activities, including legal support for the homeland security regulatory improvements 

initiatives; control and tracking of imports and exports of sources; homeland security travel funds; and 

the development and implementation of the ISMP.

The resources are for liaison activities related to security activities that support NRC policy interactions 

at IAEA and the Nuclear Energy Agency on security and safety issues, consultations on security 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 73 U.S. NUCLEAR REGULATORY COMMISSION

standards, rulemakings, and intergovernmental coordination. Resources also support high-priority 

security rulemakings. The resources are also budgeted for the ISMP development that will integrate 

the three systems (NSTS, WBL, and LVS) that license and track sources and radioactive materials 

under one management mechanism. This development effort is vital to forming a comprehensive 

national materials license repository. 

The near-term results in FY 2014 will be the first full year of operation of WBL and LVS, and the overall 

results will be enhanced control and accountability of radioactive materials.

EVENT RESPONSE 

STRATEGIC GOAL STRATEGIES SUPPORTED BY EVENT RESPONSE 

Safety—effectively respond to events at NRC-licensed facilities and other events of national interest, including 

maintaining and enhancing the NRC’s critical incident response and communication capabilities. 

Security—support Federal response plans that use an approach to the security of nuclear facilities and 

radioactive material that integrates the efforts of licensees and Federal, State, local, and Tribal authorities. 

For FY 2014, the NRC requests $0.9 million, including 5.1 FTE, for event response activities. This 

funding level represents no change in resources or workload when compared with the FY 2012 

enacted budget.

The Event Response Product Line provides the means to respond effectively to events that involve 

nuclear materials, including maintaining and enhancing the NRC’s critical event response and 

communication capabilities. In FY 2014, the budget for the Event Response Product Line remains 

essentially flat to support event response actions for materials licensees, including the maintenance of 

a 24/7 response capability for materials-related incidents. 

STATE, TRIBAL, AND FEDERAL PROGRAMS 

SUPPORTED STRATEGIC GOAL STRATEGIES FOR STATE, TRIBAL, AND FEDERAL PROGRAMS 

Safety—continue to support Agreement States in developing, maintaining, and implementing licensing and 

regulatory programs for materials users. 

Security—share security information with appropriate stakeholders and international partners. 

For FY 2014, the NRC requests $7.3 million, including 37.7 FTE, for State, Tribal, and Federal 

programs. This funding level represents an increase of $0.1 million, including 0.4 FTE, when compared 

with the FY 2012 enacted budget, which does not represent a significant change in workload.

The State, Tribal, and Federal Programs Product Line conducts materials activities related to 

Agreement States, including oversight, technical assistance, cooperative efforts, and coordination and 

liaison with States and local Governments, Federal agencies, Native American Tribal Governments, 

and interstate organizations on policy and notifications of interest for nuclear waste and materials. 

Together, the NRC and Agreement States regulate more than 22,000 specific and 150,000 general 

licenses.

Budgetary resources in FY 2014 will support continued implementation of the Agreement State 

program. Resources provide for conducting materials activities related to Agreement States and liaison, 

including oversight, technical assistance, cooperative efforts, and enhanced control and security actions 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 74 U.S. NUCLEAR REGULATORY COMMISSION

for materials licensees. The resources provide support to conduct IMPEP reviews (10–12) to ensure they 

are adequate to protect public health and safety and are compatible with NRC programs; outreach to 

potential new Agreement States and process new agreements (1); process Agreement State incidents 

and events (50); participate in and coordinate State participation in regulatory development; coordinate 

and fund State participation in NRC training courses, including Agreement State training and travel funds; 

respond to State technical assistance requests; respond to and coordinate responses to allegations about 

Agreement State licensees or regulatory programs; interact with the Conference of Radiation Control 

Program Directors, Inc., and the Organization of Agreement States, Inc.; and develop and maintain 

policies and procedures for the program. This activity includes the statutory requirement for the NRC to 

make a determination that all applicable standards and requirements have been met before an 

Agreement State terminates a uranium milling license, and that alternate 11e.(2) standards are adequate 

before the Agreement State implements them (1 or 2 cases per year).

The NRC also coordinates with Agreement States on low-level waste (LLW) and decommissioning since all 

currently operating LLW sites are located in Agreement States. These activities provide public confidence 

and assurance that the Agreement States are conducting adequate and compatible programs.

This product line provides for the Materials State, Federal, and Tribal Liaison Program that informs, notifies, 

and coordinates with Governor-appointed representatives, other Federal agencies, and Native American 

Tribal Governments on matters involving the NRC. This outreach enhances public confidence in the 

national program and collects input from NRC stakeholders. Consistent with Executive Order 13175, 

“Consultation and Coordination with Indian Tribal Governments, dated November 6, 2000,” the NRC has 

adopted agency practices that ensure consultation and cooperation with Tribal Governments. For example, 

the NRC interacts with Native American Tribal Governments on nuclear-related regulatory issues that 

include uranium recovery licensing and long-term strategies for remediation, reactor licensing and 

inspection activities, reactor license renewal, and nuclear waste transportation and disposal. The NRC is 

currently implementing an internal protocol for Government-to-Government interaction with Tribal 

Governments in response to Commission direction. 

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

The NRC completed 2,104 materials licensing actions and 1,010 routine health and safety inspections. 

The agency maintained its high standards with timely reviews of nuclear material license renewals and 

sealed-source and device designs. The agency completed 96 percent of new application and license 

amendment reviews within 90 days of receipt and 97 percent of license renewal and sealed-source and 

device design reviews within 180 days of receipt. 

The NRC amended its regulations governing the licensing and distribution of byproduct materials to make 

the regulations clearer, more risk-informed, and up to date. An agency working group continued 

development of a proposed rule on 10 CFR Part 35. The rule will address the following actions: modifying 

preceptor attestation requirements; extending grandfathering to certified individuals named in 10 CFR Part 

35 before October 25, 2005; naming associate or assistant radiation safety officers on an NRC medical-use 

license; and likely changing the definition of a medical event, including revised reporting and notifications of 

medical events for permanent implant brachytherapy. The NRC expects to publish the proposed rule in 

FY 2013 for public comment.

The NRC continued public outreach on possible changes to the radiation protection regulations in 

10 CFR Part 20, “Standards for Protection Against Radiation,” which would increase alignment with 

international radiation protection recommendations. The staff provided the Commission with staff 

recommendations on the direction to pursue on a series of technical issues. The staff recommended that 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 75 U.S. NUCLEAR REGULATORY COMMISSION

the Commission approve the staff continuing to expend resources to develop a detailed regulatory basis for 

proposed rulemaking.

The NRC issued final rules updating 10 CFR Part 110, “Export and Import of Nuclear Equipment and 

Material,” to reflect the nuclear nonproliferation policy of the Executive Branch on U.S. Government 

obligations to the IAEA and to remove Oman from the list of restricted destinations. 

The NRC engaged domestically and internationally in efforts to enhance nuclear safety and security through 

the regulatory oversight of radioactive sources. The staff participated in numerous meetings of technical 

and legal experts on the IAEA’s Code of Conduct for the Safety and Security of Radioactive Sources, both 

to ensure that its implementing guidance is clear and accurate and to encourage Member States that have 

not yet made a political commitment to implement the Code to do so. The agency also worked with other 

U.S. Government agencies, such as the U.S. Department of State, U.S. Department of Energy, 

U.S. Department of Commerce, the National Security Council staff, and IAEA to develop international 

security guidance documents for radioactive sources.

The NSTS, WBL, and the future LVS are key components of a comprehensive program for the security and 

control of radioactive material (ISMP). The ISMP will provide a link to the Exhibit 300 and will include 

information on all U.S. licensees and more than 70,000 risk-significant radioactive sources that 

approximately 1,400 licenses possess. The ISMP will provide licensees, regulators, and Federal agencies 

with an additional round-the-clock way of determining the legitimacy of individuals possessing or seeking to 

obtain radioactive material.
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OUTPUT MEASURES

LICENSING

Timeliness of Licensing Actions—Review of Application for New Materials Licenses and License Amendments

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 85% ≤ 90 days

100% ≤ 2 years (yr)

90% ≤ 90 days

100% ≤ 2 yr

90% ≤ 90 days

100% ≤ 2 yr

92%<90 days

100%<2 yr

TBD 92% ≤ 90 days

100% ≤ 2 yr

Actual 97% ≤ 90 days

100% ≤ 2 yr

95% ≤ 90 days

100% ≤ 2 yr

97% ≤ 90 days

100% ≤ 2 yr

97% within 90 

days; 100% within 

2 yr

Timeliness of Licensing Actions—Review of Applications for Materials License Renewals and Sealed Source and Device Designs

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 80% ≤ 180 days 

100% ≤ 2 yr

90% ≤ 180 days 

100% ≤ 2 yr

92% ≤ 180 days

100% ≤ 2 yr

92% ≤ 180 days

100% ≤ 2 yr

TBD 92% ≤ 180 days

100% ≤ 2 yr

Actual 91% ≤ 180 days 

100% ≤ 2 yr

95% ≤ 180 days 

100% ≤ 2 yr

97% ≤ 180 days 

100% ≤ 2 yr

98% within 180 

days; 100% within 

2 yr

OVERSIGHT

Timeliness of Safety Inspections of Materials Licensees

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target > 98% completed 

on time

> 98% completed 

on time

> 98% completed 

on time

> 98% completed 

on time

TBD > 98% completed 

on time

Actual 99% completed on 

time

99% completed on 

time

99% completed on 

time

99% completed on 

time

Timeliness in Completing Reviews For Technical Allegations

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

TBD 90% ≤ 150 days 

95% ≤ 180 days 

100% ≤ 360 days

Actual 98% ≤ 150 days

100% ≤ 180 days 

100% ≤ 360 days

94% ≤ 150 days 

98% ≤ 180 days 

100% ≤ 360 days

95% ≤ 150 days 

100% ≤ 180 days 

100% ≤ 360 days

93% ≤ 150 days

98% ≤ 180 days

100% ≤ 360 days
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Timeliness in Completing Enforcement Actions

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Investigation 

cases: 100% 

completed within 

360 days of OE 

processing time

Noninvestigation 

cases: 100% 

completed within 

180 days of OE 

processing time

Investigation 

cases: 100% 

completed within 

360 days of OE 

processing time

Noninvestigation 

cases: 100% 

completed within 

180 days of OE 

processing time

Investigation 

cases: 100% 

completed within 

360 days of OE 

processing time

Noninvestigation 

cases: 100% 

completed within 

180 days of OE 

processing time

Investigation 

cases: 100% 

completed within 

330 days of OE 

processing time

Noninvestigation 

cases: 100% 

completed within 

160 days of OE 

processing time

TBD Investigation 

cases: 100% 

completed within 

330 days of OE 

processing time

Noninvestigation 

cases: 100% 

completed within 

160 days of OE 

processing time

Actual Investigation:

None ≥ 360 days

Noninvestigation: 

None ≥ 180 days

Investigation:

None ≥ 360 days

Noninvestigation: 

None ≥ 180 days

Investigation:

None ≥ 360 days

Noninvestigation: 

None ≥ 180 days

Investigation: 

None ≥ 330days

Noninvestigation: 

None ≥ 180 days

Timeliness in Completing Investigations—Target 1

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 85% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 10 

months or less.

85% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 9 

months or less.

85% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 9 

months or less.

85% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 9 

months or less.

TBD 85% of 

investigations that 

developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing will 

be completed in 9 

months or less.

Actual Completed 33 

investigations; 

100% (33) of those 

that developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing 

were completed in 

10 months or less.

Completed 18 

investigations; 

100% (18) of those 

that developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing 

were completed in 

9 months or less.

Completed 25 

investigations; 

88% (22) of those 

that developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing 

were completed in 

9 months or less.

Completed 19 

investigations; 

89% (17) of those 

that developed 

sufficient 

information to 

reach a conclusion 

on wrongdoing 

were completed in 

9 months or less.

Timeliness in Completing Investigations—Target 2

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Close 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Close 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Close 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Close 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

TBD Close 100% of OI 

investigations in 

time to initiate civil 

or criminal 

enforcement 

action.

Actual 100% 100% 100% 100%
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RULEMAKING 

Percentage of Materials and Waste Rulemaking Activities Completed On Schedule

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% 90% 90% 90% TBD Discontinuing in 

2014

Actual 100% 93% 80%* 100 %

*Four out of five rulemaking activities were completed on schedule in FY 2011. The single delayed rule was Requirements for Distribution of Byproduct 

Material, Parts 30, 31, 32, 40, and 70. Cumulatively, there was not a significant number of rulemaking activities completed to recover from one late

submission. In FY 2012, the staff will continue to maintain focus on establishing early alignment among offices on schedule and content. 

RESEARCH

Acceptable Technical Quality of Agency Research Technical Products*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Combined score 

≥3.5

Combined score 

≥3.5

Combined score 

≥3.5

Combined score 

≥3.5

TBD Combined score ≥ 

3.75

Actual 4 4.6 4.4 4.5

*The NRC has developed a process to measure the quality of research products using surveys of endusers to determine the usability and value-added of the 

products. As appropriate, other mechanisms will be developed and added to this process to measure the quality of research products.

Timeliness of Completing Actions on Critical Research Programs*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their 

due date.

TBD 90% of major 

milestones met on 

or before their due 

date.

Actual 100% across 

programs

100% across 

programs

100% across 

programs

NA**

*Critical research programs typically respond to high-priority needs from the Commission and NRC’s licensing organizations. Critical research programs on 

the highest priority needs are identified at the beginning of the fiscal year.

**No critical milestones were associated with the research activities conducted in this business line in FY 2012; therefore, there is no performance data to 

report.
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SPENT FUEL STORAGE AND TRANSPORTATION 

Spent Fuel Storage and Transportation by Product Line 

(Dollars in Millions)

FY 2012 

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Product Line $M FTE $M FTE $M FTE

Licensing 12.5 59.1 11.5 54.5 (1.0) (4.6)

Oversight 4.2 25.7 3.7 21.9 (0.6) (3.8)

Rulemaking 3.9 12.6 8.4 31.4 4.5 18.8 

International Activities 0.9 3.8 0.9 4.2 (0.0) 0.4 

Research 4.5 20.7 4.5 12.1 (0.1) (8.7)

Generic HLS 0.2 1.0 0.3 1.9 0.1 0.9 

Subtotal $26.2 122.9 $29.2 125.9 $3.0 3.0 

Corporate Support 14.6 32.2 16.2 34.7 1.6 2.6 

Total $40.8 155.1 $45.4 160.7 $4.6 5.6 

Numbers may not add due to rounding.

The Spent Fuel Storage and Transportation Business Line activities are conducted to ensure the safe 

and secure storage of spent fuel to support continued operations and the safe and secure transport 

of radioactive materials to support domestic and international commerce. Activities in this business 

line include Licensing, Oversight, Rulemaking, Research, International Activities, and Generic 

Homeland Security efforts associated with radioactive material transportation and the storage of 

spent nuclear fuel (SNF).

Resources in this business line support the following:

• Safety, security, and environmental reviews of SNF storage casks and transportation packages, 

including development and update of regulations and guidance. 

• Safety inspections of transportation packages, storage cask vendors and fabricators, 

independent spent fuel storage installation (ISFSI) operations, and security inspections of SNF 

ISFSIs, and transportation and route surveys.

• Evaluation of storage and transport of high-burnup fuels (> 45 gigawatt-days/metric ton uranium 

(GWd/MTU)), computational fluid dynamic methods applied to storage and transport cask 

design, development of a technical basis to support the allowance of full (fission product and 

actinides) burnup credit for SNF transportation and storage casks, and benchmarking of 

structural computer codes using German and Japanese cask testing results.

• Assessment of the regulatory framework for extended storage and transportation (EST) through 

continued research on technical issues associated with extended dry spent fuel storage and 

transportation to support a technical basis for decisions on regulatory revisions. 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 80 U.S. NUCLEAR REGULATORY COMMISSION

• Security assessment scoping study to identify additional regulatory and technical needs for an 

EST security framework. Technical areas include concrete degradation; weld corrosion; 

impacts of high-burnup and mixed-oxide fuels; transportability of fuel after long-term storage; 

and the need for an improved hazards assessment, including the potential effects of long-term 

storage on eventual disposal.

• Analysis, data collection, and modeling for future alternate strategies for disposal of SNF and 

high-level waste to include laboratory studies and field investigations to understand key 

technical issues and risk insights, technical inputs to resolution of regulatory gaps, exercise of 

performance assessment scoping tool for risk insights, and continued coordination of alternative 

disposal strategies with other aspects of the back end of the fuel cycle.

• Development of a proposed security rulemaking supporting the regulatory guidance documents 

that will apply consistent security standards across a range of waste storage facilities.

• Monitoring national-level developments stemming from the January 2012 report of the Blue 

Ribbon Commission on America’s Nuclear Future. 

• Development of an environmental impact statement (EIS) to support a revised Waste 

Confidence decision. This EIS will address the Court decision to vacate the Waste Confidence 

decision and rule.

• Assessment of the regulatory framework for extended storage and transportation (EST) through 

continued research on technical issues associated with extended dry spent fuel storage and 

transportation to support a technical basis for decisions on regulatory revisions.

CHANGES FROM FY 2012 ENACTED BUDGET

Resources increase within the business line to develop a Waste Confidence generic environmental 

impact statement and rule. Waste Confidence will address the environmental impacts of spent fuel 

storage after the operating period of a reactor and prior to ultimate disposal in a permanent repository.

The EST work concerns identifying and addressing the technical issues associated with continued, 

extended storage to ensure that NRC has the regulatory framework to address those issues. The EST 

work will support the regulations, guidance, and inspection programs needed to ensure the safety and 

security of EST.

LICENSING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY LICENSING 

Safety—develop, maintain, and implement licensing and regulatory programs for fuel facilities, materials, 

spent fuel management, waste management, uranium recovery, and decommissioning activities. 

Security—use a risk-informed approach to implement appropriate regulatory controls for the possession, 

handling, import, export, and transshipment of radioactive materials. 

For fiscal year (FY) 2014, the NRC requests $11.5 million, including 54.5 FTE, for licensing 

activities. This funding request represents a decrease of $1.0 million, including 4.6 FTE, when 

compared with the FY 2012 enacted budget. This decrease is because of fewer license applications 

and amendments anticipated and because of the transition of the Storage Transportation Information 

Management System (STIMS) from development to operations and maintenance. The Licensing 

Product Line supports safety, security, and environmental licensing activities to confirm licensee 

requests for radioactive material transportation and interim SNF storage that provides an adequate 

margin of safety and security consistent with the NRC’s rules and regulations. The NRC conducts 

safety and security reviews of radioactive material transportation package designs; safety and security 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 81 U.S. NUCLEAR REGULATORY COMMISSION

reviews of SNF storage cask designs and ISFSIs; environmental reviews of ISFSIs; plant-specific 

security-related licensing reviews; updates to Standard Review Plans; and regulatory infrastructure to 

ensure that licensed activities are conducted in a manner that adequately protects the public health and 

safety, protects the environment, and promotes the common defense and security. 

Licensing resources provide for the following:

• The review of approximately 72 radioactive material transportation package design applications 

and approximately 18 SNF storage applications to ensure the safe and secure storage of SNF.

• Technical/regulatory advice regarding proposed changes in the national strategy for the ultimate 

disposal of SNF.

• The renewal of the Prairie Island ISFSI license and related environmental assessment support 

and legal advice and representation on SNF and radioactive material transportation matters.

• Transportation certification security reviews, security reviews for onsite storage (licensees under 

Title 10 of the Code of Federal Regulations (10 CFR) Part 70, “Domestic Licensing of Special 

Nuclear Material”), issuance of ISFSI security orders, and ISFSI security licensing reviews.

• Information technology management and continued maintenance of STIMS and maintenance 

for the Transportation and Storage Computational Analysis Platform System.

OVERSIGHT

STRATEGIC GOAL STRATEGIES SUPPORTED BY OVERSIGHT 

Safety—oversee licensee safety performance through inspections, investigations, enforcement, and 

performance assessment activities. 

Security—use a risk-informed approach to implement appropriate regulatory controls for the possession, 

handling, import, export, and transshipment of radioactive materials. 

For FY 2014, the NRC requests $3.7 million, including 21.9 FTE, for oversight activities. This funding 

level represents a decrease of $0.6 million, including 3.8 FTE, when compared with the FY 2012 

enacted budget. The decrease is due to completion of the inspection improvement initiative and 

reduced workload projections.

The Oversight Product Line supports NRC activities to continually oversee the safe and secure licensee 

use of radioactive material transportation packages, SNF storage casks, and ISFSIs; identify significant 

performance issues; develop generic communications; and ensure that licensees take appropriate 

actions to maintain acceptable operating performance to ensure the adequate protection of the public 

health and safety and the environment.

Oversight resources provide for completion of 16 regional and headquarters safety inspections of 

storage and transportation cask vendors, fabricators, and designers; and ISFSI pad construction, 

dry-run operations, initial loading operations, and routine operations. Resources provide for the 

identification and implementation of near-term improvements to the storage and transportation 

inspection and enforcement programs. Resources also provide for regional security inspection 

oversight of SNF and wet and dry ISFSI operations. In addition, resources provide for SNF inspection 

program development, maintenance, update, and route surveys. 
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RULEMAKING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RULEMAKING 

Safety—use sound science and state-of-the-art methods to establish, where appropriate, risk-informed and 

performance-based regulations. 

Security—use a risk-informed approach to implement appropriate regulatory controls for the possession, 

handling, import, export, and transshipment of radioactive materials. 

For FY 2014, the NRC requests $8.4 million, including 31.4 FTE, for Rulemaking activities. This 

funding level represents an increase of $4.5 million, including an increase of 18.8 FTE, when compared 

with the FY 2012 enacted budget. This increase reflects the shift of resources from the Research 

Product Line to support the Waste Confidence Rule. In addition, resources the NRC reviewed the 

activities under the definitions for the Generic HLS product and shifted some resources to non-Generic 

HLS products in order to more accurately align resources to the planned workload.

The Rulemaking Product Line supports the development and update of rules and regulatory guidance 

that promote licensee compliance with underlying safety and security principles and requirements. This 

regulatory framework guides the safety and security activities of the agency and its licensees. 

Resources provide for the development of an EIS to support a revised Waste Confidence 

decision. This EIS will address the Court decision to vacate the Waste Confidence decision and rule.

Resources provide for identification and implementation of near-term improvements to the storage and 

transportation licensing program, including a comprehensive review of licensing guidance and 

regulations; an evaluation and integration of dual-purpose cask reviews; an improvement to cask 

certification rulemaking processes; and the implementation of enhancements to the rules for storage 

and transportation under 10 CFR Part 71, “Packaging and Transportation of Radioactive Material,” and 

10 CFR Part 72, “Licensing Requirements for the Independent Storage of Spent Nuclear Fuel, HighLevel Radioactive Waste, and Reactor-Related Greater Than Class C Waste.”

Resources also support high-priority rulemakings (five certificate of compliance rulemakings and ISFSI 

security requirements for radiological sabotage). 

Further, resources support the proposed security rulemaking and development of supporting regulatory 

guidance documents. In addition, resources would be used to assess the need for digital and security 

systems to defend against a cyber attack at standalone ISFSIs and to make necessary changes to the 

existing regulations through rulemaking or orders.

INTERNATIONAL ACTIVITIES 

STRATEGIC GOAL STRATEGIES SUPPORTED BY INTERNATIONAL ACTIVITIES 

Safety—use domestic and international collaboration and cooperation to inform decisionmaking. 

Security—use a risk-informed approach to implement appropriate regulatory controls for the possession, 

handling, import, export, and transshipment of radioactive materials.

For FY 2014, the NRC requests $0.9 million, including 4.2 FTE, for international activities. This request 

represents an increase of 0.4 FTE when compared with the FY 2012 enacted budget, which does not 

represent a significant change in workload.
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The International Activities Product Line supports the NRC’s international work, which assists 

decisionmaking; awareness of, and responses to, emerging technical issues; and promotion of best 

practices in realizing the Safety and Security goals and related strategic measures and outcomes. 

Additionally, the NRC participates in the development and evaluation of international standards to 

ensure that they are soundly based and to determine whether they should be implemented 

domestically. 

Resources provide for international coordination with the International Atomic Energy Agency to 

compare regulatory frameworks, share research on storage and transport matters, and harmonize the 

certification of SNF transport packages and the licensing of storage cask designs with international 

standards. Resources are also provided for investigation and participation in select international 

activities, experiments, and collaboration in dealing with regulatory, technical, and legal aspects of 

waste disposal. 

RESEARCH

STRATEGIC GOAL STRATEGIES SUPPORTED BY RESEARCH 

Safety—improve the NRC’s regulatory programs and apply safety-focused research to anticipate and resolve 

safety issues. 

Security—use research to inform the security activities of the agency. 

For FY 2014, the NRC requests $4.5 million, including 12.2 FTE, for research activities. This funding 

level represents a funding decrease of $0.1 million, including 8.7 FTE, when compared with the 

FY 2012 enacted budget. This decrease is the result of the completion of research related to 

high-burnup fuel cladding integrity performance. This was offset by new work in security assessments. 

Further, resources decrease to reflect the shift of resources to the Rulemaking Product Line to support 

the Waste Confidence Rule while maintaining the technical basis for EST. 

The Research Product Line supports the NRC’s regulatory mission by providing technical advice, tools, 

and information to identify and resolve safety issues and to make regulatory decisions. This includes 

the conduct of confirmatory experiments and analyses and preparation of the agency for the future 

through evaluation of the safety aspects of new technologies and designs for radioactive material 

transportation packages and spent fuel storage casks and ISFSIs; research on technical issues associated 

with extended and long-term storage; and analysis and modeling for future waste management 

strategies. 

Further, resources provide for participation in a U.S. cask demonstration and monitoring program of 

extended dry cask storage with high-burnup fuel and performance of a security assessment scoping 

study to identify additional regulatory and technical needs for a EST security framework. Technical 

areas include concrete degradation; weld and canister corrosion; impacts of high-burnup and 

mixed-oxide fuels; transportability of fuel after long-term storage; and the need for an improved hazards 

assessment, including the potential impacts of long-term storage on eventual disposal.
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GENERIC HOMELAND SECURITY 

STRATEGIC GOAL STRATEGIES SUPPORTED BY GENERIC HOMELAND SECURITY 

Safety—conduct NRC safety, security, and emergency preparedness programs in an integrated manner. 

Security—support Federal response plans that use an approach to the security of nuclear facilities and 

radioactive material that integrates the efforts of licensees and Federal, State, local, and Tribal authorities. 

For FY 2014, the NRC requests $0.3 million, including 1.9 FTE, for generic homeland security activities. 

This funding level represents an increase of $0.1 million, including 0.9 FTE, when compared with the 

FY 2012 enacted budget. The NRC reviewed the activities under the definitions for the Generic HLS 

product and shifted some resources to non-Generic HLS products in order to more accurately align 

resources to the planned workload.

The Generic Homeland Security (HLS) Product Line supports security activities related to 

intergovernmental coordination and communication. It also supports security activities that are not 

plant-specific, or associated with a class of licensees, which contribute to the common defense and 

security of the Nation’s critical infrastructure. 

Resources provide for ongoing security activities in response to the events of September 11, 2001. 

This encompasses Generic HLS improvements to address new threats and also includes developing 

interagency agreements and working arrangements with other Federal agencies on issues related to 

safety, security, and emergency response.

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

The NRC completed 52 transport package designs and 17 storage cask and facility license reviews. 

The review of transportation and interim storage licensing requests ensures that shipments are made in 

NRC-approved packages that meet rigorous performance requirements and verifies that spent fuel is 

safely stored, thereby enabling continued reactor and decommissioning operations. The agency also 

conducted 19 inspections of activities related to radioactive material package certificate holders, spent 

fuel storage cask certificate holders, and inspections at ISFSI to ensure that casks are being designed, 

fabricated, and used according to approved safety requirements. 

The agency developed a plan for integrating SNF regulatory activities to address more effectively the 

regulatory and licensing aspects of extended storage and transportation (i.e., greater than 120 years), 

reprocessing, and disposal of SNF and high-level waste. The purpose of the plan is to ensure that the 

regulation of the back end of the fuel cycle accomplishes safety, security, and environmental protection 

in an efficient and effective manner and that decisions made about one component or area of this 

system adequately consider other components or areas (i.e., treating spent fuel and high-level waste 

regulation as a system of interrelated activities). By coordinating the approach for regulation of SNF or 

high-level waste storage, potential reprocessing, transportation, and disposal, the agency can improve 

the efficiency and effectiveness of NRC regulatory processes and provide stability and predictability to 

stakeholders in a dynamic environment. 

The Commission approved a final rule amending the security requirements for irradiated fuel in transit in 

10 CFR Part 73, “Physical Protection of Plants and Materials.” This rule establishes generically 

applicable security requirements similar to the requirements that NRC Order EA-02-109, “Issuance of 

Order for Interim Safeguards and Security Compensatory Measures for the Transportation of Spent 

Nuclear Fuel Greater than 100 Grams,” currently imposes. This rule also establishes acceptable 
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 85 U.S. NUCLEAR REGULATORY COMMISSION

performance standards and objectives for the protection of SNF shipments from theft, diversion, or 

radiological sabotage. Additionally, this rule addresses, in part, a 1999 petition for rulemaking from the 

State of Nevada (PRM-73-10) that asked the NRC to strengthen its regulations governing the security 

of SNF shipments against malevolent acts.

The NRC also began a comprehensive review of the spent fuel storage and transportation regulatory 

programs to evaluate their adequacy for ensuring safe and secure storage of spent fuel for extended 

periods beyond 120 years, including research to enhance the regulatory framework in support of 

extended periods. 

The NRC provided resources to continue research on technical issues associated with very long-term 

dry spent fuel storage, such as concrete degradation, weld corrosion; impacts of high-burnup and 

mixed-oxide fuels; climate change effects on cask performance; transportability of fuel after long-term 

storage; and the need for an improved hazards assessment, including the potential impact of long-term 

storage on eventual disposal. 

The NRC staff continued research efforts to address the safe long-term storage of SNF. The technical 

bases for extended storage and transportation are being strengthened to ensure that environmental

effects and material property changes do not affect the safety of licensed dry cask storage systems.

In May 2012, the NRC was on the U.S. Government delegation to the Review Meeting of Contracting 

Parties to the Joint Convention on the Safety of Spent Fuel Management and the Safety of Radioactive 

Waste Management. In May 2012, the NRC also supported the U.S. Government delegation to the 

Preparatory Committee for the Nuclear Non-Proliferation Treaty. 

In September 2012, in response to a court decision vacating the NRC’s 2010 Waste Confidence 

Decision, the Commission directed the staff to proceed with the development of a generic EIS to 

support an updated Waste Confidence Decision and temporary storage rule. Because of the high 

priority of the issue, the Commission directed the staff to publish a final rule and EIS within 24 months.
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OUTPUT MEASURES

LICENSING

Complete Storage Container and Installation Design Reviews within Timeliness Goals

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 80% ≤ 12.6 months 

(mo) 100% ≤ 2 

years (yr)*

80% ≤ 12.6 mo 

100% ≤ 2 yr

80% ≤ 12.6 mo 

100% ≤ 2 yr

80% < 12.6 mo 

100% < 2 yr

TBD 80% < 12.6 mo 

100% < 2 yr

Actual 82% ≤ 12.6 mo 

100% ≤ 2 yr

92% ≤ 12.6 mo 

100% ≤ 2 yr

100% ≤ 12.6 mo 

100% ≤ 2 yr

71% ≤ 12.6 mo

100% ≤ 2 yr**

*Output targets for FY 2009 and beyond are being held at the FY 2007 metric to reflect the changing profile of the casework, based on the increased 

technical complexity and applicants “bundling” of multiple requests in a single application, and updated labor rates for the current mix of casework.

**There were four requests for security exemptions at decommissioned ISFSI sites to address security requirements meant for operating reactors under 

10 CFR 73.55, “Requirements for Physical Protection of Licensed Activities in Nuclear Power Reactors against Radiological Sabotage.” The multipart 

exemption requests were large and very complex, requiring consensus among multiple offices. The final two were completed in the fourth quarter with 

timeliness at approximately 20 months.

Complete Transportation Container Design Reviews within Timeliness Goals

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 80% ≤ 7.4 mo 100% 

≤ 2 yr*

80% ≤ 7.4 mo 100% 

≤ 2 yr

80% ≤ 7.4 mo 100% 

≤ 2 yr

80% < 7.4 mo 

100% < 2 yr

TBD 80% <7.4 mo 100% 

< 2 yr

Actual 86% ≤ 7.4 mo 100% 

≤ 2 yr

87% ≤ 7.4 mo

100% ≤ 2 yr

100% ≤ 7.4 mo 

100% ≤ 2 yr

96% ≤ 7.4 mo

100% ≤ 2yr

*Output targets for FY 2009 and beyond are being held at the FY 2007 metric to reflect the changing profile of the casework, based on the increased 

technical complexity and applicants “bundling” of multiple requests in a single application, and updated labor rates for the current mix of casework. The 

labor rates were updated based on historical expenditures during FY 2006 and FY 2007.

Using Intraagency Contracting

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in FY 

2013

TBD Projected savings 

of $40,000 (50% 

savings)

Actual

Waste Confidence and Extended Long-Term Storage Activities—Percent of Planned Products Completed within a Fiscal Year

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in FY 

2013

TBD Discontinued in FY 

2014

Actual
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OVERSIGHT

Number of Spent Fuel Storage and Transportation Inspections Completed

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 16 inspections 16 inspections 16 inspections 16 inspections TBD 16 inspections

Actual 17 inspections 20 inspections 19 inspections 19 Inspections

RESEARCH

Timeliness of Completing Actions on Critical Research Programs*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their 

due date.

TBD 90% of major 

milestones met on 

or before their due 

date.

Actual 100% across 

programs

100% across 

programs

100% across 

programs

NA**

*Critical research programs typically respond to high-priority needs from the Commission and the NRC’s licensing organizations. Critical research programs 

on the highest priority needs are identified at the beginning of the fiscal year.

**No critical milestones were associated with the research activities conducted in this business line in FY 2012; therefore, there are no performance data to 

report.

Acceptable Technical Quality of Agency Research Technical Products*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Combined score 

≥ 3.5

Combined score ≥ 

3.5

Combined score

≥ 3.5

Combined score ≥ 

3.5

TBD Combined score ≥ 

3.75

Actual 4 4.6 4.75 4.5

*The NRC has developed a process to measure the quality of research products using surveys of endusers to determine the usability and value-added of the 

products. As appropriate, other mechanisms will be developed and added to this process to measure the quality of research products.
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DECOMMISSIONING AND LOW-LEVEL WASTE

Decommissioning and Low-Level Waste by Product Line 

(Dollars in Millions)

FY 2012 

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Product Line $M FTE $M FTE $M FTE

Licensing 16.4 72.3 17.0 72.0 0.6 (0.3)

Oversight 4.6 26.3 5.2 26.8 0.6 0.5 

Rulemaking 1.2 4.0 1.4 5.8 0.2 1.9 

International Activities 1.0 5.1 0.9 5.0 (0.0) (0.2)

Research 0.8 5.2 0.4 2.5 (0.4) (2.7)

Subtotal $24.0 112.9 $25.0 112.1 $1.0 (0.8)

Corporate Support 13.3 29.3 14.0 30.0 0.7 0.8 

Total $37.3 142.1 $39.0 142.1 $1.8 (0.0)

Numbers may not add due to rounding.

Decommissioning and Low-Level Waste (LLW) activities include licensing and oversight of licensed 

and unlicensed facilities undergoing decommissioning, licensing and oversight of new and operating 

uranium recovery facilities, oversight of the national LLW management program, and consultation 

and monitoring related to the U.S. Department of Energy (DOE) waste management activities at the 

Savannah River and Idaho Waste Incidental to Reprocessing (WIR) facilities consistent with the 

U.S. Nuclear Regulatory Commission’s (NRC’s) responsibilities in the Ronald W. Reagan National 

Defense Authorization Act for Fiscal Year 2005. This Act requires DOE to consult with the NRC on

its WIR determinations for facilities in South Carolina and Idaho. It also requires the NRC to monitor 

those sites after DOE has completed waste determinations. Activities include interfacing with 

licensees, applicants, Federal and State agencies, the public, other stakeholders, and Native 

American Tribal Governments. 

Decommissioning is the safe removal of a nuclear facility from service and the reduction of residual 

radioactivity to a level that permits release of the property and termination of the NRC license. NRC 

rules for decommissioning establish site-release criteria and unrestricted and—under certain 

conditions—restricted release of a site. The NRC regulates the decommissioning of complex materials 

and fuel cycle facilities, power and early test reactors, research and test reactors (RTRs), and uranium 

recovery facilities, with the ultimate goal of license termination. 

The NRC performs project management, financial, policy, technical, safety, security, and 

environmental reviews for decommissioning power and early demonstration reactors, RTRs, 

complex materials facilities, and uranium recovery facilities and reviews for licensing new and 

operational uranium recovery facilities. In addition, the NRC develops guidance and import and 

export reviews of nuclear waste and performs research activities that include the development and 

improvement of data, models, and other analytical tools for assessing the environmental effects of 

releases from NRC-licensed facilities. 

The NRC has organized Decommissioning and LLW activities into product lines that best support 

Safety and Security strategies and that affect strategic outcomes as they relate to decommissioning 
NUCLEAR MATERIALS AND WASTE SAFETY 

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and LLW activities, uranium recovery licensing, inspection, and related environmental activities. The 

resources requested support the following five product lines: Licensing, Oversight, Rulemaking, 

Research, and International Activities.

The outputs of the product lines under this business line contribute to the scoring of the NRC Safety 

and Security Performance Measures and their contribution to the achievement of its Strategic 

Outcomes.

CHANGES FROM FY 2012 ENACTED BUDGET

Resources increase slightly to support licensing casework related to decommissioning activities and to 

address environmental reviews, as well as the associated legal advice and representation and Atomic 

Safety and Licensing Board activities.

LICENSING

STRATEGIC GOAL STRATEGIES SUPPORTED BY LICENSING 

Safety—oversee the decontamination and decommissioning of nuclear facilities in license termination and 

license new facilities as applications are submitted.

Security—review security plans for decommissioning for consistency with security requirements. 

For fiscal year (FY) 2014, the NRC requests $17.0 million, including 72.0 FTE, to support licensing 

activities. This funding level represents an increase of $0.6 million, including a decrease 0.3 FTE, when 

compared with the FY 2012 enacted budget, which does not represent a significant change in workload.

The Licensing Product Line supports reviews of requests to terminate a license through a 

decommissioning process, licensing of operational and new uranium recovery and LLW disposal sites, 

and supporting Agreement State licensing. Licensing supports project management, financial, policy, 

technical, safety, security, environmental reviews, and other licensing activities that support operational 

uranium recovery facilities. It also supports the decommissioning power and early demonstration 

reactors, RTRs, complex materials sites, and inactive uranium recovery facilities. Resources support 

interfaces with NRC licensees, applicants, Federal and State agencies, the public, other stakeholders, 

and Tribal Governments, in addition to legal advice and representation and Licensing Board activities.

The resources for decommissioning support reviews for 14 power and early demonstration reactors, 7 

research and test reactors, 23 decommissioning complex materials facilities, 38 decommissioning 

uranium recovery facilities, and military sites with possession-only licenses. These activities include 

reviews of license applications and termination plans, decommissioning plans, reclamation plans, 

long-term surveillance plans, and license amendments. Complex environmental reviews for 

decommissioning cases and for licensing actions also will be performed. 

The agency will perform safety reviews, environmental reviews, and project management for uranium 

recovery licensing. FY 2014 resources will support eight environmental and eight safety reviews (hearings 

included) of applications and licensing activities associated with 11 operating uranium recovery facilities. The 

resources also support legal advice and representation and Licensing Board activities for activities related to 

decommissioning power reactors and complex materials sites, uranium recovery licensing, adjudications, 

LLW, and WIR activities.
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OVERSIGHT 

STRATEGIC GOAL STRATEGIES SUPPORTED BY OVERSIGHT 

Safety—develop, maintain, and implement licensing and regulatory programs for fuel facilities material, spent 

fuel management, waste management, uranium recovery, and decommissioning. 

Security—review security plans and changes for consistency with security requirements. 

For FY 2014, the NRC requests $5.2 million, including 26.8 FTE, for oversight activities. This funding 

level represents an increase of $0.6 million, including 0.5 FTE, when compared with the FY 2012 

enacted budget, which does not represent a significant change in workload.

The Oversight Product Line supports the NRC in continuously overseeing decommissioning and LLW 

activities to ensure that licensees continue to maintain acceptable safe and secure practices. In 

FY 2014, resources provide for decommissioning and uranium recovery inspections, LLW program 

activities, and WIR activities at two DOE sites.

Budgetary resources remain level to perform decommissioning and uranium recovery inspections to 

ensure that these operations are conducted safely and in accordance with NRC regulations; and to 

oversee LLW program activities, which include updating storage inspection procedures, support of 

Greater than Class C activities, and support to Agreement States. 

RULEMAKING 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RULEMAKING 

Safety—use sound science and state-of-the-art methods to establish, where appropriate, risk-informed and 

performance-based regulations. 

Security—use a risk-informed approach to implement appropriate regulatory controls. 

For FY 2014, the NRC requests $1.4 million, including 5.8 FTE, for rulemaking activities. This funding 

level represents an increase of $0.2 million, including 1.9 FTE, when compared with the FY 2012 

enacted budget, which does not represent a significant change in workload.

The Rulemaking Product Line supports the NRC goal of maintaining a safety and security framework of 

rules, regulatory guidance, and Standard Review Plans that promote licensee compliance with 

underlying safety principles and security requirements.

INTERNATIONAL ACTIVITIES 

STRATEGIC GOAL STRATEGIES SUPPORTED BY INTERNATIONAL ACTIVITIES 

Safety—use domestic and international operating experience to inform decisionmaking. 

Security—use a risk-informed approach to implement appropriate regulatory controls for the possession, 

handling, import, export, and transshipment of radioactive materials. 

For FY 2014, the NRC requests $0.9 million, including 5.0 FTE, for international activities. This funding 

level represents a decrease of 0.2 FTE, when compared with the FY 2012 enacted budget, which does 

not represent a significant change in workload. 
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The International Activities Product Line supports activities with international counterparts to exchange 

information, expertise, operating experiences, and ongoing research to recognize and respond to 

emerging technical issues and to promote best safety and security practices. The NRC also 

participates in developing international standards to ensure that they are soundly based and to 

determine whether substantial safety improvements can be identified and incorporated 

domestically. Resources provide support for international activities and bilateral assistance to foreign 

counterparts on decommissioning issues, licensing of uranium recovery facilities, and development of 

regulations for the handling and disposal of LLW and decommissioning of power reactors and other 

nuclear facilities. 

Resources provide assistance to the International Atomic Energy Agency (IAEA), the Nuclear Energy 

Agency, IAEA’s Waste Safety Standards Committee, the Joint Convention on the Safety of Spent Fuel 

Management and on the Safety of Radioactive Waste Management, and many other working groups 

and committees for preparing and updating of safety guides and standards. In addition, resources 

provide for staff assistance to the foreign assignee program and for bilateral and multilateral exchanges 

of technical information. 

RESEARCH 

STRATEGIC GOAL STRATEGIES SUPPORTED BY RESEARCH 

Safety—improve the NRC’s regulatory programs and apply safety-focused research to anticipate and resolve 

safety issues. 

Security—use research to inform the security activities of the agency. 

For FY 2014, the NRC requests $0.4 million, including 2.5 FTE, for research activities. This funding 

level represents a decrease of $0.4 million, including 2.7 FTE, when compared with the FY 2012 

enacted budget, which does not represent a significant change in workload. 

The Research Product Line supports activities to identify, lead, and sponsor reviews that support the 

resolution of ongoing and future safety issues, including providing tools and expertise needed to 

support the NRC’s independent decision-making process. The FY 2014 budget allocates resources to 

provide analytical assistance on complex licensing cases, such as application of codes for 

decommissioning reviews and site cleanup at sites with uranium contamination and in situ uranium 

recovery facilities. 

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

The NRC has completed decommissioning at 21 materials sites and 9 power or research reactors for a 

total of 30 sites since 2006. The agency oversaw decommissioning activities at approximately 85 

power and early demonstration reactors, RTRs, uranium recovery sites, complex materials sites, and 

fuel cycle facilities. Additionally, the NRC published a final rule amending its regulations to improve 

decommissioning planning, thereby reducing the likelihood that a current operating facility will become 

a legacy site. The agency continued its activities at military sites with radium-226 and Army sites with 

depleted uranium contamination from military munitions. The agency continued its emphasis on the 

oversight decommissioning of legacy uranium recovery sites and began several initiatives to improve 

the program, including updating guidance and enhancing communication with DOE, States, Native 

American Tribes, and stakeholders. 
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 92 U.S. NUCLEAR REGULATORY COMMISSION

The NRC conducted regulatory oversight at eight operational uranium recovery sites and reviewed and 

approved, if regulations were met, the applications for new, restarting, or expanding uranium recovery 

facilities. The agency had seven applications for new, restarting, or expanding uranium recovery 

facilities and had two license renewal applications in-house. The agency worked on seven of those 

applications because two of the applications were withdrawn. These reviews included both safety and 

environmental reviews. 

The NRC conducted regulatory activities to help ensure the safe management and disposal of low-level 

radioactive waste generated by radioactive material users, nuclear power plants, and other NRC 

licensees. The agency performed monitoring visits and issued reports for the DOE’s Savannah River 

Site (SRS) Saltstone facility and the Idaho National Laboratory. The agency completed consultation on 

the waste determination for the F Tank Farm at the SRS. In addition, the agency also conducted 

outreach with stakeholders and licensees on issues related to issuing guidance on how to classify 

waste for disposal and potential draft rule language for a proposed change to Title 10 of the Code of 

Federal Regulations (10 CFR) Part 61, “Licensing Requirements for Land Disposal of Radioactive 

Waste,” for site evaluation before receiving long-lived or blended wastes. 

The NRC held the third in a series of uranium recovery workshops for international counterparts 

through its international assistance program activities in Tanzania. Regulatory bodies from 16 African 

countries were represented. The focus of the workshop was to assist countries that are initiating or 

restarting uranium recovery regulatory programs. The overall goal of the workshop was to provide 

information on regulatory development, licensing, regulatory oversight, and prevention of legacy sites 

when uranium production ceases.
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 93 U.S. NUCLEAR REGULATORY COMMISSION

OUTPUT MEASURES

LICENSING

Support Program Licensing Activities by Reviewing Environmental Reports and Preparing Environmental Review Documents

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete 1 final EIS 

or draft 

EIS.* Complete 3 

complex EAs.

Complete 2 draft 

EIS.*

Complete 2 complex 

EAs.

Complete 

environmental reviews 

consistent with the 

Environmental 

Protection and 

Performance 

Assessment Operating 

Plan.

Complete 

environmental 

reviews consistent 

with the 

Environmental 

Protection and 

Performance 

Assessment Operating 

Plan.

 TBD Complete 

environmental 

reviews 

consistent with 

the 

Environmental 

Protection and 

Performance 

Assessment 

Operating Plan.

Actual Completed GEIS for 

uranium 

recovery. Three 

complex EAs were 

completed for Areva, 

Global Nuclear FuelAmericas, and 

Oconee.

Completed draft EISs 

for AREVA, Eagle 

Rock, and GE-Silex 

license applications. 

Completed the final 

supplemental EIS for 

the Moore Ranch ISR 

license application. 

Completed one 

complex EA for the 

Prairie Island ISFSI 

license amendment.

Completed final 

supplemental EISs for 

the Nichols Ranch and 

Lost Creek ISR license 

applications. Completed 

final EIS for AREVA, 

Eagle Rock Enrichment 

Facility license 

application. Issued draft 

complex EA for Nuclear 

Fuel Service license 

renewal application for 

public review and 

comment. Completed 

complex EA supplement 

for the Pa'ina Hawaii, 

LLC, Underwater 

irradiator license 

application.

Issued final EIS for 

proposed GE-Hitachi 

Global Laser 

Enrichment, LLC, 

Facility. Issued both 

draft and final EIS for 

proposed 

International Isotopes 

deconversion facility. 

Issued final complex

EA for proposed 

Nuclear Fuel Service 

License Renewal and 

issued final EA for 

proposed Calvert Cliffs 

ISFSI license renewal.

*Within 45 days of acceptance of application and environmental report, publish notice of intent to prepare the environmental impact statement (EIS) and 

proposed schedule in the Federal Register.

Eliminate the Need for Some Site-Specific Environmental Impact Statements (i.e., by Reducing Resource Needs) by Developing a Generic Environmental 

Impact Statement (GEIS) for Uranium Recovery Environmental Reviews*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Projected savings of 

$1,040 K and 1 FTE

Projected Savings 

of $1,100 K and 

4 FTE

Projected savings of 

$450 K and 0.7 FTE

Projected savings of 

$450 K and 0.7 FTE

TBD Being replaced by 

new efficiency 

measure.

Actual $2.2 million and 

0.6 FTE

$1.2 million and 

0 FTE**

$773 K and 0 FTE** $773 K and 0.7 FTE

*Between FY 2008 and FY 2013, the staff expects to receive 18 in situ recovery (ISR) uranium recovery license applications. The development of a GEIS is 

expected to eliminate the need to develop site-specific EISs for some of these applications. Instead of developing a site-specific EIS for each site, the staff 

will be able to "tier off" the GEIS and rely on a less resource-intensive supplemental EIS or a site-specific supplemental EIS to evaluate the environmental 

impacts of the site-specific ISR license request (total savings of at least $2.0 million and 7.0 FTE in FY 2008–FY 2011 and beyond.) The final GEIS was issued 

in June 2009 on schedule.

**The target was not met because of a decrease in the actual number of reviews and because of increasing stakeholder involvement. 
NUCLEAR MATERIALS AND WASTE SAFETY 

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Clean Up Complex Material Sites, Fuel Cycle Sites, Power Reactors, and Research and Test Reactors and Complete Uranium Recovery License Reviews

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete 

decommissioning 

and uranium 

recovery licensing 

actions as scheduled 

in the 

Decommissioning 

Operating Plan.

Complete licensing 

actions consistent 

with the 

Decommissioning 

Operating Plan.

Complete licensing 

actions consistent 

with the 

Decommissioning 

Operating Plan.

Complete licensing 

actions as scheduled 

in the 

Decommissioning 

Operating Plan.

 TBD Complete licensing 

actions as scheduled 

in the 

Decommissioning 

Operating Plan.

Actual Completed 

decommissioning at 

1site. Completed 

final rule for 

preventing future 

legacy sites.

Consistent with the 

Decommissioning 

Operating Plan, 

completed 15 

financial assurance 

reviews. 

Completed 55 

licensing actions 

related to 

decommissioning 

and operating 

facilities. 

Completed 29 

financial assurance 

reviews. Completed 

25 licensing actions 

related to 

decommissioning and 

operating facilities.

Completed 

decommissioning at 

4 sites (3 Research 

Reactors and 1 

complex materials 

site). Completed 52 

regulatory licensing 

actions, including 41 

financial assurance 

reviews, and 

completed 2 

uranium recovery 

presubmission 

reviews.
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 95 U.S. NUCLEAR REGULATORY COMMISSION

OVERSIGHT

Provide Support to DOE for WIR Activities

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Complete WIR 

review or 

monitoring 

plan/activities as 

scheduled in the 

Environmental 

Protection and 

Performance 

Assessment 

Operating Plan.

Complete WIR 

review or 

monitoring 

plan/activities as

scheduled in the 

Environmental 

Protection and 

Performance 

Assessment 

Operating Plan.

Complete WIR review 

and monitoring plan 

activities as 

scheduled in the 

Environmental 

Protection and 

Performance 

Assessment 

Operating Plan.

Complete WIR 

review and 

monitoring plan 

activities as 

scheduled in the 

Environmental 

Protection and 

Performance 

Assessment 

Operating Plan.

TBD Complete WIR 

review or 

monitoring 

plan/activities as 

scheduled in the 

Environmental 

Protection and 

Performance 

Assessment 

Operating Plan.

Actual Completed 3 WIR 

monitoring visits 

and reviewed 11 

technical reports 

related to the 

Savannah River 

site’s Saltstone 

Disposal Facility.

Completed 3 

monitoring visits 

and issued a request 

for additional 

information on the 

revised performance 

assessment for the 

Savannah River 

site’s Saltstone 

Disposal Facility. 

Completed 1 

monitoring visit for 

Idaho National 

Laboratory.

Completed 2 

monitoring visits and 

issued a second 

request for additional 

information for the 

Savannah River site’s 

Saltstone Disposal 

Facility. Issued a 

request for additional 

information and 

technical evaluation 

report for the 

Savannah River site’s 

F-Tank Farm. Issued 

a request for 

additional 

information, a waste 

determination, and 

technical evaluation 

report for the West 

Valley Melter Feed

Tanks.

Completed 4 WIR 

monitoring visits at 

3 sites, issued 

technical evaluation 

reports for both the 

Savannah River 

site’s Saltstone 

Disposal Facility 

revised performance 

assessment and the 

F-Tank Farm draft 

waste 

determination, and 

issued the technical

evaluation report on 

the West Valley 

Melter Feed Tanks 

draft waste 

determination.

RESEARCH

Timeliness of Completing Actions on Critical Research Programs*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

90% of major 

milestones met on 

or before their due 

date.

TBD 90% of major 

milestones met on 

or before their due 

date.

Actual 100% across 

programs

100% across 

programs

NA** 100% across 

programs

*Critical research programs typically respond to high-priority needs from the Commission and the NRC’s licensing organizations. Critical research programs 

on the highest priority needs are identified at the beginning of the fiscal year.

**No critical milestones were associated with the research activities conducted in this business line in FY 2012; therefore, there are no performance data to 

report.
NUCLEAR MATERIALS AND WASTE SAFETY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 96 U.S. NUCLEAR REGULATORY COMMISSION

Acceptable Technical Quality of Agency Research Technical Products*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Combined score 

≥ 3.5

Combined score 

≥ 3.5

Combined score 

≥ 3.5

Combined score 

≥ 3.5

TBD Combined score 

≥ 3.75

Actual 4 4.6 NA** 4.5

*The NRC has developed a process to measure the quality of research products using surveys of endusers to determine the usability and value-added of the 

products. As appropriate, other mechanisms will be developed and added to this process to measure the quality of research products.

**No research products were produced for this business line during FY 2011.

INTERNATIONAL ACTIVITIES

Provide Support to IAEA Waste Safety Standards Committee Reviews, Consultancies/Expert Missions, Joint Convention, and Nuclear Energy Agency 

Support*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2012

Complete actions as 

scheduled in the 

Decommissioning 

and Environmental 

Protection and 

Performance 

Assessment 

Operating Plans.

TBD Discontinued in 

FY 2014* 

Actual (a) Two Waste 

Safety Standards 

Committee meetings 

for 20 documents, 

(b) OEDO for two 

Commission on 

Safety Standards 

meetings for eight 

documents, (c) 10 

IAEA 

consultancies/expert 

missions, (d) Led 

NRC effort on Joint 

Convention, 

including being a 

Group Chair, (e) One 

Plenary and 10 

working group 

Nuclear Energy 

Agency/Working 

Party on 

Decommissioning 

and Dismantling 

meetings.

*Staff is proposing to discontinue this measure in FY 2014. It only minimally meets the Office of the Chief Financial Officer threshold of 4 FTE or $500 K at 

the Product Line and is not supported by the Office of International Programs.
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PERFORMANCE MEASUREMENT 

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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 99 U.S. NUCLEAR REGULATORY COMMISSION

PERFORMANCE MEASUREMENT

The U.S. Nuclear Regulatory Commission’s (NRC’s) Updated Strategic Plan for fiscal years (FYs) 

2008–2013 describes the agency’s mission and establishes the Commission’s direction by defining its 

goals, strategic outcomes, and implementation strategies and programs that support these 

implementation strategies. The plan’s goal structure ensures a focus on outcomes. The FY 2014 

Congressional Budget Justification uses the Strategic Plan structure to align resources and show a 

clear link between programs and the agency’s goals.

Measuring and monitoring performance is one of the four components of the NRC’s Planning, 

Budgeting, and Performance Management (PBPM) process. The other components are setting the 

strategic direction, determining planned activities and resources, measuring and monitoring 

performance, and assessing performance.

The components of the PBPM process are closely linked and complementary, reflecting a continuous 

cycle of performance management centered on outcomes. This document integrates the agency’s 

PBPM functions by aligning resources with the agency’s goals and by establishing performance 

measures to enable periodic measurement and monitoring of program execution. Annual 

performance assessments are used to analyze performance and seek improvements in 

effectiveness and efficiency.

RELATING GOALS TO RESOURCES

The NRC has implemented the PBPM process to accomplish performance budgeting, performance 

measuring and monitoring, and performance assessments within the agency. The performance budget 

integrates the agency’s PBPM functions by aligning resources with the agency’s goals and by 

establishing performance measures to enable measurement and monitoring of program execution. The 

business line descriptions in this document identify how each business line contributes to the strategic 

goals of Safety or Security.

The agency has aligned its budget and accounting structures. This enables the NRC to use cost and 

other financial data together to evaluate agency program performance. The integration of financial, 

budget, and performance data provides managers the kind of information that can be used to drive 

improved agency performance.

The NRC identifies which activities under the agency’s two major program areas support the NRC’s 

outcome-based performance measures and uses these as guides to formulate the budget. Specifically, 

the agency develops program considerations and priorities that identify key external factors and internal 

influences that would significantly affect the NRC’s work activities and resource requirements. For 

each major activity, the NRC identifies the products needed to achieve the outcome-based 

performance measures, taking into consideration the program considerations and priorities. The NRC 

also identifies and prioritizes products needed based on their contribution to goals. Lastly, the NRC 

determines the resource requirements needed to achieve each product, forming the basis for 

developing the agency’s budget for each program area. Each of the NRC’s performance budget review 

levels takes into consideration those factors described above in relating outcome-based performance 

measures and output-based measures to resources in making budget recommendations and decisions.
PERFORMANCE MEASUREMENT 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 100 U.S. NUCLEAR REGULATORY COMMISSION

GOALS

The table below shows the alignment of the NRC’s 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 agency’s infrastructure and support costs to specific programs.

Alignment of Resources to NRC Goals

(Dollars in Millions)

(Excludes Office of the Inspector General)

FY 2012

Enacted

FY 2014

Request

Major Programs Safety Security Total Safety Security Total

Nuclear Reactor Safety 755.2 45.0 800.1 770.0 42.3 812.4

Nuclear Materials and Waste 

Safety

193.6 19.6 227.1 200.7 18.2 231.5

Total $948.8 $64.6 $1,027.2 $970.8 $60.5 $1,043.9

Numbers may not add due to rounding.

PERFORMANCE MEASURES

Goal: Safety 

The Performance Measures presented here and the Output Measures presented previously for each 

business line section support the justification of the agency’s budget request and measure the 

performance of the agency’s business lines to gauge the productivity of the resources allocated to the 

agency’s internal processes and activities. The output measures are productivity measures that show 

the quantity, quality, and/or the timeliness of activities that drive progress on these Performance 

Measures. 

1 NRR Number of New Conditions Evaluated as Red by the NRC’s Reactor Oversight Process*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target ≤ 3 ≤ 3 ≤ 3 ≤ 3 TBD ≤ 3

Actual 0 0 1 1

*This measure is the number of new red inspection findings and the number of new red performance indicators during the fiscal

year. Programmatic issues at multiunit sites that result in red findings for each individual unit are considered separate conditions for purposes 

of reporting for this measure. A red performance indicator and a red inspection finding that are due to an issue with the same underlying causes 

also are considered separate conditions for purposes of reporting for this measure. Red inspection findings are included in the fiscal year in 

which the final significance determination was made. Red performance indicators are included in the fiscal year in which the Reactor Oversight 

Process (ROP) external Web page was updated to show the red indicator.
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2 RES Number of Significant Accident Sequence Precursors *(ASPs) of a Nuclear Reactor Accident

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target ≤ 0 ≤ 0 ≤ 0 ≤ 0 TBD ≤ 0

Actual 0 0 0 0

*Significant ASP events have a conditional core damage probability (CCDP) or ΔCDP of greater than 1x10-3. Such events have a 1/1000 (1x10-3) or greater 

probability of leading to a reactor accident involving core damage. An identical condition affecting more than one plant is counted as a single ASP event if 

a single accident initiator would have resulted in a single reactor accident.

3 NRR Number of Operating Reactors with Integrated Performance That Entered the Multiple/Repetitive 

Degraded Cornerstone Column or the Unacceptable Performance Column of the Reactor Oversight 

Process Action Matrix, or the Inspection Manual Chapter 0350 Process is ≤ 3 with No Performance 

Leading to the Initiation of an Accident Review Group*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target ≤ 3 ≤ 3 ≤ 3 ≤ 3 TBD ≤ 3

Actual 0 0 2 1

*This measure is the number of plants that have entered the process in Manual Chapter 0350, “Oversight of Reactor Facilities in a Shutdown Condition 

due to Significant Performance and/or Operational Concerns,” dated December 15, 2006; the multiple/repetitive degraded cornerstone column; or the 

unacceptable performance column during the fiscal year (i.e., were not in these columns or process the previous fiscal year). Data for this measure are 

obtained from the NRC’s external Web Action Matrix Summary page, which provides a matrix of the five columns with the plants listed within their 

applicable column and notes the plants in the Manual Chapter 0350 process. For reporting purposes, plants that are the subject of an approved deviation 

from the Action Matrix are included in the column or process in which they appear on the Web page. The target value is set based on the expected 

addition of several indicators and a change in the long-term trending methodology (which will no longer be influenced by the earlier data and will be 

more sensitive to changes in current performance).

4 NRR Number of Significant Adverse Trends in Industry Safety Performance is ≤ 1*

FY 2009 FY 20109 FY 2011 FY 2012 FY 2013 FY 2014

Target ≤ 1 ≤ 1 ≤ 1 ≤ 1 TBD ≤ 1

Actual 0 0 0 0

*Considering all indicators qualified for use in reporting.

5 Number of Events with Radiation Exposures to the Public or Occupational Workers That Exceed 

Abnormal Occurrence (AO) Criterion I.A.3*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Reactors Target 0 0 0 0 TBD 0

Reactors Actual 0 0 0 0

Materials Target ≤ 2 ≤ 2 ≤ 2 ≤ 2 TBD ≤ 2

Materials Actual 0 0 0 0

Waste Target 0 0 0 0 TBD 0

Waste Actual 0 0 0 0

*Releases for which a 30-day report is required under Title 10 of the Code of Federal Regulations (10 CFR) 20.2203(a)(3).
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 102 U.S. NUCLEAR REGULATORY COMMISSION

6 Number of Radiological Releases to the Environment That Exceed Applicable Regulatory Limits*

FY 2009 FY 20110 FY 2011 FY 2012 FY 2013 FY 2014

Reactors Target** 0 0 0 0 TBD 0

Reactors Actual 0 0 0 0

Materials Target ≤ 2 ≤ 2 ≤ 2 ≤ 2 TBD ≤ 2

Materials Actual 0 0 0 0

Waste Target 0 0 0 0 TBD 0

Waste Actual 0 0 0 0

*Releases for which a 30-day report is required under 10 CFR 20.2203(a)(3).

**With no event exceeding AO Criterion 1.B.1.

Goal: Security

The Performance Measures connect to the Output Measures by supporting the justification of the 

agency’s budget request and to measure the performance of the agency’s business lines to gauge the 

productivity of the resources allocated to the agency’s internal processes and activities. Output 

measure is a productivity measure which shows the quantity, quality, and/or the timeliness of the 

agency and they support the Performance Measures. 

1 NSIR Unrecovered Losses of Risk-Significant* Radioactive Sources

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 0 0 0 0 TBD 0

Actual 0 0 1** 0

*“Risk-significant” is defined as any unrecovered, lost, or abandoned sources that exceed the values listed in Appendix P, “Category 1 and 2 Radioactive 

Material,” to 10 CFR Part 110, “Export and Import of Nuclear Equipment and Material.” Excluded from reporting under this criterion are those events 

involving sources that are lost or abandoned under the following conditions: (1) sources abandoned in accordance with the requirements in 

10 CFR 39.77(c), (2) recovered sources with sufficient indication that doses in excess of the reporting thresholds specified in AO Criteria I.A.1 and I.A.2 did 

not occur during the time that the source was missing, (3) unrecoverable sources lost under such conditions that doses in excess of the reporting 

thresholds specified in AO Criteria I.A.1 and I.A.2 were not known to have occurred, (4) other sources that are lost or abandoned and declared 

unrecoverable , (5) a source for which the agency has made a determination that its risk significance is low based on its location (e.g., water depth) or its 

physical characteristics (e.g., half-life and housing) and its surroundings, (6) cases in which all reasonable efforts have been made to recover the source, 

and (7) the determination was made that the source is not recoverable and will not be considered a realistic safety or security risk under this measure. 

(This includes licenses under the Agreement States.)

**There were no losses and one theft of radioactive nuclear material that the NRC considered to be risk significant during FY 2011. 

2 NSIR Number of Substantiated* Cases of Actual Theft or Diversion of Licensed, Risk-Significant Radioactive 

Sources or Formula Quantities** of Special Nuclear Material or Attacks That Result in Radiological 

Sabotage***

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 0 0 0 0 TBD 0

Actual 0 0 0 0
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3 NSIR Number of Substantiated Losses of Formula Quantities of Special Nuclear Material or Substantiated 

Inventory Discrepancies of Formula Quantities of Special Nuclear Material That Are Judged To Be 

Caused by Theft or Diversion or by Substantial Breakdown of the Accountability System

FY 2009 FY 20010 FY 2011 FY 2012 FY 2013 FY 2014

Target 0 0 0 0 TBD 0

Actual 0 0 0 0

4 NSIR Number of Substantial Breakdowns* of Physical Security or Material Control (i.e., Access Control, 

Containment, or Accountability Systems) That Significantly Weakened the Protection against Theft, 

Diversion, or Sabotage

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target ≤ 1 ≤ 1 ≤ 1 ≤ 1 TBD ≤ 1

Actual 0 0 0 0

*A “substantial breakdown” is defined as a red finding in the security cornerstone of the ROP or any plant or facility that is determined to either have 

overall unacceptable performance or be in a shutdown condition (inimical to the effective functioning of the Nation’s critical infrastructure) as a result of 

significant performance problems or operational events.

5 NSIR Number of Significant Unauthorized Disclosures *of Classified and/or Safeguards Information

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 0 0 0 0 TBD 0

Actual 0 0 0 0

*“Significant unauthorized disclosure” is defined as a disclosure that harms national security or public health or safety.
PERFORMANCE MEASUREMENT 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 104 U.S. NUCLEAR REGULATORY COMMISSION

Data Collection Procedures for Verification and Validation of Performance 

Measures 

Most of the data used to measure the U.S. Nuclear Regulatory Commission’s (NRC’s) performance 

against its strategic goals related to Safety and Security are obtained or derived from the NRC’s 

abnormal occurrence (AO) data and reports or preliminary notifications of events submitted by 

licensees. The AO criteria have been amended to ensure that they are consistent with the NRC’s 

Updated Strategic Plan for fiscal year (FY) 2008–FY 2013 and the NRC rulemaking on Title 10 of the

Code of Federal Regulations (10 CFR) Part 35, “Medical Use of Byproduct Materials.” 

The NRC developed its AO criteria to comply with the legislative intent of Section 208 of the Energy 

Reorganization Act of 1974, as amended. The Act requires the NRC to inform Congress of 

unscheduled incidents or events that the Commission determines to be significant from the 

standpoint of public health and safety. NUREG-0090, “Report to Congress on Abnormal 

Occurrences,” issued annually, includes events that meet the AO criteria. In addition, in 1997, the 

Commission determined that events occurring at Agreement State licensed facilities that meet the AO 

criteria should be reported in the annual AO report to Congress. Therefore, the AO criteria that the 

NRC developed are uniformly applied to events that occur at facilities licensed or otherwise regulated 

by the NRC and the Agreement States. 

Data for AOs originate from external sources, such as Agreement States and NRC licensees. The 

NRC believes these data are credible because (1) the information needed from external sources must 

be reported to the NRC by regulations, (2) the NRC maintains an aggressive inspection program that, 

among other activities, audits licensees and evaluates Agreement State programs to determine 

whether information is being reported as the regulations require, and (3) there are agency procedures 

for reviewing and evaluating licensees. The NRC database systems for safety that support this process 

include the Licensee Event Report (LER) Search System, the Accident Sequence Precursor (ASP) 

Database, the Nuclear Material Events Database (NMED), and the Radiation Exposure Information 

Report System. The NRC database systems for security that support this process include the 

Suspicious Incidents Data System (SIDS).

The NRC has established procedures for the systematic review and evaluation of events that NRC 

licensees and Agreement State licensees report. The objective of the review is to identify events that 

are significant from the standpoint of public health and safety based on criteria that include specific 

thresholds. The NRC uses a number of sources to determine the reliability and the technical accuracy 

of event information reported to the NRC. Such sources include (1) NRC licensee reports, (2) NRC 

inspection reports, (3) Agreement State reports, (4) periodic review of Agreement State regulatory

programs, (5) NRC consultant and contractor reports, and (6) U.S. Department of Energy Operating 

Experience Weekly Summaries. In addition, there are daily interactions and exchanges of event 

information between headquarters (HQ) and the regional offices, as well as periodic conference calls 

among HQ, the regions, and Agreement States to discuss event information. Identified events that 

meet the AO criteria are validated and verified by all applicable NRC HQ program offices, regional 

offices, and agency management before submission to Congress.
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The following performance measures have been identified for verification and validation. 

GOAL 1—SAFETY: ENSURE ADEQUATE PROTECTION OF PUBLIC HEALTH AND SAFETY AND THE ENVIRONMENT.

NUCLEAR REACTOR SAFETY

Strategic Outcomes:

• Prevent the occurrence of any nuclear reactor accidents.

• Prevent the occurrence of any inadvertent criticality events. 

• Prevent the occurrence of any acute radiation exposures resulting in fatalities.

• Prevent the occurrence of any releases of radioactive materials that result in significant radiation 

exposures.

• Prevent the occurrence of any releases of radioactive materials that cause significant adverse 

environmental impacts.

Performance Measures:

1–Number of new conditions evaluated as red by the NRC’s Reactor Oversight Process. 

Reactor Safety Target: Less than or equal to three

Verification: The data for this performance measure are collected in two ways as part of the NRC’s 

Reactor Oversight Process (ROP). NRC inspectors collect inspection findings at least quarterly. 

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 ROP’s significance 

determination process (SDP). Licensees collect the data for performance indicators and submit it to the 

NRC at least 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.

The NRC enhances the quality of its inspections through inspector feedback and periodic reviews of 

results. The inspectors are trained through a rigorous qualification program. The quality of 

performance indicators is improved through continuous feedback from licensees and inspectors that is 

incorporated into guidance documents. The NRC publishes the inspection findings and performance 

indicators on the agency’s 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. 

Senior agency managers review plants annually that are identified as having performance issues and a 

self-assessment of the ROP and report the results to the Commission.

This measure is the number of new red inspection findings plus the number of new red performance 

indicators during the fiscal year. Programmatic issues at multiunit sites that result in red findings for 

each individual unit are considered separate conditions for purposes of reporting for this measure. A 
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red performance indicator and a red inspection finding that are because of an issue with the same 

underlying causes are also considered separate conditions for the purposes of reporting for this 

measure. Red inspection findings are included in the fiscal year in which the final significance

determination was made. Red performance indicators are included in the fiscal year in which the ROP 

external Web page was updated to show the red indicator. 

2–Number of significant accident sequence precursors of a nuclear accident. 

Reactor Safety Target: Zero

Verification: The NRC has an ASP Program to evaluate U.S. nuclear power plant operating experience 

to identify, document, and rank operating events that were most significant in terms of the potential for 

inadequate core cooling and core damage (i.e., precursors). The ASP Program evaluation process has 

five steps. First, the NRC screens operating experience data to identify events or conditions that may 

be potential precursors to a nuclear accident. The data that are evaluated include LERs, Augmented 

Inspection Team or special team reports, and other events that the NRC staff has identified as potential 

precursors. The second step is to conduct an engineering review of these screened events, using 

specific criteria, to identify those events requiring detailed analyses as candidate precursors. Third, the 

NRC staff calculates a conditional core damage probability (CCDP) or increase in core damage

probability (∆CDP) by mapping failures observed during the event or condition to accident sequences in 

risk models. Fourth, the preliminary potential precursor analyses are provided to the NRC staff and the 

licensee for independent peer review. However, for ASP analyses of noncontroversial, low-risk 

precursors, formal peer reviews by licensees may not be performed. The NRC staff will continue to 

perform an inhouse review process for all analyses. Lastly, findings from the analyses are provided to 

the licensee and the public. Note that there is a time lag in obtaining ASP analysis results because 

they are often based on LERs (submitted up to 60 days after an event) and completed inspection 

activities in which most take months to complete. Final data will be reported in the year in which the 

event occurred. 

Validation: The ASP program identifies significant precursors as those events that have a 1/1000 

(1x10-3

) or greater probability of leading to a nuclear reactor accident. Significant accident sequence 

precursor events have a CCDP or ∆CDP of ≥ 1x10-3

. 

3–Number of operating reactors with integrated performance that entered the multiple/repetitive 

degraded cornerstone column or the unacceptable performance column of the Reactor Oversight 

Process Action Matrix, or the Inspection Manual Chapter 0350 process is ≤3, with no performance 

leading to the initiation of an Accident Review Group. 

Reactor Safety Target: Less than or equal to 3

Verification: The NRC ROP collects the data for this performance measure on a continuous basis, and 

the information is published at least quarterly. NRC inspectors use detailed formal procedures to 

conduct inspections of licensee performance, and NRC managers review the results to ensure the 

completeness, accuracy, consistency, timeliness, and validity of the data.

The NRC enhances the quality of its inspections through inspector feedback and periodic reviews of 

results. The inspectors are trained through a rigorous qualification program. The quality is also 

improved through continuous feedback from licensees and inspectors that is incorporated into guidance 

documents. The NRC publishes the data on the agency’s Web site and incorporates feedback 

received from all stakeholders as appropriate.
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Validation: The information that the ROP collects covers 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. Senior agency

managers review plants annually that are identified as having performance issues and report the results 

to the Commission. The same is true of the agency’s ROP self-assessment. 

This measure is the number of plants that have entered the process in Inspection Manual 

Chapter 0350, “Oversight of Reactor Facilities in a Shutdown Condition due to Significant Performance 

and/or Operational Concerns,” dated December 15, 2006; the multiple/repetitive degraded cornerstone 

column; or the unacceptable performance column during the fiscal year (i.e., were not in these columns 

or process the previous fiscal year). Data for this measure are obtained from the NRC external Web 

Action Matrix Summary page that provides a matrix of the five columns with the plants listed within their 

applicable column and notes the plants in the Manual Chapter 0350 process. For reporting purposes, 

plants that are the subject of an approved deviation from the Action Matrix are included in the column or 

process in which they appear on the Web page. 

The Accident Review Group is described in the NRC’s Management Directive 8.9, “Accident 

Investigation,” dated August 26, 2005. 

4–Number of significant adverse trends in industry safety performance is ≤ 1.

Reactor Safety Target: Less than or equal to 1

Verification: Data for this performance measure are derived from data supplied by all power plant 

licensees in LERs, monthly operating reports, and performance indicator data submitted for the ROP. 

These data are required by 10 CFR 50.73, “Licensee Event Report System,” or plant-specific technical 

specifications, or they are submitted by all plants as part of the ROP. Detailed NRC guidelines and 

procedures are in place to control each of these reporting processes. The NRC reviews these 

procedures for appropriateness both periodically and in response to licensee feedback. The NRC also 

conducts periodic inspections of licensees’ processes for collecting and submitting the data to ensure 

completeness, accuracy, consistency, timeliness, and validity.

All licensees report the data at least quarterly. The NRC staff reviews all of the data and conducts 

inspections to verify safety-significant information. The NRC also employs a contractor to review the 

data that licensees submit, input the data into a database, and compile the data into various indicators. 

Quality assurance processes for this work have been established and included in the contract 

statement of work. The experience and training of key personnel are controlled through administration 

of the contract. The contractor identifies discrepancies to licensees and the NRC for resolution. The 

NRC reviews the indicators and publishes them on the agency’s Web site quarterly. The agency also 

incorporates feedback from licensees and the public, where appropriate. The target value is set based 

on the expected addition of several indicators and a change in the long-term trending methodology.

Validation: The data and indicators that support reporting against this performance measure provide a 

broad range of information on nuclear power plant performance. The NRC staff tracks indicators and 

applies statistical techniques to indicate whether industry performance is improving, steady, or 

degrading over time. If the staff identifies any adverse trends, the NRC addresses the problem through 

its processes for addressing generic safety issues and issuing generic communications to licensees. 

The NRC is developing additional, risk-informed indicators to enhance the current set of indicators. In 

doing so, the staff considers the costs and benefits of collecting the data through ongoing, extensive 
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interactions with industry about the indicators. Senior agency managers review the Industry Trends 

Program annually and report the results to the Commission.

5–Number of events with radiation exposures to the public and occupational workers from nuclear 

reactors that exceed Abnormal Occurrence Criterion I.A.3

Reactor Safety Target: Zero

Verification: Licensees report overexposures through the LER process, which 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. 

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.

6–Number of radiological releases to the environment from nuclear reactors that exceed applicable 

regulatory limits. 

Reactor Safety Target: Zero

Verification: As with worker overexposures, licensees report environmental releases of radioactive 

materials that are in excess of regulations or license conditions through the LER process, which 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 to this measure. 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 would record any instances in 

which the 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 followup 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 

measure 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 that must be taken for violations of the regulations 

or license conditions, based on the severity of the event. This performance measure includes dose 

values that are classified as being as low as is reasonably achievable (ALARA) in Appendix I,

“Numerical Guides for Design Objectives and Limiting Conditions for Operation To Meet the Criterion 

‘As Low As Is Reasonably Achievable’ for Radioactive Material in Light-Water-Cooled Nuclear Power 
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Reactor Effluents,” to 10 CFR Part 50, “Domestic Licensing of Production and Utilization Facilities,” 

and the public dose limits in 10 CFR Part 20, “Standards for Protection against Radiation.” Because 

the performance measure includes ALARA values, which are not safety limits, and because 

Appendix I to 10 CFR Part 50 allows licensees to temporarily exceed the ALARA dose values, for 

good reason, the performance measure is set to 2. 

NUCLEAR MATERIAL AND WASTE SAFETY 

Strategic Outcomes:

• Prevent the occurrence of any inadvertent criticality events. 

• Prevent the occurrence of any acute radiation exposures resulting in fatalities. 

• Prevent the occurrence of any releases of radioactive materials that result in significant radiation 

exposures.

• Prevent the occurrence of any releases of radioactive materials that cause significant adverse 

environmental impacts.

Performance Measures:

1–Number of events with radiation exposures to the public and occupational workers from radioactive 

material that exceed Abnormal Occurrence Criteria I.A.3

Materials Safety Target: Less than or equal to 2 

Waste Safety Target: Zero

Verification: This performance measure includes any event involving licensed radioactive materials that 

results in significant radiation exposures to members of the public or occupational workers that exceed 

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 as determined by a 

physician as a criterion for this measure. AO Criterion I.A.3 is used as the basis for this measure. 

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 material users, spent fuel storage and transportation, decommissioning, and 

low-level waste programs contain elements that verify the completeness and accuracy of licensee 

reports. The Integrated Materials Performance Evaluation Program (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 has taken a number of steps to improve the timeliness and completeness of materials event 

data. These steps include assessment of the NMED data during monthly staff reviews; emphasis and 

analysis during the IMPEP reviews; NMED training in HQ, the regions, and Agreement States; and 

discussions at all Agreement State and the Conference of Radiation Control Program Directors 

(CRCPD) meetings. 
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Validation: There is a logical basis for using events involving radiation exposures to the public and 

occupational workers from radioactive material that exceed AO Criterion I.A as a performance measure 

for ensuring the protection of public health and safety. An event is considered an AO if it is determined 

to be significant from the standpoint of public health or safety. The NRC’s regulatory process, including 

licensing, inspection, guidance, regulations, and enforcement activities, is designed to mitigate the 

likelihood of an event that would exceed AO Criterion I.A.3.

Events of this magnitude are rare. In the unlikely event that an AO should occur, the NRC or 

Agreement State technical specialists will confirm whether the criteria were met, with input provided by 

expert consultants, as necessary.

The NRC does not use statistical sampling of data to determine results. Rather, all event data are 

reviewed to determine whether the performance measure has been met. There are two important 

data limitations in determining this performance measure. These include delay time for receiving 

information and failure of the NRC to become aware of an event that causes significant radiation 

exposures to the public or occupational workers. The NRC regulations associated with event 

reporting include specific requirements for timely notifications; there is a lag time separating the 

occurrence of an event and the known consequences of an event. 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 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, in which staff and management validate the occurrence of these events.

2–Number of radiological releases to the environment that exceed applicable regulatory limits.

Materials Safety Target: Less than or equal to 2

Waste Safety Target: Zero

Verification: This performance measure is defined as any release to the environment from the following 

activities: fuel facilities, nuclear material users, spent fuel storage and transportation, 

decommissioning, and low-level waste activities that exceed applicable regulations as defined in 

10 CFR 20.2203(a)(3). 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 material users, spent fuel storage and transportation, decommissioning, and 

low-level waste programs contain elements that verify the completeness and accuracy of licensee 

reports. The 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.
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The NRC has taken a number of steps to improve the timeliness and completeness of materials event 

data. These steps include assessment of the NMED data during monthly staff reviews; emphasis and 

analysis during the IMPEP review; NMED training in HQ, the regions, and Agreement States; and 

discussions at all Agreement State and CRCPD meetings. 

Validation: The regulations in 10 CFR Part 20 provide standards for protection against radiation. 

There is a logical basis for tracking releases subject to the 30-day reporting requirement in 

10 CFR 20.2203(a)(3)(ii) as a performance measure for ensuring the protection of the environment. 

The NRC’s 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, Agreement 

State technical specialists, or agency consultants will confirm whether the criteria were met, with input 

provided by expert consultants, as necessary. 

The NRC does not look at statistical sampling of data to determine results; instead, all event data are 

reviewed to determine whether the performance measure has been met. There are two important data 

limitations in determining this performance measure. These include delay time for receiving information 

or the failure of the NRC to become aware of an event that causes environmental impacts. The NRC 

regulations associated with event reporting include specific requirements for timely notifications; there 

is a lag time separating the occurrence of an event and the known consequences of an event. 

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, in which staff and management validate the occurrence of these events.

Goal 2—Security: Ensure the secure use and management of radioactive materials.

NUCLEAR REACTOR AND NUCLEAR MATERIALS AND WASTE SECURITY

Strategic Outcome

Prevent any instances in which licensed radioactive materials are used domestically in a manner hostile 

to the security of the United States. 

Prevent unauthorized public disclosures of classified or Safeguards Information through quality 

measures.
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Performance Measures

1–Number of unrecovered losses or thefts of risk-significant radioactive sources.

Target: Zero 

Under AO Criterion I.C.1, the agency counts any unrecovered lost, stolen, or abandoned sources that 

exceed the values listed in Appendix P, “Category 1 and 2 Radioactive Material,” to 10 CFR Part 110, 

“Export and Import of Nuclear Equipment and Material.” Excluded from reporting under this criterion 

are those events involving sources that are lost, stolen, or abandoned under certain conditions, 

specifically, (1) sources abandoned in accordance with the requirements of 10 CFR 39.77(c), (2) sealed 

sources contained in labeled, rugged source housings, (3) recovered sources with sufficient indication 

that doses in excess of the reporting thresholds specified in AO Criteria I.A.1 and I.A.2 did not occur 

during the time the source was missing, (4) unrecoverable sources lost under such conditions that 

doses in excess of the reporting thresholds specified in AO Criteria I.A.1 and I.A.2 were not known to 

have occurred, and (5) other sources that are lost or abandoned and declared unrecoverable for which 

the agency has determined that the risk significance of the source is low based on the location 

(e.g., water depth) or physical characteristics (e.g., half-life and housing) of the source and its 

surroundings where all reasonable efforts have been made to recover the source and where it has 

been determined that the source is not recoverable and would not be considered a realistic safety or 

security risk under this measure.

Verification: 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 HQ Operations Center or 

Agreement State immediately (interpreted as within 4 hours) 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 but primarily through this required licensee 

notification. Events that are publicly available are then entered and tracked in NMED, which is an 

essential system used to collect and store information on such events. Separate 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 NRC’s inspection programs are key elements in verifying the completeness and accuracy of 

licensee reports. The 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 investigation that verifies the reliability of the reported information. When 

performed, these investigations 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 20 if the source is 

still missing at that time. In addition, 10 CFR 20.2201(d) requires an additional written report within 

30 days of a licensee learning any additional substantive information. The NRC interprets this 

requirement as including reporting recovery of sources.

The NRC issued guidance in Regulatory Issue Summary (RIS) 2005-21, “Clarification of the Reporting 

Requirements in 10 CFR 20.2201,” dated November 14, 2005, to clarify the current requirement in 
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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 its 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 the 

recovery of a risk-significant source within 30 days of recovery. 

Validation: Events collected under this performance measure are actual losses, thefts, or diversions of 

materials described above. Such events could compromise public health and safety, the environment, 

and the common defense and security. Events of this magnitude are expected to be rare. The 

information reported under 10 CFR Part 73 and 10 CFR Part 74 is required so that the NRC is 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 followup.

If an event subject to the reporting requirements described above 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, the NRC, or an Agreement State to mitigate the situation and prevent recurrence. 

2–Number of substantiated cases of theft or diversion of licensed risk-significant radioactive sources or 

formula quantities of special nuclear material or attacks that result in radiological sabotage.

Target: Zero 

Verification: In AO Criterion I.C.2, “substantiated” means a situation that requires additional action by 

the agency or other proper authorities because of an indication of loss, theft, or unlawful diversion—

such as an allegation of diversion, report of lost or stolen material, statistical processing difference, or 

other indication of loss of material control or accountability—that cannot be refuted following an 

investigation. A formula quantity of special nuclear material (SNM) is defined in 10 CFR 70.4, 

“Definitions.” Radiological sabotage is defined in 10 CFR 73.2, “Definitions.” Licensees subject to the 

requirements in 10 CFR Part 73 must call the NRC within 1 hour 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’s safeguards requirements are described 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 Loss or Theft or Attempted Theft or Unauthorized Production of Special 

Nuclear Material.” The information assessment team composed of NRC HQ and regional staff 

members would conduct an immediate assessment for any significant events to determine any further 

actions that are needed, including coordination with the intelligence community and law enforcement. 

In accordance with 10 CFR 73.71(d), the licensee must also file a written report within 60 days of the 

incident describing the event and the steps that the licensee took to protect the nuclear facility. This 

information will enable the NRC to adequately assess whether radiological sabotage has occurred. 

Validation: Events subject to reporting requirements are those that endanger the 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 
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situation and prevent recurrence. The investigation ensures the validity of the information and 

assesses the significance of the event.

3–Number of substantiated losses of formula quantities of special nuclear material or substantiated inventory 

discrepancies of a formula quantity of special nuclear material that are judged to be caused by theft, diversion, 

or substantial breakdown of the accountability system.

Target: Zero 

Verification: Licensees must record events associated with AO Criterion I.C.3 within 24 hours 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 diversion—such as an allegation 

of diversion, report of lost or stolen material, statistical processing difference, other system 

breakdown closely related to the material control and accounting program (such as an item control 

system associated with the licensee’s facility IT system), or other indication of loss of material control 

or accountability—that cannot be refuted following an investigation. A formula quantity of SNM is 

defined in 10 CFR 70.4. Events collected under this performance measure 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 vulnerability.

4–Number of substantial breakdowns of physical security or material control (i.e., access control containment 

or accountability systems) that significantly weaken the protection against theft, diversion, or sabotage.

Target: Less than or equal to 1

Verification: In AO Criterion I.C.4, a “substantial breakdown” is defined as a red finding in the security 

cornerstone of the ROP or significant performance problems or operational events resulting in a 

determination of overall unacceptable performance or in a shutdown condition (inimical to the effective 

functioning of the Nation’s 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 HQ 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 NRC within 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 hours 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 
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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 measure 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 that may 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 measure 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.

5–Number of significant unauthorized disclosures of classified or Safeguards Information.

Target: Zero 

Verification: In regard to AO Criterion I.C.5, any alleged or suspected violations by NRC licensees of 

the Atomic Energy Act, 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 to 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 HQ, 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 followup by the NRC. In addition, NRC 

inspections will verify that licensees’ routine handling of classified information and Safeguards 

Information (including Safeguards Information subject to modified handling requirements) conforms to 

established security information management requirements.

Any alleged or suspected violations of this performance measure by NRC employees, contractors, or 

other personnel would be reported in accordance with NRC procedures to the Director of Division of 

Facilities and Security at NRC HQ. 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.
PERFORMANCE MEASUREMENT 

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Validation: Events collected under this performance measure are unauthorized disclosures of classified 

information or Safeguards Information that damage the national security or public health 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, root causes, 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.

The following table shows the relationship between the agency’s goals, performance measures, and its 

seven program business lines. For example, the strategic outcome of “prevent the occurrence of any 

nuclear reactor accidents” relates to the New Reactors and Operating Reactors business lines. The 

strategic outcome of “prevent the occurrence of any inadvertent criticality events” relates to all of the 

agency’s business lines. Each program evaluates event reports and other pertinent datai

to report the 

results for each strategic outcome, performance measure, and output measure. For each output 

measure, the specific product line involved is identified in the table. 
PERFORMANCE MEASUREMENT 

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Goals, Performance Measure, and Program 

Crosswalk—Safety

Measures

NRC Business Lines

New Reactors Operating 

Reactors

Fuel Facilities Materials 

Users

Decomm & 

Low-Level 

Waste

Spent 

Fuel

Strategic Outcomes

Prevent the occurrence of any nuclear reactor 

accidents. x x x

Prevent the occurrence of any inadvertent criticality 

events. x x x x x x

Prevent the occurrence of any acute radiation 

exposures resulting in fatalities. x x x x x x

Prevent the occurrence of any releases of radioactive 

materials that result in significant radiation exposures. x x x x x x

Prevent the occurrence of any releases of radioactive 

materials that cause significant adverse environmental 

impacts.

x x x x x x

Performance Measures

Number of new conditions evaluated as red by the 

NRC’s reactor oversight process. x

Number of significant accident sequence precursors 

(ASPs) of a nuclear reactor accident. x

Number of operating reactors whose integrated 

performance entered the Manual Chapter 0350 

process or the multiple/repetitive degraded or 

unacceptable cornerstone of the Reactor Oversight 

Program (ROP) Action Matrix with no performance 

exceeding Abnormal Occurrence (AO) criteria.

x

Number of significant adverse trends in industry safety 

performance. x

Number of events with radiation exposures to the 

public or occupational workers that exceed AO 

Criterion I.A.3. 

x x x x x X

Number of radiological releases to the environment 

that exceed applicable regulatory limits. x x x x x x

Output Measures

Completion of license renewal application reviews. Licensing

Licensing actions completed per year. Licensing

Age of other licensing task inventory. Licensing

Age of licensing action inventory. Licensing
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Goals, Performance Measure, and Program 

Crosswalk—Safety

Measures

NRC Business Lines

New Reactors Operating 

Reactors

Fuel Facilities Materials 

Users

Decomm & 

Low-Level 

Waste

Spent 

Fuel

Other licensing tasks completed per year. Licensing

Number of operator licensing examinations 

administered. Licensing

Efficiency measure: Minimize necessary 

communication systems devices for senior manager 

use. 

Oversight

Number of plants for which the baseline inspection 

program was completed during the most recently 

ended inspection cycle.

Oversight

Timeliness of significance determination process (SDP) 

evaluations. Oversight

Time to complete reviews of technical allegations. Oversight

Timeliness in completing enforcement actions. Oversight

Timeliness in completing investigations—Target 1. Oversight

Timeliness in completing investigations—Target 2 Oversight

Timeliness in completing actions on critical research 

programs.

Research

Acceptable technical quality of agency research 

technical products. Research

Emergency Response Performance Index. Event Response

Review early site permit applications on the schedules 

negotiated with the applicants. Licensing

Review design certification (DC) applications on the 

schedules negotiated with the applicants. Licensing

Review combined operating license (COL) applications 

on the schedules negotiated with the applicants. Licensing

Review small modular reactor (SMR) DC applications 

on the schedules negotiated with the applicants. Licensing

Identify and resolve policy and key technical issues 

facing the review of SMR applications. Implement 

resolution through rule changes or guidance 

development.

Licensing

Review SMR preapplication submittals on the 

schedules negotiated with the applicants. Licensing

Review SMR COL and construction permit applications 

on the schedules negotiated with the applicants. Licensing

Complete all vendor inspections as scheduled and 

resourced. Oversight

Timeliness of completing “complex” fuel cycle Licensing
PERFORMANCE MEASUREMENT 

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Goals, Performance Measure, and Program 

Crosswalk—Safety

Measures

NRC Business Lines

New Reactors Operating 

Reactors

Fuel Facilities Materials 

Users

Decomm & 

Low-Level 

Waste

Spent 

Fuel

licensing actions from the date of acceptance, 

excluding request for additional information with an 

assumption of 30-day response to a request for 

additional information.

Timeliness of completing “noncomplex” fuel cycle 

licensing actions (e.g., amendments and reviews) from 

the date of acceptance, including a 30-day response 

for a request for additional information.

Licensing

Efficiency measure: New fuel facilities hearing 

support. Licensing

Timeliness in completing reviews for technical 

allegations. Oversight

Safety and safeguards inspection modules. Complete 

all core and reactive inspect ion modules as scheduled 

in Fuel Cycle Master Inspection Plan.

Oversight

Timeliness of safety and safeguards inspection 

modules. Complete core inspection modules as 

scheduled in Fuel Cycle Master Inspection Plan.

Oversight

Percentage of operating facilities for which the core 

inspection program was completed during the most 

recently ended inspection cycle. 

Oversight

Timeliness of licensing actions—reviews of application 

for new materials licenses and license amendments. Licensing

Timeliness of licensing actions—reviews of application 

for materials license renewals and sealed source and 

device designs.

Licensing

Timeliness of safety inspections of materials licensees. Oversight

Timeliness in completing reviews for technical 

allegations. Oversight

Timeliness in completing enforcement actions. Oversight

Timeliness in completing investigations—Target 1. Oversight

Timeliness in completing investigations—Target 2. Oversight

Percentage of materials and waste rulemakings 

completed on schedule. Rulemaking

Timeliness of completing actions on critical research 

programs.

Research

Acceptable technical quality of agency research 

technical products.

Research

Complete storage container and installation design 

reviews within timeliness goals. Licensing
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Goals, Performance Measure, and Program 

Crosswalk—Safety

Measures

NRC Business Lines

New Reactors Operating 

Reactors

Fuel Facilities Materials 

Users

Decomm & 

Low-Level 

Waste

Spent 

Fuel

Complete transportation container design reviews 

within timeliness goals. Licensing

Using intraagency contracting. Licensing

Waste Confidence and Extended Long-Term Storage 

Activities – Percent of Planned Products Completed 

within a Fiscal Year. 

Licensing

Number of spent fuel storage and transportation 

inspections completed. Oversight

Timeliness of completing actions on critical research 

programs.

Research

Acceptable technical quality of agency research 

technical products. Research

Support program licensing activities by preparing or 

reviewing environmental reports and preparing 

environmental review documents.

Licensing

Eliminate the need for some site-specific 

environmental impact statements (i.e., by reducing 

resource needs) by developing a generic 

environmental impact statement for uranium recovery 

environmental reviews.

Licensing

Cleanup complex materials, fuel cycle sites, and power 

reactors; complete uranium recovery licensing 

reviews. 

Oversight

Provide support to U.S. Department of Energy for 

waste incidental to reprocessing (WIR) activities. Oversight

Timeliness of completing actions on critical research 

programs.

Research

Acceptable technical quality of agency research 

technical products. Research

Provide support to International Atomic Energy 

Agency Waste Safety Standards Committee reviews, 

consultancies and expert missions, Joint Convention, 

and Nuclear Energy Agency.

International 

Activities
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Goals, Performance Measure, and 

Program Crosswalk—Security

Measures

NRC Business Lines

New 

Reactors

Operating 

Reactors Fuel Facilities Materials Users

Decomm & 

Low-Level 

Waste Spent Fuel

Strategic Outcome

No instances where licensed radioactive 

materials are used domestically in a 

manner hostile to the security of the 

United States.

x x x x x x

Performance Measures

Unrecovered losses of risk-significant 

radioactive sources. x x x x x x

Number of substantiated cases of actual 

theft or diversion of licensed, 

risk-significant radioactive sources or 

formula quantities of special nuclear 

material (SNM), or attacks that result in 

radiological sabotage.

x x x x x x

Number of substantiated losses of formula 

quantities of SNM or substantiated 

inventory discrepancies of formula 

quantities of SNM judged to be caused by 

theft or diversion or substantial breakdown 

of the accountability system.

x x x x x x

Number of substantial breakdowns of 

physical security or material control (i.e., 

access control, containment, or 

accountability systems) that significantly 

weakened the protection against theft, 

diversion, or sabotage.

x x x x x x

Number of significant unauthorized 

disclosures of classified information or 

Safeguards Information.

x x x x x x
PERFORMANCE MEASUREMENT 

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OFFICE OF THE INSPECTOR GENERAL 

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OFFICE OF THE INSPECTOR GENERAL 

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OFFICE OF THE INSPECTOR GENERAL 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 125 U.S. NUCLEAR REGULATORY COMMISSION

Office of the Inspector General

The U.S. Nuclear Regulatory Commission’s (NRC’s) Office of the Inspector General (OIG) was 

established as a statutory entity on April 15, 1989, in accordance with the 1988 amendments to the 

Inspector General Act. The OIG mission is to (1) independently and objectively conduct and supervise 

audits and investigations relating to NRC programs and operations, (2) prevent and detect fraud, waste, 

and abuse, and (3) promote economy, efficiency, and effectiveness in the NRC’s programs and 

operations.

In addition, OIG reviews existing and proposed regulations, legislation, and directives and provides 

comments, as appropriate, and makes recommendations to the agency concerning their impact on the 

economy and efficiency of agency programs and operations. The Inspector General keeps the NRC 

Chairman and members of Congress informed about problems, recommends corrective actions, and 

monitors NRC’s progress in implementing these actions.

Budget Overview

Budget Authority by Program

(Dollars in Millions)

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Summary $M FTE $M FTE $M FTE

Program Support 1.276 1.245 -0.031

Program Salaries 

and Benefits 9.584 58 9.860 58 0.276 0

Total $10.860 58 $11.105 58 $0.245 0

Numbers may not add due to rounding.
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PROGRAM RESOURCE SUMMARY

The fiscal year (FY) 2014 proposed budget request for OIG is $11.105 million, which includes 

$9.860 million in salaries and benefits to support 58 full-time equivalents (FTE) and $1.245 million in 

program support. These resources will fund the activities of the Audits and Investigations Programs.

Budget Authority and FTE by Program

Budget Authority by Program

(Dollars in Millions)

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Summary $M FTE $M FTE $M FTE

Audits 7.171 37 7.314 37 0.143 0 

Investigations 3.689 21 3.791 21 0.102 0 

Total $10.860 58 $11.105 58 $0.245 0 

Numbers may not add due to rounding.

In accordance with Office of Management and Budget (OMB) requirements, OIG is showing the full 

cost associated with its programs for the FY 2014 budget with the following caveat. As a result of an 

October 1989 memorandum of understanding between the NRC’s 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 NRC’s main appropriation. For the most part, these costs are not readily severable. 

Thus, this funding continues to be included in the NRC’s main appropriation.

AUDITS PROGRAM

Audits

Budget Authority by Program

(Dollars in Millions)

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Summary $M FTE $M FTE $M FTE

Program Support 7.171 37 7.314 37 0.143 0 

Total $7.171 37 $7.314 37 $0.143 0 

Numbers may not add due to rounding.
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HIGHLIGHTS

The OIG Audits Program focuses on the agency’s 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 and the 

accuracy and reliability of financial statements. The overall objective of an audit is to identify ways to 

enhance agency operations and to promote greater economy and efficiency.

For FY 2014, OIG requests $7.314 million and 37 FTE to carry out its Audits Program activities. With 

these resources, the Audits Program will conduct approximately 22 audits and evaluations. This will 

enable the OIG to provide coverage of the NRC’s Reactor Safety, Materials and Waste Safety, 

Security, and Corporate Support Programs. OIG’s 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.

CHANGES FROM FY 2012 ENACTED

Resources increase in the Audits Program to fund the January 2014 pay raise, within-grade and 

benefits costs increases in FY 2013 and FY 2014.

FY 2013–FY 2014 AUDITS PROGRAM PERFORMANCE GOALS

• Safety Area: 85 percent of audit products and activities undertaken will identify critical risk areas 

or management challenges relating to the improvement of the NRC’s safety programs. 

• Security Area: 90 percent of audit products and activities undertaken will identify critical risk areas 

or management challenges relating to the improvement of the NRC’s security programs. 

• Corporate Management Area: 80 percent of audit products and activities undertaken will identify 

critical risk areas or management challenges relating to the improvement of the NRC’s corporate 

management programs. 

• Eighty-five percent of completed audit products or activities will have a high impact on 

strengthening the NRC’s safety, security, and corporate management programs. 

• Obtain agency agreement on at least 92 percent of OIG audit recommendations. 

• Obtain final agency action on an aggregate of 70 percent of OIG audit recommendations within 

2 years. 

SELECTED FY 2012 AUDITS PROGRAM ACCOMPLISHMENTS

In FY 2012, OIG issued 22 reports pertaining to NRC programs and operations. These reports either 

evaluate high-risk agency programs or comply with mandatory financial and computer security-related 

legislation.
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EXAMPLES OF RECENTLY COMPLETED WORK ARE AS FOLLOWS:

Audit of NRC’s Oversight of Industrial Radiography: 

The NRC regulates the use of ionizing radiation for nondestructive examination of the structure of 

materials in its jurisdiction. This process is known as industrial radiography. Radiographers use 

radiography devices, or cameras, to produce images used in the examination of structures, such as 

pipelines. The cameras contain radioactive sealed sources. When the source is exposed, radiation 

penetrates the material and produces a shadow image on film or some other detection medium. The 

NRC’s regulatory requirements for industrial radiography are provided in Title 10 of the Code of Federal 

Regulations (10 CFR) Part 34, “Licenses for Industrial Radiography and Radiation Safety Requirements 

for Industrial Radiographic Operations.” These regulations require radiographers to perform radiography 

in a safe manner. The audit objective was to determine the adequacy of NRC’s processes for overseeing 

licensee activities addressing the safety and control of radiography sources.

Audit Results: 

Generally, the NRC’s oversight of industrial radiography is effective, and the agency has taken steps to 

improve its oversight by updating some guidance for radiography and stressing the importance of 

safety culture during radiography inspections. However, OIG identified the following areas that could 

be improved: (1) clarity and consistency of what activities licensees are authorized to conduct or when 

licensees may conduct them, (2) routine inspection program for licensees, (3) temporary jobsite 

inspections, and (4) approach to inspecting NRC licensees located in Agreement States. Addressing 

these concerns will improve the NRC’s oversight of industrial radiography by ensuring that inspections 

are conducted where needed and at the proper frequency.

Audit of NRC’s Management of Import/Export Authorizations: 

One of the NRC’s statutorily mandated responsibilities under the Atomic Energy Act of 1954, as 

amended (AEA), is to license the import and export of nuclear materials and equipment into and from 

the United States. The NRC’s Office of International Programs (OIP) is assigned to process specific 

nuclear import and export licensing actions under 10 CFR Part 110, “Export and Import of Nuclear 

Equipment and Material,” after receiving any necessary guidance from the Commission. 

From FY 2008 through FY 2010, OIP completed between 123 and 139 licensing actions per year. The 

audit objectives were to determine whether the NRC (1) properly reviews and approves import/export 

authorizations in a timely manner, (2) effectively coordinates this activity with other Federal agencies, 

and (3) efficiently and effectively coordinates import/export authorizations internally. 
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Audit Results: 

In general, OIP is properly reviewing and approving import/export license authorizations (applications) 

in a timely fashion and coordinates effectively with external stakeholders. However, OIG identified 

opportunities for improvement for more efficient and effective internal coordination on import and export 

authorizations. Specifically, (1) OIP does not have a systematic approach to biennial fee reviews and 

adjustments, (2) OIP does not reconcile import and export license application revenue, and (3) OIP 

does not employ an adequate quality control review process over application files. Addressing these 

concerns will strengthen the NRC’s internal control over import and export licensing and result in 

excess of $357,000 in funds being put to better use.

Audit of NRC’s Protection of Safeguards Information:

Safeguards Information (SGI) is a category of sensitive unclassified information that is unique to NRC. 

SGI is detailed security-related information that identifies security measures for the physical protection 

of special nuclear material or security measures for the physical protection and location of certain plant 

equipment vital to the safety of production or utilization facilities. Unauthorized disclosure of SGI could 

have a significant adverse effect on public health and safety and the common defense and security by 

significantly increasing the likelihood of theft, diversion, or sabotage of materials or facilities subject to 

NRC jurisdiction. The audit objective was to determine whether the NRC adequately ensures the 

protection of SGI. This audit was conducted to followup on an audit issued in January 2004, 

OIG-04-A-04, “Audit of NRC’s Protection of Safeguards Information.” The 2004 audit found that the 

benefit of having an SGI program was unclear and that the NRC lacked a central authority for 

controlling, coordinating, and communicating SGI program requirements. The audit also found 

examples in which NRC and licensee representatives inappropriately released SGI to unauthorized 

individuals. 

Audit Results: 

Since the 2004 audit, the NRC has made improvements to the SGI program, including the development 

of a Management Directive specifically for SGI and identification of a lead program office for developing 

SGI policies and procedures. However, OIG identified the following areas for further improvement of 

the SGI program: The NRC (1) lacks a structured process for tracking SGI releases, (2) lacks guidance 

on granting “outsiders” access to SGI, and (3) has inadequate business processes over the SGI 

designator role. Addressing these areas will strengthen the agency’s ability to protect SGI from 

unauthorized disclosure and enhance its SGI program.

Audit of NRC’s Use of Confirmatory Action Letters:

The NRC regulates commercial nuclear power plants and other civilian uses of nuclear materials, such 

as in nuclear medicine, through licensing, inspection, and enforcement of its requirements. In exercise 

of its regulatory responsibilities, the NRC uses administrative actions, such as confirmatory action 

letters (CALs), to supplement the agency’s enforcement program. CALs are “letters confirming a 

licensee's agreement to take certain actions to remove significant concerns about health and safety, 

safeguards, or the environment.” The audit objective was to determine the effectiveness of NRC’s use 

of CALs as a regulatory tool. To meet this objective, OIG auditors focused on the agency’s 

administration of the CAL process. 
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Audit Results: 

The NRC’s administration of the CAL process is not as effective as it could be. Specifically, CAL 

guidance is inconsistent because the CAL guidance does not include some offices’ roles nor clearly 

identify all CAL recipients. Further, NRC program and regional offices do not fully comply with CAL 

guidance. Despite requirements in the “NRC Enforcement Manual” for the concurrence, tracking, and 

numbering of CALs, (1) some required office concurrences on CALs are missing, (2) CAL tracking 

practices vary among offices, and (3) CAL numbering conventions vary among offices. Weaknesses in 

the NRC’s CAL guidance and compliance with the guidance exists because the agency does not have 

a centralized control point for agencywide oversight and implementation of a fully effective CAL 

process, including consistent CAL guidance, compliance with the guidance, and the tracking of CALs. 

Consequently, the NRC may be missing opportunities to effectively use CALs for potential CAL 

recipients not identified in current guidance and to efficiently track and trend CALs.

EXAMPLES OF ONGOING AUDIT WORK ARE AS FOLLOWS:

Audit of NRC’s Travel Charge Card Program:

The NRC’s Travel Charge Card Program is part of the Governmentwide Commercial Charge Card 

Program established to pay the official travel expenses of employees while on temporary duty or other 

official business travel. The intent of the program is to improve convenience for the traveler and to 

reduce the Government’s costs of administering travel. OMB has issued guidance that establishes 

requirements (including internal controls designed to minimize the risk of travel card misuse) and has 

suggested best practices for Government travel card programs. During FY 2011, 2,613 NRC 

employees charged approximately $9 million on travel charge cards, primarily issued to employees as 

individually billed accounts. Travel cardholders are directly responsible for all charges incurred on their 

account. The Office of the Chief Financial Officer administers the NRC’s travel charge card program 

and controls the use of agency funds to ensure that they are expended in accordance with applicable 

laws and standards. The audit objective is to assess whether the NRC’s policies and procedures are 

effective in preventing and detecting travel charge card misuse and delinquencies.

2012 NRC Safety Culture and Climate Survey

In 1998, 2002, 2006, and 2009, OIG contracted with an international survey firm to conduct surveys 

that evaluated the organizational safety culture and climate of the NRC’s workforce and identified 

agency strengths and opportunities for improvements. Comparisons were made to the previous 

surveys and to national and Government norms. In response to the survey results, the agency 

evaluated the key areas for improvement and developed strategies for addressing them. A clear 

understanding of the NRC’s current safety culture and climate will facilitate identification of agency 

strengths and opportunities as it continues to experience significant challenges. These challenges 

include the licensing of new nuclear facilities, disposal of high-level waste, the loss of valuable 

experience from retirements, operating under continuing resolutions, smaller budgets, and legislation 

that froze Federal civilian employee pay rates. The survey results are also useful to OIG in 

programming future work. The survey objectives are to (1) measure the NRC’s safety culture and 

climate to identify areas of strength and opportunities for improvement, (2) compare the results of this 

survey against the survey results that OIG reported previously, and (3) provide, where practical, 

benchmarks for the qualitative and quantitative findings against other organizations.
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Audit of NRC’s Implementation of Its NEPA Responsibilities

The National Environmental Policy Act (NEPA) of 1969 requires Federal agencies, as part of their 

decisionmaking process, to consider the environmental impacts of actions under their jurisdiction. 

NEPA requires that an environmental impact statement of the proposed action be prepared for “major 

Federal actions significantly affecting the quality of the human environment.” Consultations to ensure 

compliance with other statutory mandates, such as with Section 7 of the Endangered Species Act of 

1973 and Section 106 of the National Historic Preservation Act of 1966, are also part of the NEPA 

review process. Environmental reviews occur at three levels, ranging from categorical exclusion to an 

environmental assessment or to the detailed environmental impact statement. NRC has issued 

regulations to implement NEPA requirements in 10 CFR Part 51, “Environmental Protection 

Regulations for Domestic Licensing and Related Regulatory Functions.” The audit objective is to 

determine whether the NRC implements its environmental review and consultation responsibilities, as 

prescribed by NEPA.

OIG Evaluation of the NRC's Use and Security of Social Media

Social media technologies, commonly referred to as Web 2.0, allow individuals and organizations to 

create, edit, organize, and share content in user-generated virtual communities. Web 2.0 technologies 

include (1) Web logs (blogs)—a Web site containing the writer’s or group of writers’ opinions on a topic, 

including photographs and links to other Web sites, (2) social media sites, such as Twitter and 

Facebook, and (3) video sharing sites such as YouTube. The evaluation objective is to determine how 

the NRC uses social media, the effectiveness and efficiency of the NRC’s use of social media, and 

whether the NRC staff are using social media in a secure manner. The evaluation will also assess the 

extent to which the NRC has developed and implemented policies and procedures for protecting 

information associated with the use of social media and regulatory or budgetary constraints impeding 

the agency’s use of social media. 

INVESTIGATIONS PROGRAM

Investigations

Budget Authority by Program

(Dollars in Millions)

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Summary $M FTE $M FTE $M FTE

Program Support $3.689 21 $3.791 21 $0.102 0 

Total $3.689 21 $3.791 21 $0.102 0 

Numbers may not add due to rounding.

HIGHLIGHTS

OIG’s responsibility for detecting and preventing fraud, waste, and abuse within the NRC includes 

investigating possible violations of criminal statutes relating to the agency’s programs and activities; 
OFFICE OF THE INSPECTOR GENERAL 

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investigating misconduct by NRC employees; interfacing with the U.S. Department of Justice 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 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 2014, OIG requests $3.791 million and 21 FTE to carry out its Investigations Program activities. 

Reactive investigations into allegations of criminal and other wrongdoing will continue to claim priority 

on OIG’s use of available resources. Because the NRC’s mission is to protect the public health and 

safety, the Investigations Program’s main concentration of effort and resources will involve 

investigations of alleged NRC staff misconduct that could adversely affect matters related to health and 

safety. 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 will conduct 

approximately 60 investigations and Event Inquiries covering a broad range of allegations concerning 

misconduct and mismanagement affecting various NRC programs.

CHANGES FROM FY 2012 ENACTED

Resources increase in the Audits Program to fund the January 2014 pay raise, within-grade and 

benefits costs increases.

FY 2013–FY 2014 INVESTIGATIONS PROGRAM PERFORMANCE GOALS

• Safety Area: 85 percent of investigation products and activities undertaken will identify critical 

risk areas or management challenges relating to the improvement of the NRC’s safety 

programs. 

• Security Area: 90 percent of investigation products and activities undertaken will identify critical 

risk areas or management challenges relating to the improvement of the NRC’s security 

programs. 

• Corporate Management Area: 80 percent of investigation products and activities undertaken 

will identify critical risk areas or management challenges relating to improvement of the NRC’s 

corporate management programs. 

• Eighty-five percent of investigations or activities completed will have a high impact on 

strengthening the NRC’s safety, security, and corporate management programs. 

• Obtain 90 percent agency action in response to OIG investigative reports. 

• Complete 90 percent of active cases in less than 18 months on average. 

SELECTED FY 2012 INVESTIGATIONS PROGRAM ACCOMPLISHMENTS

In FY 2012, OIG completed 55 investigations. These investigative efforts focused on violations of law 

or misconduct by NRC employees and contractors and allegations of irregularities or inadequacies in 

NRC programs and operations.
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EXAMPLES OF RECENTLY COMPLETED WORK ARE AS FOLLOWS:

Release of Predecisional Information on Commission Notation Vote

OIG conducted an investigation into an allegation that sensitive information concerning the outcome of 

a nonpublic Commission vote was leaked to a congressional member. The vote pertained to a 

“Statement of Interest” (i.e., Federal preemption) by the U.S. Department of Justice in a lawsuit filed by 

Entergy Nuclear against the State of Vermont.

Investigative Results: 

OIG found that numerous NRC employees received e-mails from each Commission member stating 

how he or she voted on the “Statement of Interest” matter. In addition, these same employees received 

an e-mail from the Office of the Chairman providing the final 3 to 2 vote tally, including a breakout of 

how each Commission member voted. OIG found that a congressional members’ office was aware of 

the overall 3 to 2 vote before its official release. OIG was unable to determine how the congressional 

members learned about the vote tally.

Potential Ethics Violation Involving Outside Employment by an Office of Nuclear Regulatory Research 

Employee

OIG conducted an investigation into an allegation that an NRC employee was serving on a peer review 

panel in South Africa but did not obtain management approval to work on the panel.

Investigative Results:

OIG found that the NRC employee was a paid consultant for a panel; however, the NRC employee 

sought guidance from the agency’s Office of the General Counsel on employment with the panel. 

There were no costs incurred to the NRC and no indications that the NRC employee used NRC 

resources to conduct work on behalf of the panel. OIG determined that the South African peer review 

panel was a foreign government entity and that, by accepting compensated employment, the 

employee violated the Emoluments Clause of the U.S. Constitution. OIG also determined that the 

NRC employee failed to report his or her association with the South African peer review panel to the 

Division of Facilities and Security (DFS) in violation of an NRC Management Directive. As a result of 

this investigation, the employee returned the compensation received from the South African peer 

review panel. 

Failure to Inspect North Anna Nuclear Plant, Unit 1, after Earthquake and Inspection of Unit 2

The OIG conducted an investigation into an allegation that an NRC senior official failed to protect public 

health and safety by not inspecting North Anna Nuclear Power Plant (North Anna), Unit 1, internals 

after it was shut down because of an August 2011 earthquake centered in Mineral, VA.

Investigative Results:

The OIG determined that NRC headquarters dispatched an augmented inspection team (AIT) to the 

facility following the earthquake. OIG reviewed the NRC’s technical evaluation of the event that 

documented the agency’s inspection activities and conclusions supporting its decision to allow North 

Anna to restart to include a conclusion on the functionality of the reactor vessel internals. The 
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technical evaluation explained in detail the inspection activities of both Units 1 and 2. The technical 

evaluation also explained why certain inspection results of Unit 2 would be representative of the 

findings for Unit 1. Further, the decision to restart North Anna was not the Regional Administrator’s 

responsibility. NRC headquarters personnel declared the facility safe and was ultimately authorized 

to restart after confirming that regulatory requirements were met.

Mishandling of Personally Identifiable Information by an iLearn Contractor

OIG conducted an investigation into an allegation of a possible leak of NRC employees’ personally 

identifiable information (PII) in an e-mail sent from an Office of Personnel Management’s (OPM) 

training provider, which manages the agency’s learning management system known as iLearn. The 

NRC uses the OPM training provider to manage iLearn as part of an OMB requirement that all agencies 

use one of five authorized certified training providers to track Federal employee training. The e-mail in 

question was sent to three NRC employees located in the Office of the Chief Human Capital Officer and 

one training provider contractor employee.

Investigative Results:

OIG found that the training provider mishandled NRC employee PII by sending it in clear text as an 

attachment to a regular e-mail. Upon notification of the PII transmittal by an NRC employee, the 

training provider coordinated with OPM to remove all remnants of the e-mail, the attachment, and all 

documents used to create the attachment. The training provider also implemented steps to prevent this 

from happening in the future and committed to re-educating its employees on the future handling and 

transporting of PII through secure transfer methods.

OIG also found that the NRC’s task order with OPM did not adequately address the retention and 

destruction of NRC employee PII the training provider used to update the training database. This 

shortcoming put the agency at risk of having outdated sets of PII in the possession of OPM’s contractor

for inadvertent misuse. This investigation identified a shortcoming in the NRC’s contractual 

arrangement that required the training provider to provide NRC employee PII to OPM to meet the 

training documentation requirement in OPM’s e-Government initiative, Enterprise Human Resources 

Integration.

Possible Violations of the NRC’s Internal Commission Procedures and the Reorganization Plan No. 1 of 1980 by 

Former Chairman

OIG conducted an investigation into four allegations concerning a former NRC Chairman’s exercise of 

his authority under the Reorganization Plan No. 1 of 1980 (Reorganization Plan) and the Energy 

Reorganization Act of 1974. The investigation also addressed allegations concerning the former 

Chairman’s interactions with NRC officials and the Chairman’s testimony during U.S. House of 

Representatives and Senate committee hearings in December 2011.

Investigative Results:

OIG found the former Chairman did not exceed his authorities under the Reorganization Plan in leading 

NRC’s response to events in Japan following the March 2011 earthquake and tsunami that caused a 

crisis at the six-unit Fukushima Dai-ichi Nuclear Power station in Japan. The Chairman is authorized to 

direct the NRC’s response to emergencies under Sections 2 and 3 of the Reorganization Plan. 

Section 2 allows the Chairman to direct the agency’s response as the NRC’s principal executive officer 

and to communicate to the public about the response as the official Commission spokesman. Section 3 
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provides special authority for the Chairman to respond to an emergency concerning an NRC licensee 

without consulting with the Commission on matters that would otherwise require a collegial approach. 

OIG found that the Reorganization Plan gives the Chairman sole authority to declare the existence of a 

Section 3 emergency but does not specifically require the Chairman to declare use of the Section 3 

authority. Moreover, OIG did not identify any NRC procedure requiring the Chairman to make a 

Section 3 declaration, and the Chairman did not make such a declaration. OIG found that the former 

Chairman made reasonable efforts to keep Commissioners informed of actions taken during the 

emergency period.

OIG found the Chairman’s actions concerning the withdrawal and resubmission of a revised SECY 

paper1 did not violate the Internal Commission Procedures in regard to “withdrawal of papers submitted 

to the Commission.” However, OIG found that the Chairman’s direction not to include the Executive 

Director for Operations’ perspective on the SECY paper was inconsistent with the Commissioners’ 

expectations to receive the staff’s written views, analysis, and recommendations as part of SECY 

papers. OIG found the Reorganization Plan assigns the Chairman responsibility for “developing policy 

planning and guidance for consideration by the Commission,” but it does not define these terms or 

articulate the limits on the Chairman’s authority in this area. Moreover, the legislative history provides 

conflicting interpretations as to whether the Chairman can direct the staff not to submit written policy 

proposals to the Commission or alter the information that the staff provides in its written policy 

proposals.

OIG found that the former Chairman initially instructed the Secretary of the Commission not to follow 

the consensus approach of the four Commissioners concerning moving forward to finalize the revised 

Internal Commission Procedures. OIG found conflicting direction in the Reorganization Plan and an 

NRC Management Directive concerning the Chairman’s supervisory authority over the Secretary and 

noted that, although the Chairman is authorized to provide administrative supervision and oversight of 

the Secretary, the Secretary must also be responsive to Commission direction concerning matters 

under its purview.

OIG identified more than 15 examples of interactions between the Chairman and NRC senior 

executives and Commissioners in which the Chairman’s behavior was not supportive of an open and 

collaborative work environment. In addition, OIG found the Chairman’s testimony of December 2011 

before the House and Senate committees was inconsistent, in five areas, with testimony provided to 

OIG by NRC senior officials during this investigation.

 

1 The Commission’s primary decisionmaking tool is a written issue paper referred to as a SECY paper.
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EXAMPLES OF ONGOING INVESTIGATIVE WORK ARE AS FOLLOWS:

NRC Regulatory Oversight

OIG initiated a special project to proactively monitor NRC technical and regulatory processes, nuclear 

industry trends, trade press, and other sources to identify potential problematic areas in the agency’s 

regulatory oversight of operating reactors, nuclear materials, and high-level and low-level waste.

NRC Network Intrusion, Computer Misuse, and Computer Forensic Support

The OIG Cyber Crime Unit conducts investigations into internal and external cyber breaches to the 

NRC’s IT infrastructure, conducts cyber investigations involving the NRC and its employees, and works 

jointly with NRC staff to identify unauthorized or unknown activity on the agency’s network. 

Investigations include computer misuse by NRC employees, targeted spear phishing attacks against 

NRC employees, attempted network intrusions, unauthorized release of electronic sensitive 

information, and forensic assistance to the NRC in regard to alleged licensees’ violations of regulatory 

requirements. 

Violations of Public Trust

The OIG initiated a project to identify violations of public trust and to develop investigations focused to 

recognize schemes that may lead to criminal offenses, including bribery, extortion, embezzlement, and 

illegal kickbacks. This project involves the review of a variety of information sources and deploys 

innovative methods to focus on restrictions on former employees engaging in postemployment activities 

that affect the NRC and acts that affect a personal financial interest of current or former employees.
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OIG’S STRATEGIC GOALS, STRATEGIES, AND ACTIONS

OIG carries out its mission through its Audits and Investigations Programs. The NRC-OIG 2008-2013 

Strategic Plan, which is currently being updated, features three goals and guides the activities of these 

programs. The plan identifies the major challenges and risk areas facing the NRC and generally aligns 

with the agency’s mission. It also includes a number of supporting strategies and actions that describe 

OIG’s planned accomplishments over the strategic planning period. OIG’s strategic plan can be 

accessed in its entirety at the following address: 

http://www.nrc.gov/insp-gen/plandocs/strategic-plan.pdf. 

Through annual planning activities, audit and investigative resources focus on assessing the NRC’s 

safety, security, and corporate management programs that involve the major challenges and risk areas 

facing the agency in the given budget year. The work that OIG auditors and investigators perform is 

mutually supportive and complementary in pursuit of these objectives. Below are OIG’s strategic goals 

and strategies covering this budget cycle.

OIG STRATEGIC GOALS

STRATEGIC GOAL 1: STRENGTHEN THE NRC’S EFFORTS TO PROTECT PUBLIC HEALTH AND SAFETY AND THE 

ENVIRONMENT.

The NRC faces many safety challenges and an associated increased workload related to nuclear 

reactor oversight, the regulation of nuclear materials, and the handling of nuclear waste. A significant 

concern for the agency is regulating the safe operation of the Nation’s nuclear power plants through an 

established oversight process. The NRC also must address an increasing number of license 

amendment requests to increase the power generating capacity of specific commercial reactors; 

license renewal requests to extend reactor operations beyond originally set expiration dates; and the 

introduction of new technology, such as new and advanced reactor designs. Further, the NRC must 

ensure that its regulatory activities on nuclear fuel cycle facilities and nuclear materials adequately 

protect public health and safety. Below are OIG’s strategies to support the agency’s efforts in facing

these challenges. 

• Strategy 1-1: Identify risk areas associated with the NRC’s Reactor Oversight Process and 

make recommendations, as warranted, for addressing them.

• Strategy 1-2: Identify risk areas associated with NRC efforts to (1) prepare for and manage the 

review of applications for new power reactors and (2) oversee construction of new power 

reactors to verify that they are built in conformance with approved designs and in compliance 

with approved construction standards and make recommendations, as warranted, for 

addressing them.

• Strategy 1-3: Identify risk areas facing the materials programs and make recommendations, as 

warranted, for addressing them.

• Strategy 1-4: Identify risk areas associated with low-level waste and the prospective licensing 

of the high-level waste repository and make recommendations, as warranted, for addressing 

them.
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STRATEGIC GOAL 2: ENHANCE THE NRC’S EFFORTS TO INCREASE SECURITY IN RESPONSE TO AN EVOLVING THREAT 

ENVIRONMENT.

The NRC continues to face a number of challenges in ensuring that the public is protected from 

improper use of nuclear materials and technology. The NRC, in concert with other agencies, must 

maintain a comprehensive assessment of threats and effectively integrate security considerations into 

its regulatory process. The agency also must ensure that security is adequately incorporated into the 

design and construction of new facilities. Listed below are OIG’s strategies to support the NRC in 

facing these and other security-related challenges.

• Strategy 2-1: Identify risk areas involved in effectively securing both operating and proposed 

nuclear power plants, nuclear fuel cycle facilities, and nuclear materials and make 

recommendations, as warranted, for addressing them.

• Strategy 2-2: Identify risks associated with emergency preparedness and make 

recommendations, as warranted, for addressing them.

• Strategy 2-3: Identify challenges involved in responding to incidents and make 

recommendations, as warranted, for addressing them.

• Strategy 2-4: Identify evolving threats to NRC security and make recommendations, as 

warranted, for addressing them.

• Strategy 2-5: Identify risks associated with nonproliferation of nuclear material and nuclear 

technology and make recommendations, as warranted, for addressing them.

STRATEGIC GOAL 3: INCREASE THE ECONOMY, EFFICIENCY, AND EFFECTIVENESS WITH WHICH THE NRC MANAGES AND 

EXERCISES STEWARDSHIP OVER ITS RESOURCES.

The NRC faces significant challenges to efficiently, effectively, and economically manage its resources. 

Although a number of organizational changes have been implemented in recent years, more changes 

will occur over the strategic timeframe. The agency will need to continue balancing workloads and 

priorities to support new reactor licensing efforts. This will create tremendous pressure on all program 

management areas, including human resources management, information technology, and financial 

management. Listed below is OIG’s strategy to support the agency in mitigating these challenges.

• Strategy 3-1: Identify areas of corporate management risk within the NRC and make 

recommendations, as warranted, for addressing them.
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OIG PROGRAM PERFORMANCE MEASURES

OIG Strategic Goal 1: Strengthen the NRC’s Efforts To Protect Public Health and Safety

and the Environment

2009 2010 2011 2012 2013 2014

Measure 1. Percentage of OIG products/activities2 undertaken to identify critical risk areas or management challenges3 relating to the improvement of 

the NRC’s safety programs.

Target 80% 85% 85% 85% TBD 85%

Actual 100% 100% 100% 100% TBD TBD

Measure 2. Percentage of OIG products/activities that have a high impact4 on improving the NRC’s safety program.

Target 70% 85% 85% 85% TBD 85%

Actual 89% 100% 91% 89% TBD TBD

Measure 3. Number of audit recommendations agreed to by agency.

Target 90% 92% 92% 92% TBD 92%

Actual 60%5 60%6 80%7 91%8 TBD TBD

Measure 4. Final agency action within 2 years of audit recommendations.

Target 50%9 70% 70% 70% TBD 70%

Actual 67% 80% 80% 80% TBD TBD

Measure 5. Agency action in response to investigative reports.

Target 90% 95% 95% 95% TBD 95%

Actual 100% 100% 100% 100% TBD TBD

Measure 6. Complete active cases in less than 18 months on average.

Target 90%10 TBD 90%

Actual 100% TBD TBD

 

2 OIG products are issued as OIG reports. For the Audits Program, these are audit reports and evaluations. For the Investigations 

Program, these are investigations, Event Inquiries, and Special Inquiries. Activities are the OIG hotline or proactive investigative 

reports. 3 Congress left the determination and threshold of what constitutes a most serious challenge to the discretion of the Inspectors 

General. As a result, OIG applied the following definition: Serious management challenges are mission-critical areas or programs 

that have a potential for a perennial weakness or vulnerability that, without substantial management attention, would seriously 

impact agency operations or strategic goals. 4 High impact is the effect of an issued report or activity undertaken that results in (1) confirming risk areas or management challenges 

that caused the agency to take corrective action, (2) achieving real dollar savings or reduced regulatory burden, (3) identifying 

significant wrongdoing by individuals that results in criminal or administrative action, (4) clearing an individual wrongly accused, or 

(5) 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. 5 The agency required more than 90 days to review 5 of 6 recommendations on the Agreement State Program audit before resolution. 

Three of the 5 recommendations were agreed to within 98 days. 6 The agency required more than 90 days to review 4 recommendations on the Quality Assurance Planning for New Reactors audit 

before resolution. Subsequently, all 4 recommendations have been closed or resolved. 7 The agency required more than 90 days to review 3 of 5 recommendations on the Audit of NRC’s Implementation of 10 CFR Part 21, 

“Reporting of Defects and Noncompliance.” Subsequently, all 5 recommendations have been resolved. 8 The agency required more than 90 days to resolve 2 of 5 recommendations on the Audit of the NRC’s Management of Licensee 

Commitments before resolution. Subsequently, all 5 recommendations have been resolved.

9 The measure will change from final agency action within 1 year on audit recommendations to 2 years on audit recommendations 

starting in FY 2010.

10 Starting in FY 2012, OIG will measure the percentage of active cases completed in less than 18 months on average.
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OIG Strategic Goal 2: Enhance the NRC’s Efforts To Increase Security in Response

to an Evolving Threat Environment

2009 2010 2011 2012 2013 2014

Measure 1. Percentage of OIG products/activities undertaken to identify critical risk areas or management challenges relating to the improvement of 

the NRC’s security programs.

Target 85% 90% 90% 90% TBD 90%

Actual 100% 100% 100% 100% TBD TBD

Measure 2. Percentage of OIG products/activities that have a high impact on improving the NRC’s security program.

Target 70% 75% 75% 75% TBD 75%

Actual 100% 100% 100% 100% TBD TBD

Measure 3. Number of audit recommendations agreed to by the agency.

Target 90% 92% 92% 92% TBD 92%

Actual 82%11 97% 100% 96% TBD TBD

Measure 4. Final agency action within 2 years of audit recommendations.

Target 65%12 70% 70% 70% TBD 70%

Actual 40%13 80% 100% 88% TBD TBD

Measure 5. Agency action in response to investigative reports.

Target 90% 90% 90% 90% TBD 90%

Actual 100% 100% 100% 100% TBD TBD

Measure 6. Complete active cases in less than 18 months on average.

Target 90%14 TBD 90%

Actual 100% TBD TBD

 

11 The agency took more than 90 days to review 2 recommendations on the National Source Tracking System audit. The agency 

agreed to both recommendations within 97 days. 12 The measure will change from final agency action within 1 year on audit recommendations to 2 years on audit recommendations 

starting in FY 2010.

13 The agency is taking more than 1 year to complete final action on recommendations related to information security. The agency 

agreed with all recommendations, and action has been taken to correct identified deficiencies.

14 Starting in FY 2012, OIG will measure the percentage of active cases completed in less than 18 months on average.
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OIG Strategic Goal 3: Improve the Economy, Efficiency, and Effectiveness with Which

the NRC Manages and Exercises Stewardship over Its Resources 

2009 2010 2011 2012 2013 2014

Measure 1. Percentage of OIG products/activities undertaken to identify critical risk areas or management challenges relating to the improvement of 

the NRC’s resources stewardship.

Target 65% 80% 80% 80% TBD 80%

Actual 100% 100% 100% 100% TBD TBD

Measure 2. Percentage of OIG products/activities that have a high impact on improving the NRC’s resources stewardship.

Target 70% 85% 85% 85% TBD 85%

Actual 92% 70%15 65%16 85% TBD TBD

Measure 3. Number of audit recommendations agreed to by the agency.

Target 90% 90% 92% 92% TBD 92%

Actual 96% 100% 100% 100% TBD TBD

Measure 4. Final agency action within 2 years of audit recommendations.

Target 65%17 70% 70% 70% TBD 70%

Actual 54%18 93% 100% 86% TBD TBD

Measure 5. Agency action in response to investigative reports.

Target 90% 90% 90% 90% TBD 90%

Actual 100% 100% 100% 100% TBD TBD

Measure 6. Acceptance by NRC’s Office of the General Counsel of OIG-referred Program Fraud and Civil Remedies Act cases.

Target 70%19

Actual No referrals

Measure 7. Complete active cases in less than 18 months on average.

Target 90%20 TBD 90%

Actual 96% TBD TBD

 

15 For FY 2010, a more rigorous standard was applied for the impact of investigations in the corporate management arena.

16 For FY 2011, a more rigorous standard was applied for the impact of investigations in the corporate management arena.

17 The measure will change from final agency action within 1 year on audit recommendations to 2 years on audit recommendations 

starting in FY 2010.

18 The agency is taking more than 1 year to complete final action on 12 of 17 Training and Development audit recommendations. The 

agency agreed with all recommendations, and final action has been completed on all 17 recommendations.

19 The performance measure was determined to be ineffective because another NRC program office was primarily responsible for 

ensuring completion of action with minimal activity from year to year and because the measure will be removed starting in FY 2010. 

20 Starting in FY 2012, OIG will measure the percentage of active cases completed in less than 18 months on average.
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VERIFICATION AND VALIDATION OF MEASURED VALUES AND PERFORMANCE

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)

Quality assurance reviews undertaken in FY 2010 and FY 2011 by an NRC OIG consultant determined 

that audits were conducted in conformance with the Government Accountability Office’s Government 

Auditing Standards. An independent audit peer review performed in FY 2009 by the U.S. Small 

Business Administration OIG found that the Audits Program’s system of quality control provided 

reasonable assurance that audits were conducted in accordance with applicable professional 

standards. 

In addition, an independent investigative peer review was conducted by the U.S. Department of State 

OIG in FY 2010 of the OIG Investigations Program. The program was found to be in compliance with 

the Council of the Inspectors General on Integrity and Efficiency and U.S. Department of Justice 

investigative standards.

INSPECTOR GENERAL REFORM ACT CERTIFICATION FOR FY 2014

In accordance with the Inspector General Reform Act (Public Law 110-409), the NRC OIG budget 

request submitted to the NRC Chairman for FY 2014 was for $11.105 million and 58 FTE and was 

subsequently approved. The Inspector General certifies that NRC’s OIG training request of $120,000 

satisfies the training requirements for the Inspector General’s office. In addition, funds are available for 

the NRC OIG share of the resources needed to support the Council of the Inspectors General on 

Integrity and Efficiency.
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FY 2014 OFFICE OF THE INSPECTOR GENERAL BUDGET RESOURCES LINKED TO 

STRATEGIC GOALS

The following table depicts the relationship of the Inspector General program and associated resource 

requirements to OIG strategic goals.

FY 2014 Office of the Inspector General Budget Resources

Linked to Strategic Goals

Program Links to

Strategic 

Goals 

OIG Strategic Goals

Strengthen the 

NRC’s

Public Health and

Safety Efforts 

Enhance the

NRC’s Security 

Efforts 

Increase the NRC’s

Resource Stewardship 

Efforts 

FY 2014 Programs ($11,105,000; 58 FTE)

Audits

($7,314,000; 37 FTE)

$3,188,000

18.5 FTE

$1,323,000

6.5 FTE

$2,803,000

12.0 FTE

Investigations

($3,791,000; 21 FTE)

$1,475,000

8.0 FTE

$631,000

3.5 FTE

$1,685,000

9.5 FTE

Numbers may not add due to rounding.

MANAGEMENT AND OPERATIONAL SUPPORT

OIG’s Management and Operational Support staff comprises senior managers, the general counsel, 

and an administrative support staff. OIG’s senior managers provide the continued vision, strategic 

direction, and guidance on the conduct and supervision of audits and investigations. Senior 

management will also ensure accountability on OIG’s established goals and strategies and 

achievement of intended results.

In furtherance of OIG’s mission to promote economy and efficiency and to prevent fraud, waste, and 

abuse in agency programs and operations, OIG’s general counsel, in coordination with cognizant OIG 

staff, will conduct analyses of existing and proposed legislation, regulations, directives, and policy 

issues. These objective analyses will result in timely written commentaries to the agency that 

prospectively identify and prevent potential problems.

The administrative support staff will assist OIG programs by providing independent personnel services; 

information technology and information management support; financial management, policy, and 

strategic planning support; training coordination; and the publication of OIG’s Semiannual Report to 

Congress in accordance with the requirements in the Inspector General Act.

To carry out the functions of this program in FY 2014, OIG estimates that its costs will be 

$1,422,000, which includes salaries and benefits for 8 FTE. The tables below provide a breakdown 

of the FY 2014 budget estimates for Management and Operational Support by program and a cost 

comparison by function.
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Allocation of Support Costs to OIG Programs

Management and Operational 

Support

Allocation by Program

($K)

FY 2014 FY 2014 FY 2014

FTE Salaries and 

Benefits Program Support

Audits 5 850 39

Investigations 3 510 23

Total 8 $1,360 $62

Numbers may not add due to rounding.

Comparative Costs of Management and Operational Support

Summary FY 2012

Enacted

FY 2014

Request21

Budget Authority by Function ($K)

Salaries and Benefits 1,322 1,360

Program Support 81 62

Total Budget Authority $1,403 $1,422

FTE 8 8

Numbers may not add due to rounding.

 

21 The OIG Management and Operational Support staff comprises senior managers, a general counsel, and administrative support personnel. To 

carry out the function of this program for FY 2014, OIG estimates its costs to be $1.422 million, which includes salaries and benefits for eight 

FTE. The associated FTE and salaries and benefits estimates and program support estimates were allocated in proportion to each program’s 

FTE percentage. 
APPENDIX I: BUDGET AUTHORITY BY FUNCTION 

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APPENDIX I: BUDGET AUTHORITY BY FUNCTION 

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APPENDIX I: BUDGET AUTHORITY BY FUNCTION 

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Appendix I: 

Budget Authority by Function

The U.S. Nuclear Regulatory Commission’s (NRC’s) budget authority is aggregated into the major 

categories of salaries and benefits, contract support, and travel. Salaries and benefits are estimated 

based upon full-time equivalent (FTE), pay rates, pay raise assumptions, and effective pay period for 

pay raise. Benefits costs include the Government’s 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 nuclear reactor 

inspection trips.

Budget Authority by Function

(Dollars in Millions)

FY 2014

NRC Appropriations FY 2012 Enacted Request Changes from Enacted

Salaries and Expenses (S&E)

Salaries and Benefits 590.3 615.2 24.9

Contract Support 405.1 404.8 (0.3) 

Travel 31.9 24.0 (7.8) 

Total (S&E) 1,027.2 1,043.9 16.7 

Office of the Inspector General (OIG)

Salaries and Benefits 9.5 9.9 0.4 

Contract Support 1.2 1.0 (0.2) 

Travel 0.2 0.3 0.0 

Total (OIG) 10.9 11.1 0.2 

Total NRC Appropriation

Salaries and Benefits 599.7 625.0 25.3

Contract Support 406.3 405.7 (0.5) 

Travel 32.1 24.3 (7.8) 

Total (NRC) 1,038.1 1,055.0 16.9 

Numbers may not add due to rounding.
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APPENDIX II: CORPORATE SUPPORT 

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CORPORATE SUPPORT APPENDIX

The fiscal year (FY) 2014 Congressional Budget Justification identifies the infrastructure and support 

costs for the U.S. Nuclear Regulatory Commission (NRC) and distributes them to programs as a portion 

of the total program cost. The allocation methodology is consistent with the methodology used for 

preparing the agency’s financial statements. The business line tables present the associated 

infrastructure and support funding included in the programmatic funding to provide the full cost of each 

business line. 

Corporate Support by Business Line

(Dollars in Millions)

FY 2012

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Major Programs $M FTE $M FTE $M FTE

Operating Reactors 185.4 408.3 198.5 424.9 13.1 16.5 

New Reactors 84.1 185.2 83.6 178.9 (0.5) (6.4)

Nuclear Reactor 

Safety $269.4 593.6 $282.0 603.7 $12.6 10.1 

Fuel Facilities 20.4 44.9 22.5 48.2 2.1 3.3 

Nuclear Materials 

Users 29.8 65.7 28.8 61.6 (1.1) (4.1)

Spent Fuel Storage 

and Transportation 14.6 32.2 16.2 34.7 1.6 2.6 

Decommissioning and 

Low-Level Waste 13.3 29.3 14.0 30.0 0.7 0.8 

High-Level Waste 

Repository 0.0 0.0 0.0 0.0 0.0 0.0 

Nuclear Materials 

and Waste Safety $78.1 172.0 $81.5 174.5 $3.4 2.5 

Corporate Support $347.5 765.6 $363.6 778.3 $16.0 12.6 

Numbers may not add due to rounding.
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Corporate Support Budget Authority and Full-Time Equivalents by Product Line

(Dollars in Millions)

FY 2012 

Enacted

FY 2014

Request

Delta

FY 2014–FY 2012

Product Line $M FTE $M FTE $M FTE

Acquisitions 0.0 0.0 19.2 74.3 19.2 74.3 

Administrative Services 105.7 106.4 122.0 110.3 16.3 3.9 

Financial Management 46.1 167.1 31.7 101.4 (14.5) (65.7)

Generic HLS 0.9 1.3 0.0 0.0 (0.9) (1.3)

Human Resource Management 29.4 82.8 25.9 76.2 (3.5) (6.6)

Information Management 24.8 82.8 26.7 84.7 1.8 1.9 

Information Technology 82.2 122.8 89.7 126.7 7.5 3.9 

Outreach 19.8 19.3 5.5 19.2 (14.2) (0.1)

Policy Support 36.7 183.1 36.9 177.4 0.2 (5.8)

Training 0.0 0.0 4.2 8.2 4.2 8.2 

Travel 1.9 0.0 1.7 0.0 (0.2) 0.0 

Total $347.5 765.6 $363.6 778.3 $16.0 12.6 

Numbers may not add due to rounding.

The agency’s infrastructure and support involve centrally managed activities necessary for the staff 

and agency programs to achieve goals more efficiently and effectively. These activities include 

acquisitions, administrative services, financial management, generic homeland security, human 

resource management, information management, information technology, outreach, and policy 

support. The workload, resource changes from the FY 2012 enacted budget, and significant 

accomplishments for the product lines listed above are described in the following pages. The outputs 

of the product lines under Corporate Support contribute to the scoring of the NRC Safety and 

Security Performance Measures and their contribution to the achievement of its Strategic 

Outcomes. The above table provides a cost breakdown of infrastructure and support by program. 
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ACQUISITIONS 

The Acquisitions budget provides resources for the implementation of an enterprisewide Acquisition 

System and support for procurement and strategic sourcing activities. This budget includes support for 

all aspects of contract operations and oversight necessary to ensure that the U.S. Nuclear Regulatory 

Commission (NRC) obtains goods and services in an effective manner consistent with mission needs, 

sound business practices, agency guidance, and Federal regulations. In addition, this budget includes 

support for implementation of an agencywide streamlined process to (1) achieve alignment among 

budget formulation, program planning, and execution, (2) eliminate duplication of effort, (3) increase 

use of enterprise contracts, and (4) improve the agency’s ability to effectively respond to emergent 

requirements. In fiscal year (FY) 2014, resources support the agency’s acquisition systems, including 

the legacy Automated Acquisition Management Solution, and the implementation and interfacing of the 

new Strategic Acquisition System (STAQS) with the core Financial Accounting and Integrated 

Management Information System (FAIMIS).

CHANGES FROM FY 2012 ENACTED BUDGET 

In FY 2014, resources increase to reflect realignment to the new Acquisitions Product Line that will 

support the implementation of a 21st century strategic acquisition program, including a process to 

improve the agency’s procurement activities and related reporting, and an enterprisewide acquisition 

system that will be integrated with FAIMIS.

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

The NRC continued to make progress in implementing a 21st century strategic acquisition program, an 

integrated financial and acquisition planning, execution, and reporting methodology based on business 

process improvements through implementation of leading practices and system modernization. The 

approach is based on enterprise spending management and strategic sourcing principles that have a 

proven track record of success in industry and Federal agencies. In FY 2012, the agency completed its 

second spending analysis and established four additional Portfolio Councils. In addition, eight 

enterprisewide contracts were awarded—three under the Portfolio Council for Education and Training 

and five under the Portfolio Council for Meetings and Conferences. The agency also conducted a 

thorough planning assessment to determine the most cost-effective approach to implement an 

acquisition system that will be integrated with FAIMIS. In June 2012, the agency selected a shared 

service provider to implement STAQS.

The NRC performed contract management necessary to ensure that it obtains goods and services in an 

efficient and effective manner consistent with mission needs and sound business practices. Contract 

management tasks included contract negotiation, award, administration, and closeout; grants award 

and administration; and administration of the NRC Purchase Card Program and the Agency Acquisition 

Certification and Training Program. The agency also provided oversight for commercial contracts; 

grants; and interagency agreements, including those with U.S. Department of Energy laboratories. 

During FY 2012, the agency maintained an Acquisition Professional Development Program to support 

the training and development of entry-level contracting specialists and initiated implementation of 

defined strategic sourcing processes with expanded use of enterprisewide contracts. 
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ADMINISTRATIVE SERVICES 

The Administrative Services budget provides resources for rent and utilities for headquarters (HQ), 

regional, and Technical Training Center space; corporate rulemaking; Information Technology (IT) 

systems that support security, space planning, and administrative services for the U.S. Nuclear 

Regulatory Commission (NRC); facilities management, including operation and maintenance services, 

systems and office furniture, property management, labor services, custodial services, operation and 

maintenance services, and building alterations; support services, including fleet management, transit 

subsidies, supplies, and multimedia services; physical and personnel security services, including 

security equipment and investigations, drug testing, and guard services; and support and guard 

services in the regions.

CHANGES FROM FY 2012 ENACTED BUDGET 

In FY 2014, resources increase for rent and utilities and for physical and personnel security to 

comply with mandatory security requirements throughout the agency. The increase is partially 

offset by decreases associated with the work on the Three White Flint North building and an 

agency-wide effort to reduce overhead resources through increased efficiency and effectiveness. 

Additional resource increases are associated with required One White Flint North (OWFN) facility 

rehabilitation, including the initial phase of the modernization to the heating, ventilation, and air 

conditioning systems.

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

In support of Executive Order 13514, “Federal Leadership in Environmental, Energy, and Economic 

Performance,” the NRC installed additional upgrades to the energy management system in Two White 

Flint North (TWFN) and variable frequency drives on the chillers in OWFN, replaced two cooling towers 

in TWFN, and installed new LED lighting in the elevator lobbies of TWFN. All of these projects resulted 

in a reduction of electrical consumption. The cooling tower replacement also resulted in a reduction in 

water consumption. In addition, for the third consecutive year, the NRC was recognized for outstanding 

achievement in recycling by Montgomery County, MD. 

On June 29, 2012, the developer, LCOR, received notice of substantial completion and certificate of 

Use and Occupancy from Montgomery County for the 3WFN base building. This was a significant 

milestone. LCOR delivered completed floors in five phases over a 6-month period.
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FINANCIAL MANAGEMENT

The fiscal year (FY) 2014 Financial Management budget supports the modernization and operation of 

the U.S. Nuclear Regulatory Commission’s (NRC’s) financial systems, budget development and 

execution, agency financial services, accounting and reporting activities, administration of a robust 

internal control program, and strategic and performance planning to achieve the effective and efficient 

use of the agency’s financial resources.

Resources for financial systems modernization will be used to provide steady-state operational support 

for the new core financial system, Financial Accounting and Integrated Management Information 

System (FAIMIS), and transition to the Governmentwide e-Travel contract.

CHANGES FROM FY 2012 ENACTED BUDGET 

In FY 2014, resources decrease due to the decommissioning of two financial systems and to reflect 

realignment to the new Acquisitions product line that will support the implementation of a 21st century 

strategic acquisition program, including a process to improve the agency’s procurement activities and 

related reporting, and an enterprisewide acquisition system that will be integrated with FAIMIS. 

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

The NRC took a number of actions to improve financial management in the agency during FY 2012. 

Significant accomplishments in this area include progress toward the modernization of financial 

systems, augmentation of the agency’s contracting and procurement practices, enhancements to the 

Budget Formulation System (BFS), implementation of new budget execution and funds utilization 

processes, receipt of an unqualified opinion on the FY 2012 Financial Statements Audit, and continued 

improvement in the agency’s business processes. 

Sustained emphasis on modern Web-enabled technology, automated processes, and extensive user 

support has improved the financial information available to the NRC. This has allowed for 

better-informed decisionmaking.

On June 15, 2012, the NRC published a final rule in the Federal Register amending the licensing, 

inspection, and annual fees charged to its applicants and licensees. The amendments are necessary 

to implement the Omnibus Budget Reconciliation Act of 1990 (OBRA-90), as amended, which requires 

the NRC to recover, through fees, approximately 90 percent of its budget authority in FY 2012, not 

including amounts appropriated for waste incidental to reprocessing and amounts appropriated for 

generic homeland security activities. Based on the Consolidated Appropriations Act of 2012, the NRC’s 

required fee recovery amount for the FY 2012 budget was $1,038.1 million. After accounting for billing 

adjustments, the total amount to be billed as fees to licensees was $901 million. The Federal Register

notice can be accessed at http://www.gpo.gov/ fdsys/pkg/FR-2012-06-15/pdf/2012-14589.pdf.

For the ninth consecutive year, an independent auditor has rendered an unqualified opinion on the 

NRC financial statements. The auditor also rendered an unqualified opinion on the agency’s internal 

controls, concluding that the NRC had no reportable conditions or significant deficiencies. 
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The NRC continued to make substantial progress in modernizing its financial systems throughout 

FY 2012. The NRC enhanced system performance, data integrity, business processes, user expertise, 

and reporting in FAIMIS. On July 31, 2012, the NRC completed a FAIMIS re-hosting initiative and 

successfully transferred hosting and customer Helpdesk support services for FAIMIS from the 

U.S. Department of the Interior’s National Business Center to CGI Federal’s Phoenix Data Center. As 

a result of the FAIMIS re-hosting initiative, the NRC is hosted within a Federal cloud environment and 

has direct access to the technical and business expertise of the Momentum System owners 

(Momentum is the commercial-off-the-shelf (COTS) system upon which FAIMIS is based). In FY 2012, 

the NRC upgraded its COTS HRMS for time and labor. The new HRMS system not only strengthened 

data security, implemented electronic workflows, and reduced yearly costs, but is more user-friendly 

and expanded analytical capabilities for better management of the agency’s payroll. The NRC also 

added a salary and benefits projection application to its BFS. This BFS enhancement facilitates the 

analysis of employee compensation and benefits scenarios for future years and improves budget 

forecasting. Sustained emphasis on modern Web-enabled technology, automated processes, and 

extensive user support has improved the financial information available to the NRC, which has allowed 

for better-informed decisionmaking.

Because of continued enhancements made to the agency’s financial management processes, the NRC 

has once again achieved operational excellence in FY 2012 and has completed all other FY 2012

external reporting submissions to the U.S. Department of the Treasury and Office of Management and 

Budget on time. In addition, for the 11th consecutive time, the NRC received the Certificate of 

Excellence in Accountability Reporting award from the Association of Government Accountants. 

NRC staff successfully completed nine business process improvement (BPI) projects and started ten 

others, including projects that will reduce agency overhead, as the result of increased efficiency and 

effectiveness. In addition, reliance on contractors for process improvement has continued to diminish as 

the expertise of the agency’s BPI team has continued to increase. The NRC’s BPI team regularly 

interacts with the Federal Improvement team to share BPI best practices with the 300 members who 

represent 33 different Federal improvement organizations. Further, the NRC performed a comprehensive 

review of agency overhead functions (e.g., administrative services, human capital, financial management 

(including contract management), and information technology) to identify effective, efficient and 

cost-conscious business solutions and to eliminate duplicative processes and functions. 

GENERIC HOMELAND SECURITY 

There are no resources in the Generic Homeland Security budget in fiscal year (FY) 2014 because the 

requirements under Homeland Security Presidential Directive 12 will be fully implemented by FY 2013. 

Any resources supporting maintenance of security equipment and physical access control systems are 

budgeted with other recurring costs in the Administrative Services Product Line.
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HUMAN RESOURCE MANAGEMENT 

In fiscal year (FY) 2014 resources provide for recruitment and staffing activities; work-life services, 

including employee counseling; employee and labor relations; and agencywide policy development and 

strategic workforce planning. In addition, resources provide for Permanent Change of Station (PCS) 

Program activities, including resident inspector moves; oversight of the Open Collaborative Work 

Environment (differing professional opinions, nonconcurrence process, and open door policy); and 

Internal Safety Culture Program activities. 

CHANGES FROM FY 2012 ENACTED BUDGET 

In FY 2014, resources decrease as a result of anticipated reduction of program requirements for PCS 

activities. In addition, resources for agency Training and Development were realigned to the newly 

added Training Product Line for FY 2014. 

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

For several years, the U.S. Nuclear Regulatory Commission (NRC) experienced growth resulting from 

an increased interest in nuclear power. As the NRC moved toward the future, staff levels stabilized, 

and any growth over the next several years is unlikely. In response, the NRC adjusted its human 

capital strategies to ensure an approach that focuses on the mission of protecting public health and 

safety while remaining mindful of staff needs.

The NRC’s human capital approach supported increasing mandates within a no-growth budget 

environment. The NRC’s strategy was to transform workforce centers by reducing inefficiencies and 

overhead and by centralizing and streamlining processes. The NRC viewed work in a context of 

budgeted priorities and strategically focused on not only replacing employees who depart but also 

fine-tuning available skills sets to meet future mission needs while it still emphasized Governmentwide 

programs, such as hiring of the disabled, employing veterans, enhancing diversity management, and 

supporting the agency’s Comprehensive Diversity Management Plan. Steps included individual offices 

developing detailed plans for efficiencies and consolidation; developing a detailed approach and 

framework for the staff transition aspects of the plan, including transitioning affected employees to 

newly defined positions; and developing a communication plan that included employee meetings, 

frequently asked questions, and career counseling. Additionally, the NRC conducted a limited buyout 

early in FY 2012. 

Over the past 18 months, the NRC used a variety of methods and measures to regulate hiring. These 

methods refined the hiring process and helped control the use of full-time equivalents (FTE). During 

the first three quarters of FY 2012, these hiring controls resulted in the attainment of FTE targets that 

allowed the NRC to expand entry-level hiring for engineers and scientists. The NRC worked to 

institutionalize a workforce planning process using a mission-critical occupation framework that ensured 

that the agency has the appropriate number of staff with the right skills, competencies, and experience 

to ensure successful job performance and realization of organizational objectives. The NRC continued 

to model a recruitment program that attracted a diverse group of candidates and continued to recruit 

externally, as appropriate. The NRC developed and implemented a recruitment program that would 

attract a diverse group of candidates. The agency continued to recruit externally for targeted critical 
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skills, while also focusing on ensuring that the current workforce was engaged and motivated to 

maximize efficiency of the existing staff.

The NRC also adapted its training and development programs to meet the changing needs of the 

agency staff and changes in technology to ensure that critical skills and competencies were available 

for the future. The NRC continued to focus on a competency-based approach to training to ensure a 

line-of-sight alignment between employees’ learning experiences and the agency’s mission. Training 

and development programs were designed to shorten the time to competency. As the staff matured, 

the NRC’s learning and development programs continued to evolve to support the needs of the next 

generation of regulatory experts. For instance, the NRC continued the successful development of new 

reactor simulators and technical training courses to coincide with the building of a new generation of 

nuclear reactors. The agency also completed and expanded the pilot use of paperless technical 

subject matter classroom training using tablet-based training and has implemented the use of selected 

training courses through new enterprisewide contracts. By using these approaches, the NRC ensured 

effectiveness of training with the added benefits of a reduction in costs and schedule convenience for 

the learner.

The NRC recognizes the need to capture and maintain the knowledge and skills of senior staff and 

management as they become eligible for retirement. The agency maintains a knowledge management 

program to support effective approaches to knowledge collection, transfer, and use. This program 

includes strategic hiring and training to fill knowledge gaps, establishing an IT infrastructure to facilitate 

knowledge transfer, and fostering a culture of knowledge transfer and retention. 

The NRC continued to be one of the best places to work in the Federal Government according to 

Federal Human Capital Survey results. The agency excelled in areas, such as matching employees’ 

skills to the agency’s mission, strategic management, effective leadership, performance-based 

advancements, training and development, support for diversity, and work-life balance. The NRC 

realized that the success of the agency depends on the talent and commitment of its employees and 

strived to create a workplace rich in work-life balance where employees were engaged in meaningful 

and challenging work. 
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INFORMATION MANAGEMENT 

The Information Management (IM) program develops and implements the framework and technologies 

for managing and protecting information to ensure it is available to support a stable and predictable 

regulatory environment. In fiscal year (FY) 2014, IM resources will provide document and records 

management services, such as the operation of the Public Document Room; electronic document 

intake, profiling, indexing, and retrieval; modernization of internal and external Web sites; and 

compliance with the Freedom of Information Act (FOIA) and the Privacy Act. 

Information security activities support secure communications and information security, policy and 

procedures, maintenance/services and supplies, classification management, and management of 

Sensitive Unclassified Nonsafeguards Information. FY 2014 resources will fund implementation of a 

new Governmentwide policy on Controlled Unclassified Information and Universal Content 

Management. 

Central management of the U.S. Nuclear Regulatory Commission’s (NRC’s) subscriptions to technical 

journals and databases, online codes and standards, and electronic newsletters journals supports the 

scientific and research work of the agency staff and the regulatory mission of the agency. Electronic 

newsletters are an integral component of communication within the energy industry, and these 

subscriptions ensure that the Commission, management, and staff maintain currency with industry 

developments, political decisions, and stakeholder concerns. Subscriptions to industry codes and 

standards are necessary to support the staff’s determinations of compliance with Commission 

regulations. The codes and standards are cited in the regulations, and staff members require access to 

cited codes and standards to conduct the necessary inspections and reviews to determine compliance 

with NRC requirements. 

CHANGES FROM FY 2012 ENACTED BUDGET 

In FY 2014, resources increase to support Universal Content Management, which will allow the NRC 

Legacy Systems to share data in a more streamlined manor. The increase is partially offset by 

decreases to the Agencywide Documents Access and Management System (ADAMS) and Document 

Records Management. 

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

Effective IM ensures that needed information is available to the staff to help support planned regulatory 

programs and policies. It also allowed the NRC to meet its openness objective related to informing and 

involving stakeholders in the regulatory process by providing timely access to accurate agency 

information. FY 2012 accomplishments in this area included (1) improvement of the efficiency of the 

agency’s FOIA program through the use of e-mail de-duplication software, (2) modernization of the 

NRC’s public document publishing technologies to ensure the timely and accurate dissemination of 

information to the agency’s public Web site, (3) deployment of Internet Protocol Version 6 to the 

agency’s public Web site to ensure worldwide compatibility, (4) consolidation of the agency’s Web 

publishing services to ensure effective and timely delivery of information to the staff and stakeholders, 

(5) completion of the migration of the agency’s legacy forms management system to a new Portable 

Document Format (PDF)-based system, (6) continuation of personal interactions with stakeholders 

through the Public Document Room where stakeholders can work directly with a person to retrieve 
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information, and (7) dissemination of key information through the issuance of timely public meeting 

notices, FOIA responses, and documents made publicly available in ADAMS. 

INFORMATION TECHNOLOGY 

In fiscal year (FY) 2014, resources will fund the U.S. Nuclear Regulatory Commission’s (NRC’s) information 

technology (IT) infrastructure, enduser support services for IT applications, database and application 

support for agency systems, and configuration management and IT project management support. Funded 

programs include Capital Planning and Investment Control (CPIC) processes, IT strategic management and 

enterprise architecture planning, and agencywide IT procurement management. 

The budget will fund the following ongoing activities: 

• IT infrastructure enduser support services, telecommunications services, network and 

production operations, and central management of all desktop, laptop, and network resources 

and services at headquarters (HQ), regional offices, and resident inspector sites. Resources 

support the Network Operations Center, Customer Support Center, the Consolidated Testing 

Facility, and seat management and desktop support for more than 5,800 desktop workstations 

and the supporting infrastructure. Also included are the managed public key infrastructure and 

production operations support, including systems administration and data center operations. 

• Identification of the best technologies to fill gaps associated with strategic goals, such as 

“Working from Anywhere” and “Working with Anyone,” and the identification, testing, and piloting 

of new technology needed to support specific agency business needs. Recent examples 

include technologies to support the NRC’s Open Government flagship initiative, such as 

enhancing stakeholder engagement using innovative and cost-effective collaboration 

technologies, defining common strategies to support mobility and universal access, 

consolidating systems into enterprise solutions, and increasing the number of devices that can 

access agency systems through a Bring Your Own Device program. 

• The NRC’s Legacy System modernization and transformation program. Resources will be used 

to support an effective CPIC program for enterprisewide configuration management and 

maintenance and operational support of approximately 120 application systems. In addition, 

resources will support project management, business analysis, and applications development 

for office-specific and enterprisewide applications. 

• Compliance with the Federal Information Security Management Act, IT security policy, standards, 

training, cyber situational awareness and response, and security authorization of all NRC IT 

systems. Resources support the use of distinctive IT security tools and expertise to provide a 

robust cyber program for the protection of NRC cyber assets. Efforts support infrastructure 

operations, including system authorization activities, penetration testing and system scanning, 

development of policies and standards, and development and delivery of computer security 

training and awareness. Also employed are automated forensic software and hardware products 

used in responding to security incidents. The cyber-security experts also review new technologies 

and work with system owners to ensure those technologies are implemented in a way that is safe 

and meets Federally mandated and NRC-defined security requirements.

• Cyber Situational Awareness Program for penetration testing, vulnerability and threat 

assessments, real-time monitoring, visibility and reporting, and computer security incident 

response, along with providing insight into the security impact that new technologies will have 

on the NRC infrastructure and enabling continuous cyber-security reporting. 
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• Reduction of the NRC’s data center footprint. Efforts include leveraging a combination of 

strategies to lower energy consumption and operation costs through increased use of cloud 

computing alternatives, managing the NRC’s application system modernization initiatives,

strengthening server and desktop virtualization, and setting other green IT technologies into 

operation across the enterprise. As a part of the NRC HQ building, the agency will build an 

energy-efficient modern data center that uses green technologies in space, design, power, 

heating, ventilation, and cooling to support energy-efficient 24/7 data center operations. 

• Outsourcing data center services, which is a major step to achieving cloud computing initiatives 

at the NRC.

• Enterprisewide e-mail encryption will ensure compliance with the Executive Order mandating all 

Government agencies encrypt all out-going email. 

CHANGES FROM FY 2012 ENACTED BUDGET 

In FY 2014, resources increase because of infrastructure costs, enhancement of the IT security 

program, modernization of the NRC Legacy Systems, and support of the centralization of the IT 

infrastructure and application support activities. These increases are offset by reductions and 

reinvestments that reflect reduced maintenance needs of older Legacy systems, delaying system 

modernization where possible, reducing support levels for some systems, and migration to shared 

service platforms (therefore reducing data center requirements).

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

Effective IT infrastructure ensured that the NRC had a reliable and responsive foundation of technology 

to support business needs and agency operations to advance the agency’s mission. Several objectives 

were achieved in this area. The agency migrated its Internet service to a Managed Trusted Internet 

Protocol Service through the General Services Administration Networx contract. Other key successes 

included IT infrastructure move support in one of the agency’s regional offices and significant 

preparation for a planned move to the agency’s new HQ office building. The agency enhanced 

services available to its mobile workforce by making WiFi access available to mobile desktop users and 

successfully piloted a Bring Your Own Device solution for e-mail and calendaring functions. 

The NRC developed a plan to map strategic programs and business objectives to the agency security 

architecture to provide a prioritized blueprint for secure IT capability. The NRC implemented an

Automated Plan of Action and Milestone process that uses an automated tool to improve quality 

assurance and timely reporting by system owners. 

Another primary focus area was service, a key component of operational excellence across the agency. 

In a continuing effort to evaluate the effectiveness of its information technology/information 

management (IT/IM) services, the NRC solicited feedback from employees on its IT/IM program by 

adding questions on this topic to the employee viewpoint survey conducted in FY 2011. The agency is 

also conducting an independent validation and verification of its IT/IM services to assess the costs of 

existing services and to establish clear service expectations. The NRC also conducted a facilitated 

process to update its IT/IM Strategic Plan in coordination with ongoing efforts to update the NRC 

Strategic Plan. The IT/IM Roadmap also contributed to planning and budget formulation by providing a 

view of current IT/IM capabilities and agency transition plans through 2013. The procurement to 
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establish a new enterprisewide contract for maintenance, operation, and modernization of agency IT 

systems was initiated in FY 2011.

Maintenance, Operation, and Modernization (MOM) Functional Area 2 (FA2) Maintenance and 

Operations of Legacy Systems contract task orders were awarded in FY 2012 to procure continuous 

maintenance and operational IT support services for current NRC automated computer systems. The 

MOM FA2 contract included 24 task orders and provided maintenance and operations support to 11 

NRC program offices. 

OUTREACH 

In fiscal year (FY) 2014, resources provide for outreach activities, which include maintaining the civil 

rights complaints process; promoting affirmative employment, diversity, and inclusion; ensuring 

compliance with small business laws, conducting business development assistance, and providing the 

maximum practicable prime and subcontract opportunities for small businesses; and continuing efforts 

to implement the U.S. Nuclear Regulatory Commission’s (NRC’s) Outreach and Compliance 

Coordination Program, in accordance with applicable Federal civil rights statutes and NRC regulations. 

Resources also provide for grants to Minority Serving Institutions (MSI) to assist them in producing a 

skilled diverse Science, Technology, Engineering, and Mathematics (STEM) workforce. 

Resources also support hosting of the annual Regulatory Information Conference (RIC) with the 

nuclear industry to discuss safety and regulatory issues of mutual interest. The objective of the RIC is 

to provide a communication forum for senior NRC and industry management on current and future 

safety initiatives and regulatory issues. 

CHANGES FROM FY 2012 ENACTED BUDGET 

In FY 2014, resources decrease because of the elimination of the Integrated University Program and 

education Grants Program.

SIGNIFICANT ACCOMPLISHMENTS IN FY 2012

The NRC’s Small Business Program conducted more than 100 acquisition compliance and 

subcontracting plan compliance reviews totaling over $300 million in products and services, which led 

to the agency’s highest level of small business contract performance to date. As a result, the NRC is 

currently one of only two Federal agencies exceeding all of its small business prime contract goals. 

The NRC held a Small Business Seminar and Matchmaking Event in FY 2012, which represents the 

first NRC small business event that included collaboration with the Montgomery County Chamber of 

Commerce, Webstreamed content from agency headquarters, and senior-level participation from the 

Executive Director of Operations and the Commission. 

The NRC received accolades from private and public sector entities, including the White House 

Initiative on Historically Black Colleges and Universities (HBCU), for “Best Practices” related to its 

compliance and MSI programs. The NRC conducted significant preaward compliance reviews and 

postaward monitoring; provided outreach, technical assistance, coordination, and training to ensure civil 
APPENDIX II: CORPORATE SUPPORT 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 163 U.S. NUCLEAR REGULATORY COMMISSION

rights compliance; and monitored grantees (through desk and onsite audits) to ensure funding 

objectives and compliance requirements were met. 

NRC cosponsored numerous MSI activities, including experiential learning opportunities and STEM 

summer camps and symposiums for K-12 students. The agency participated in major conferences 

and symposiums that were attended by over 1,000 participants related to (1) guidance for educators 

administering K-12 summer camps and symposiums, (2) careers in the nuclear industry, 

(3) emergency management preparedness, (4) environmental justice, (5) the transition of veterans 

into STEM and civilian occupations, (6) contracts and grants skill building, (7) MSI Capacity Building 

and Technical Assistance Conference, and (8) the White House Initiatives on HBCU. These efforts 

resulted in the designation of the NRC as a “Top Supporter” of HBCU engineering programs for the 

fifth consecutive year.

The agency issued its annual No FEAR Act training, which achieved an employee completion rate of 

99 percent. The agency processed 30 informal and 15 formal Equal Employment Opportunity 

complaints, completed investigations, issued final agency decisions, and conducted mediations. The 

agency held numerous informational “lunch and learn” sessions and a Diversity Day Program. 

In FY 2012, the agency awarded 75 education-related grants, which included 25 grants for curriculum 

development, 15 grants for faculty development, 9 grants for scholarships, 13 grants for fellowships, 

and 13 grants to Trade Schools and Community Colleges for scholarships. These grants assist in 

expanding the workforce in nuclear safety and nuclear-related disciplines and in developing the 

next-generation nuclear workforce. 

POLICY SUPPORT 

Resources in fiscal year (FY) 2014 will provide for additional policy and adjudicatory support to the 

Commission. Specifically, the budget provides resources for the following: 

• U.S. Nuclear Regulatory Commission (NRC) policy formulation and guidance

• legal advice and adjudicatory review to the Commission 

• independent evaluations of NRC programs and implementation of the Commission’s policy 

directives 

• interaction with the Executive Branch on matters of international nuclear safety and security 

issues and developments

• work with the International Atomic Energy Agency, the Nuclear Energy Agency, and other 

international partners 

• advice and assistance to the Commission on congressional and protocol issues and on public 

affairs activities leading to openness and increased public confidence 

• management and oversight of agency programs 

CHANGES FROM FY 2012 ENACTED BUDGET 

In FY 2014, resources decrease is due to a change in strategy for capturing the FTE resources for the 

Commission Adjudicatory Technical Support Program, and is a result of an agencywide effort to reduce 

overhead resources through increased efficiency and effectiveness.
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CORPORATE SUPPORT OUTPUT MEASURES

ACQUISITION

Percent of Eligible Service Contracting Dollars (Contracts over $25,000) That Use Performance-Based Contracting Techniques during the Fiscal Year

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Not less than 65% Not less than 65% Not less than 65% Not less than 65% TBD Not less than 65%

Actual 89% 79% 69% 60.50%

OMB-Directed Acquisition Reform Initiative Measure—Percent of Required Synopses for Acquisitions Posted on the 

Governmentwide Point-of-Entry Web Site (www.FedBizOpps.gov) during the Fiscal Year*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 100% of all required 

synopses.

100% of all required 

synopses.

100% of all required 

synopses.

100% of all required 

synopses.

TBD 100% of all required 

synopses.

Actual 100% 100% 100% 100%

*Percent of required synopses for acquisitions posted on the Governmentwide point-of-entry Web site (www.FedBizOpps.gov) during the fiscal 

year. Synopses for acquisitions are those valued at over $25,000 for which widespread notice is required, including all associated solicitations except for 

acquisitions that are covered by an exemption in the Federal Acquisition Regulations.

FINANCIAL MANAGEMENT

Meets Statutory Fee Collection Requirement

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target Achieve 

approximately 100% 

actual collections 

when compared 

with projected 

collections. 

Maintain past due 

accounts receivable 

at 1% or less of 

annual billings for 

the fiscal year.

Achieve 

approximately 100% 

actual collections 

when compared 

with projected 

collections. 

Maintain past due 

accounts receivable 

at 1% or less of 

annual billings for 

the fiscal year.

Achieve 

approximately 100% 

actual collections 

when compared 

with projected 

collections. 

Maintain past due 

accounts receivable 

at 1% or less of 

annual billings for 

the fiscal year.

Achieve 

approximately 

100% actual 

collections when 

compared with 

projected 

collections. 

Maintain past due 

accounts receivable 

at 1% or less of 

annual billings for 

the fiscal year.

TBD Achieve approximately 

100% collections when 

compared with 

projected 

collections. Maintain 

past due accounts 

receivable at 1% or 

less of annual billings 

for the fiscal year.

Actual 98% collected. 

Maintained past due 

amounts receivable 

at less than 1% of 

annual billings.

Target met. 99.5% collected. 

Past due amounts 

receivable were 

1.34% of annual 

billings.

99.3% collected. 

Past due amounts 

receivable were 

1.0% of annual 

billings.

Percentage of Non-Salary Payments Made Electronically and Accurately within Established Schedule

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 98% 98% 98% 98% TBD 98%

Actual 96% 98% 98% 98%
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HUMAN RESOURCE MANAGEMENT

Percentage of Professional Hires Retained for a Minimum of 3 Years after Initial Employment

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target 85% 85% 85% 85% TBD 85%

Actual 87% 89% 91% 86.50%

INFORMATION MANAGEMENT

Information Dissemination Timeliness—Meets Agency Targets for Key Information Dissemination Channels, including Public Meeting Notices and 

Freedom of Information Act*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2009

Timeliness targets 

met for FOIA 

responses, public 

meeting notices, and 

NRC documents 

made publicly 

available (1)

Meet 3 out of 4 

targets.

Meet 3 out of 4 

targets.

TBD Meet 3 out of 4 

targets.

Actual 86% 4 out of 4 4 out of 4 3 out of 4

*Targets include the following: (1) Percent of the time NRC responds to FOIA requests within 20 working days (75%), (2) percentage of category 1,2, and 3 

meetings on regulatory issues for which the NRC posted a meeting notice on the public meeting notice Web site at least 10 days in advance of the meeting 

(90%), (3) percent of nonsensitive, unclassified regulatory documents generated by the NRC and sent to the agency’s Document Processing Center that are 

released to the public by the sixth working day after the date of the document (90%), (4) percent of nonsensitive, unclassified regulatory documents 

received by the NRC that are released to the public by the sixth working day after the document is added to the Agencywide Documents Access and 

Management System main library (90%).

Public Score for Information Access—The NRC’s Score on the Annual American Customer Satisfaction Index for Federal Web Sites

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2013

TBD; target to be 

baselined in 

FY 2012.

73

Actual
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INFORMATION TECHNOLOGY

Percent of Time That Key Information Technology (IT) Infrastructure Services Are Available

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2009

99.50% 99.50%* 99.50% TBD Measure replaced 

with use of NRC 

Badge for sign-on 

measure.

Actual 100% 99.90% 99.90% 99.7%

This measure is calculated based on statistics gathered each month from a network-monitoring tool that constantly monitors the availability status of key 

infrastructure components. It shows the amount of time, in minutes, that all (any) infrastructure components were unavailable. That information is then

used to calculate the overall availability percentage based on the number of working days in each month (the total hours of operation) and the number of 

people supported by each component.

*Target previously reported as 100% in error.

IT Security Risk Management—Percent of Operational Applications and General Support Systems That Have Met the NRC’s Annual Risk Management 

Activities Requirements in Accordance with Guidance from the Chief Information Officer (CIO)*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2010.

95% 95% TBD Measure to be 

replaced with 

Cyber Security 

Program 

Effectiveness 

measure.

Actual 96% 97% 96%

*This measure replaced the output measure "Systems Certification and Accreditation—Percent of Major Applications and General Support That Have Been 

Certified and Accredited" from the FY 2011 budget. The measure includes certification and accreditation along with other risk-management activities.

IT Investment Management—Average Score on a Scale of 1 to 10 for All NRC IT Investments on the OMB IT Dashboard

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2010.

>7.5 80% of agency 

investments are 

green at the end of 

the fiscal year.*

TBD > 7.5

Actual 6.38 7.53 Green

*The OMB Exhibit 300 Score measure has been replaced by the IT Dashboard Score. The measure target was changed in FY 2012 to reflect OMB’s revised 

approach to IT Dashboard scoring.

Use of NRC Badge for Sign-On—Percent/Number of Federal Information Security Management Act (FISMA)-Reportable, NRC-Hosted Applications That 

Use the NRC Badge (Personal Identity Verification Card) for Sign-On*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2013.

TBD; measure to be 

baselined in FY 2012.

Preliminary target to 

be established.

Actual

*This measure replaces the output measure "Percent of the Time That Key IT Infrastructure Services Are Available" from the FY 2012 budget.
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Cyber Security Program Effectiveness—Rating of the NRC’s Cyber Security Program Effectiveness

Based on the Annual Inspector General FISMA Audit*

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

Target New measure in 

FY 2013.

Satisfactory in all 

areas.

Actual

*This measure replaces the output measure “IT Security Risk Management—Percent of Operational Applications and General Support Systems That Have 

Met the NRC’s Annual Risk Management Activities Requirements in accordance with Guidance from the CIO" from the FY 2011 budget.
APPENDIX II: CORPORATE SUPPORT 

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APPENDIX III: REIMBURSABLE WORK 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 169 U.S. NUCLEAR REGULATORY COMMISSION
APPENDIX III: REIMBURSABLE WORK 

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APPENDIX III: REIMBURSABLE WORK 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 171 U.S. NUCLEAR REGULATORY COMMISSION

Summary of Reimbursable Work

(New Budget Authority in Thousands of Dollars)

FY 2012 FY 2014

(Actual) (Projection)

TECHNICAL ASSISTANCE TO OTHER FEDERAL AGENCIES

Employee Detail to Domestic Nuclear Detection Office (DHS) 197 174

Employee Detail to National Counterterrorism Center (NCTC) 0 162

Fuel Cycle Research and Development (DOE) 500 500

Gerald R. Ford Class Aircraft Carrier Safety Review (DOE) 1,000 0

Joint Funding of ICRP Activities (EPA) 25 25

Navy Reviews (U.S. Navy) 12 12

Next Generation Nuclear Plant (NGNP) Cooperative Activities (DOE) 0 0

Review/Approval of Selected Foreign Certificates for Packages (Casks) (DOE) 0 100

Review of Alternate Transportation Security Protocol (DOE) 0 0

Route Reviews (DOE) 0 0

Waste Actions for Hanford (DOE) 0 100

Waste Review for West Valley (DOE) 120 0

INTERNATIONAL ASSISTANCE

International Invitational Travel (IAEA & various foreign governments and international organizations) 156 200

Invitational Travel - American Institute in Taiwan 14 20

COOPERATIVE RESEARCH

Environmentally Assisted Fatigue Effects (EPRI) 200 0

Sandia Fuels Project - Phase 2 (EPRI) 250 0

Foreign Cooperative Research Agreements (Multiple) 2,246 2,100

SECURITY RELATED ACTIVITIES

Criminal History Program (Licensees) 2,578 2,500

Information Access Authorization Program (Licensees) 903 880

Material Access Authorization Program (Licensees) 1 0

TOTALS $8,202 $6,773

 

 

 

 

*Does not include classified reimbursable work agreements 
APPENDIX III: REIMBURSABLE WORK 

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APPENDIX IV: ESTIMATED FEE RECOVERY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 173 U.S. NUCLEAR REGULATORY COMMISSION

 
APPENDIX IV: ESTIMATED FEE RECOVERY 

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APPENDIX IV: ESTIMATED FEE RECOVERY 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 175 U.S. NUCLEAR REGULATORY COMMISSION

1 Published in the Federal Register (76 FR 36780; June 15, 2012) 

2 Includes both Salaries and Expenses and Inspector General Appropriations 

3 Non Fee Items 

4 Includes estimated unpaid invoices and payments of prior year invoices. 

5 Prior year Waste Incidental to Reprocessing (WIR) appropriations totaling $2.6 million were allocated in 

FY 2011 and FY 2012. No significant prior year WIR appropriations are expected to be available in FY 2014. 

Agency Fee Recovery

(Dollars in Millions)

FY 2012 FY 2014

Final Fee Rule 1 Projection

Total Appropriation 2 1,038.1 1,055.0 

 Less Non-Fee Items 3 (27.5) (20.9)

Base 1,010.6 1,034.1 

Fee Recovery Rate - 90% of Base 909.5 930.7 

 Billing & Carryover Adjustments 4 (8.5) (0.2)

Amount to be Recovered through Fees $901.0 $930.5

Estimated Part 170 Fees $371.4 $375.0

 Percent of total recovered amount 41.2% 40.3%

Estimated Part 171 Annual Fees $529.6 $555.5

 Percent of total recovered amount 58.8% 59.7%

Total Net Appropriated $128.6 $124.3

Numbers may not add due to rounding.

Note: As a fee based agency, reduction to agency base budget yields a 10% reduction in net budget 

auhtority for every dollar of those reductions

 Waste Incidental to Reprocessing (WIR) 3,5 0.8 1.4 

 Generic Homeland Security 3 26.7 19.5 

Total Non-Fee Items $27.5 $20.9
APPENDIX IV: ESTIMATED FEE RECOVERY 

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APPENDIX IICORPORATE SUPPORT 
APPENDIX V: REPORT ON DRUG TESTING 

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APPENDIX V: REPORT ON DRUG TESTING 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 179 U.S. NUCLEAR REGULATORY COMMISSION

Appendix V: Report to Congress on Drug Testing

Congress and the U.S. Department of Health and Human Services (HHS) initially approved the 

U.S. Nuclear Regulatory Commission’s (NRC’s) Drug Testing Program in August 1988, and the agency 

subsequently updated the program in November 1997. The program was revised again and received 

approval from HHS on August 23, 2007. The NRC’s drug testing requirements for the nuclear industry 

(licensees), as imposed by agency regulations, are separate and distinct from this program and are not 

covered by this report. The NRC’s Drug Testing Program under Executive Order (E.O.) 12564 includes 

random, applicant, voluntary, followup, reasonable suspicion, and accident-related drug 

testing. Testing was initiated for nonbargaining unit employees in November 1988, and for bargaining 

unit employees in December 1990 after an agreement was negotiated with the National Treasury 

Employees Union. On August 25, 2008, the NRC’s testing program was expanded to include all NRC 

sensitive positions as testing designated; therefore, all employees became subject to random drug 

testing.

During fiscal year 2012, the NRC conducted approximately 2,093 tests of all types between 

October 1, 2011, and September 30, 2012. There were two positive drug test results (both for 

marijuana). These individuals completed the required outpatient treatment programs. One employee 

has since retired while the second continues to be subject to followup drug testing.

The NRC also completed internal quality control reviews during the past year to ensure that the 

agency’s program continues to be administered in a fair, confidential, and effective manner.

The NRC’s drug testing program is based on the principles and guidance according to E.O. 12564, 

Public Law 100-71, HHS guidelines, and Commission decisions.
APPENDIX V: REPORT ON DRUG TESTING 

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APPENDIX V: REPORT ON DRUG TESTING 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 181 U.S. NUCLEAR REGULATORY COMMISSION
ACRONYM LIST 

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ACRONYM LIST 

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Acronym List

3WFN. Three White Flint North

ABWR. An advanced boiling-water reactor is a Generation III boiling-water reactor. 

ACP. American Centrifuge Plant is a future USEC plant to be built in Oak Ridge, TN.

ADAMS. The Agencywide Documents Access and Management System is the U.S. Nuclear 

Regulatory Commission’s (NRC’s) official recordkeeping system that provides access to vast “libraries” 

or collections of documents related to the agency’s regulatory activities.

ADR. The Alternative Dispute Resolution Program supports the NRC’s commitment to promote and 

maintain a discrimination-free work environment.

AEA. The Atomic Energy Act refers to a number of different laws on the governance of nuclear power 

and nuclear weapons production.

AIT: Augmented inspection team

ALARA. As low as is reasonably achievable

ASLB. Atomic Safety and Licensing Board

ASME. The American Society of Mechanical Engineers is a not-for-profit professional organization that 

enables collaboration, knowledge sharing, and skill development across all engineering disciplines.

ASP. Accident Sequence Precursor

BFS. Budget Formulation System

BWR. A boiling-water reactor is a type of nuclear reactor. It is the second most common type of 

nuclear reactor after the pressurized-water reactor. 

C&A. Certification and Accreditation is a process that ensures that Information Technology (IT) 

systems and major applications adhere to formal and established security requirements that are well 

documented and authorized. The Federal Information Security Management Act of 2002 requires C&A. 

CAL. Confirmatory action letter

CCDP. Conditional core damage probability

CE. Current estimates are fact-of-life changes in the budget between the President’s Budget and the 

enacted budget.

CFR. The Code of Federal Regulations is the codification of the general and permanent rules and 

regulations published in the Federal Register by the executive departments and agencies of the 

Federal Government of the United States.
ACRONYM LIST 

2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 184 U.S. NUCLEAR REGULATORY COMMISSION

CoCs. A certificate of compliance for a cask model is issued by the NRC for findings that meet the 

requirements in Title 10 of the Code of Federal Regulations (10 CFR) 72.236, “Specific Requirements 

for Spent Fuel Storage Cask Approval and Fabrication.”

COL. A combined operating license is the NRC’s simultaneous issuance of a nuclear power plant 

construction permit and operating license. 

COTS. Commercial-off-the-shelf (software)

CPIC. Capital Planning and Investment Control compares actual results with expected results after an 

IT investment has been fully implemented. This is done to assess the IT investment’s impact on 

program performance, to identify any changes or modifications that may be needed, and to revise the 

IT investment management process based on lessons learned through its application.

DBT. Design-basis threats characterize the adversary against which nuclear plant owners must design 

physical protection systems and response strategies.

DC. Design certification is the NRC approval of a nuclear power plant design, independent of an 

application to construct or operate a plant.

DEIS. A draft environmental impact statement is a draft of the document required by the National 

Environmental Policy Act for Federal Government agency actions “significantly affecting” the quality of 

the human environment. A decisionmaking tool, an EIS describes the positive and negative 

environmental effects of proposed agency action and cites alternative actions.

DOE. U.S. Department of Energy

DTTS. The Defense Transportation Tracking System is a satellite-enabled computerized tracking 

system that supplies information to provide emergency response assistance.

ECM. Enterprise content management includes processes and technologies that support the full 

lifecycle of the NRC’s information. 

EIS. An environmental impact statement is a document that the National Environmental Policy Act 

requires for Federal Government agency actions “significantly affecting the quality of the human 

environment.” A decisionmaking tool, an EIS describes the positive and negative environmental effects 

of proposed agency action and cites alternative actions.

EPA. Environmental Protection Agency

EPR. Evolutionary Power Reactor

ESBWR. An economic simplified boiling-water reactor is a 4,500-megawatt-thermal (MWt) reactor that 

uses natural circulation for normal operation and has passive safety features.

ESP. An early site permit is the NRC approval of one or more sites for a nuclear power facility, 

independent of an application for a construction permit or combined license.
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2014 CONGRESSIONAL BUDGET JUSTIFICATION Page 185 U.S. NUCLEAR REGULATORY COMMISSION

EST. Extended storage and transportation refers to the extended storage and transportation of spent 

nuclear fuel and high-level waste.

FAIMIS. The Financial Accounting and Integrated Management Information System is part of the 

NRC’s financial systems upgrade.

FCOP. Fuel cycle oversight process 

FEIS. Final environmental impact statement

FEMA. Federal Emergency Management Agency

FERC. Federal Energy Regulatory Commission

FFD. The Fitness-for-Duty Program is required for all NRC licensees by 10 CFR Part 26, Subpart K, 

“FFD Programs for Construction.” FFD includes drug testing, behavioral observation, and fitness 

monitoring programs. 

FISMA. The Federal Information Security Management Act is a U.S. Federal law enacted in 2002 as 

Title III of the E-Government Act of 2002. The act requires each Federal agency to develop, document, 

and implement an agencywide program to provide information security for the information and 

information systems that support the operations and assets of the agency, including those that another 

agency, contractor, or other source provides or manages.

FOF. Force-on-Force exercises assess a nuclear plant’s physical protection to defend against the 

so-called design-basis threat.

FOIA. The Freedom of Information Act is a law ensuring public access to U.S. Government records. 

Upon written request, agencies of the U.S. Government are required to disclose those records unless

they can be lawfully withheld from disclosure under one of nine specific exemptions in the FOIA. 

FTE. Full-time equivalent is a way to measure a worker’s involvement in a project. An FTE of 1.0 

means that the person is equivalent to a full-time worker, whereas an FTE of 0.5 signals that the worker 

is only half time.

FY. Fiscal year is a period used for calculating annual financial statements in businesses and other 

organizations.

GE-Hitachi. GE-Hitachi is a joint venture between General Electric, Hitachi, and Toshiba. GE-Hitachi 

operates the fuel fabrication facility in Wilmington, NC. 

GWd/MTU. The measurement of actual energy released per mass of initial fuel is gigawatt days/metric 

ton of heavy metal (GWd/MTHM), or similar unit (uranium), used in the calculation of burnup or fuel 

utilization.

HAB. Hostile-action-based emergency preparedness drills are required by NRC regulations. All NRC 

commercial nuclear power plant licensees are required to participate in emergency preparedness 

exercises. These exercises are evaluated to ensure the skills of emergency responders are maintained 

and to identify and correct any weaknesses.
ACRONYM LIST 

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HCU. Historically Black Colleges and Universities

HLS. Homeland security is a concerted national effort to prevent terrorist attacks within the United 

States, reduce America’s vulnerability to terrorism, and minimize the damage and recover from attacks 

that do occur.

HLW. High-level waste is the highly radioactive material produced as a byproduct of the reactions that 

occur inside nuclear reactors. High-level wastes are either in the form of spent reactor fuel when it is 

accepted for disposal or waste materials remaining after spent fuel is reprocessed.

HOC. Headquarters Operations Center

HQ. Headquarters refers to the NRC headquarters campus in the Washington, DC, metropolitan area.

I&C. Instrumentation and control systems use digital devices in safety systems in nuclear facilities. 

The deployment of digital technology in nuclear facilities has the potential to improve safety and 

operational performance.

IAEA. International Atomic Energy Agency

IM. Information Management is an NRC-wide initiative to collect and manage agency information; to 

improve the productivity, effectiveness and efficiency of agency programs; and to enhance the 

availability and usefulness of information to users inside and outside the agency.

IMPEP. The Integrated Materials Performance Evaluation Program is a program that the NRC 

designed and piloted as a review process for Agreement State and NRC regional radioactive materials 

programs.

INIS. International Isotopes 

iPWR. Integral pressurized-water reactor 

ISFSI. An independent spent fuel storage installation is defined as a complex designed and 

constructed for the interim storage of spent nuclear fuel, solid reactor-related greater than Class C 

(GTCC) waste, and other radioactive materials associated with spent fuel and reactor-related GTCC 

waste storage. 

ISA. Integrated safety analysis 

ISG. Interim staff guidance refers to documents that the NRC issues to clarify or address issues not 

discussed in a Standard Review Plan.

ISMP. An Integrated Source Management Portfolio is a secure and effective set of automated tools to 

house and maintain information on licensees, nationally tracked sources possessed by licensees, and 

licensee transactions. 

IT. Information technology deals with the use of computers and software.
ACRONYM LIST 

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ITAAC. The inspections, tests, analysis, and acceptance criteria process is designed to verify that a 

new nuclear facility has been constructed and will operate in compliance with the COL, NRC 

regulations, and the Atomic Energy Act.

IV&V. Independent verification and validation is the process of a third-party check that the NRC 

performance measures meet the requirements and fulfill their intended purpose.

KEPCO. Korea Electric Power Corporation

LAR. License amendment request

LER. License event report

LER Search. License Event Report Search System

LES. Louisiana Energy Services is a group of some of the largest companies in the nuclear power field 

and is a supplier of enriched uranium for commercial atomic power reactors.

LLW. Low-level waste includes items that have become contaminated with radioactive material or 

have become radioactive through exposure to neutron radiation. 

LSN. The Licensing Support Network is an electronic system that the NRC’s Atomic Safety and 

Licensing Board Panel operates to provide free Web-based access to documents that may be used as 

evidence in the NRC’s review process and licensing proceedings associated with the application that 

DOE submitted to seek authorization to construct a high-level radioactive waste repository at Yucca 

Mountain, NV.

LVS. The License Verification System is a national verification system that would be used to detect 

and prevent unauthorized parties with malicious intent from obtaining nuclear materials. 

MC&A. Material control and accounting means the use of control and monitoring measures to prevent 

or detect loss of special nuclear materials. Material accounting is defined as the use of statistical and 

accounting measures to maintain knowledge of the quantities of special nuclear materials present in 

each area of a facility. It includes the use of physical inventories and material balances to verify the 

presence of material or to detect the loss of material through theft.

MDEP. The Multinational Design Evaluation Program is a multinational initiative taken by national 

safety authorities to develop innovative approaches to leverage the resources and knowledge of the 

national regulatory authorities who will be tasked with reviewing new reactor power plant designs.

MILES. The Multiple Integrated Laser Engagement System is used by the U.S. military and other 

armed forces around the world for training purposes. It uses lasers and blank cartridges to simulate 

actual battle.

MOM. Maintenance, Operation, and Modernization

MOX. Mixed oxide is nuclear fuel containing more than one oxide of fissile or fertile materials.

MSI. Minority Serving Institution 
ACRONYM LIST 

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NEA. Nuclear Energy Agency

NEPA. National Environmental Policy Act

NERC. The North American Electric Reliability Council is the organization of U.S. electrical grid 

operators.

NFPA. National Fire Protection Association

NFS. Nuclear Fuel Services, Inc., is a company that supplies fuel for the U.S. Navy’s fleet of 

nuclear-powered vessels. It has also processes weapons-grade uranium into nuclear reactor fuel. 

NGNP. A Next Generation Nuclear Plant is a Generation IV version of the very high temperature 

reactor.

NIST. National Institute of Standards and Technology

NMED. Nuclear Materials Event Database

NMIP. The Nuclear Materials Information Program is an interagency effort that DOE manages 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.

NMMSS. The Nuclear Materials Management and Safeguards System is a centralized 

U.S. Government database that tracks and accounts for source and special nuclear material to ensure 

that it has not been stolen or diverted to unauthorized users. 

NMP. The National Materials Program is a term that has been applied to the broad collective 

frameworks within which both the NRC and the Agreement States function in carrying out their 

respective radiation safety regulatory programs. 

NRC. U.S. Nuclear Regulatory Commission

NSTS. The National Source Tracking System is a major security initiative of the NRC that tracks 

high-risk radioactive sources from the time that they are manufactured or imported through their 

disposal or export, or until they decay enough to no longer be of concern.

NUREG. Nuclear Regulatory Commission regulation. The NRC issues NUREGs.

NWPA. The Nuclear Waste Policy Act of 1982 created a timetable and procedure for establishing a 

permanent, underground repository for high-level radioactive waste by the mid-1990s. The Act 

provided for some temporary Federal storage of waste, including spent fuel from civilian nuclear 

reactors. 

OE. Office of Enforcement

OECD. Organisation for Economic Co-operation and Development
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OIG. Office of the Inspector General

OIP. Office of International Programs

OMB. Office of Management and Budget

OPM. Office of Personnel Management

ORR. An operational readiness review inspection is conducted by the NRC when construction nears 

completion for the facility’s most safety-significant features, including but not limited to, chemical safety, 

fire protection, radiological control procedures, emergency preparedness, training, and qualification of 

facility personnel and criticality safety. 

OWFN. One White Flint North

PACS. The Physical Access Control System refers to an NRC infrastructure upgrade.

PB. The President’s Budget is the President’s proposal to the U.S. Congress, which recommends 

funding levels for the next fiscal year, beginning October 1.

PBPM. Planning, Budgetary, and Performance Measurement

PDF. Portable Document Format

PCS. Permanent Change of Station is an NRC program that assists with employee relocations.

PII. Personally Identifiable Information 

PMM. Project Management Methodology is a tool that describes every step in the project lifecycle in 

depth, so that project managers know exactly which tasks to complete, when, and how.

PRA. Probabilistic risk assessment

PRM. A petition for rulemaking is the mechanism by which individuals, public interest groups, and 

private enterprise can argue in favor of changes or new rules for ensuring the general welfare of the 

Nation.

PSSC. Principle structures, systems, and components 

PWR. Pressurized-water reactors keep water under pressure so that it heats but does not boil. The 

water from the reactor and the water that is turned into steam in the steam generator do not mix.

RAMQC. Radioactive material(s) in quantities of concern include americium-241, cobalt-60, 

cesium-137, plutonium-238, and strontium-90, among others, in specific quantities. It does not include 

spent nuclear fuel. 

RASCAL. Radiological Assessment System for Consequence Analysis
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RIC. The Regulatory Information Conference is an annual conference that brings together over 3,000 

participants from 32 countries to provide an opportunity for Government, industry, international 

agencies, and other interested stakeholders and members of the public to meet and discuss safety 

initiatives and regulatory trends.

ROP. The Reactor Oversight Process is the process by which the NRC monitors and evaluates the 

performance of commercial nuclear power plants. Designed to focus on plant activities most important 

to safety, the process uses inspection findings and performance indicators to assess each plant’s 

safety performance.

RPS. The Reactor Programs System provides an integrated methodology for planning, scheduling, 

conducting, reporting, and analyzing inspection activities at the nuclear power reactor and fuel facilities 

in the United States. 

RTR. Research and test reactors

SAPHIRE. The System Analysis Programs for Hands-On Integrated Reliability Evaluation is a software 

application developed for performing a complete probabilistic risk assessment. 

SDP. The significance determination process assigns risk characterization to inspection findings based 

on large early release frequency considerations.

SER. The safety evaluation report documents the NRC staff’s technical reviews.

SGI. Safeguards Information is a special category of sensitive unclassified information that must be 

protected. Safeguards Information concerns the physical protection of operating power reactors, spent 

fuel shipments, strategic special nuclear material, or other radioactive material. 

SIDS. Suspicious Incidents Data System

SLES. The Secure LAN/Electronic Safe is an electronic document management system for sensitive 

Safeguards Information.

SMR. A small modular reactor design is less than one-third the size of a current nuclear plant and can 

create approximately a quarter of the energy output.

SNF. Spent nuclear fuel

SNM. Special nuclear materials are defined by Title-I of the Atomic Energy Act of 1954 as plutonium, 

uranium-233, or uranium enriched in the isotopes uranium-233 or uranium-235. The definition includes 

any other material that the NRC determines to be special nuclear material, but it does not include 

source material. The NRC has not declared any other material as SNM.

SRP. Standard Review Plan

STAQS. Strategic Acquisition System

STEM. Science, Technology, Engineering, and Mathematics
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STP. The South Texas Project is a nuclear power station southwest of Bay City, TX.

TAPIS. The Transportation Approval Package Information System is one of several applications that 

use National Institutes of Health IBM mainframe timesharing services. Although the hardware for these 

applications resides outside of the NRC, the agency still supports them.

UNC. The United Nuclear Corporation site is located in New Mexico. It includes a former uranium ore 

processing mill and tailings disposal area.

US-APWR. The U.S.-Advanced Pressurized-Water Reactor is a standard design for a 4,451-MWt 

pressurized-water reactor.

USEC. The U.S. Enrichment Corporation supplies enriched uranium fuel for commercial nuclear power 

plants. 

U.S.-EPR. The U.S. Evolutionary Power Reactor is third generation pressurized-water reactor design. 

WASSC. The Waste Safety Standards Committee is an IAEA safety committee.

WBL. Web-Based Licensing is a materials licensing system that the NRC uses for managing licensing 

information for businesses using radioactive materials. 

WIR. Waste incidental to reprocessing is the waste byproduct that comes from reprocessing nuclear 

fuel.

WVDP. The West Valley Demonstration Project is operated by DOE and was created in 1980 by the 

West Valley Demonstration Project Act.