NUREG-1614, Vol. 2, Part 1

S U.S. Nuclear Regulatory Commission ANTEGIC 

"PLAN .

Fiscal Year 2000 - Fiscal Year 2005
AVAILABILITY OF REFERENCE MATERIALS 

IN NRC PUBLICATIONS

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NUCLEAR REGULATORY COMMISSION

FY2000-2005 STRATEGIC PLAN 

VOLUME 2, PART 1
INLES O G S EGoLATIO 0OLYMo S ? PART 1

PRINCIPLES OF GOOD REGULATION 

INDEPENDENT. Nothing but the highest possible standards of ethical performance and 

professionalism should influence regulation. However, independence does not imply isolation. The 

NRC will seek all available facts and opinions openly from licensees and other interested members 

of the public and consider the many and possibly conflicting public interests involved. The NRC 

will strive to base final decisions on objective, unbiased assessments of all information and 

explicitly state its reasons for the decisions. 

OPEN. Nuclear regulation is the public's business, and it must be transacted publicly and 

candidly. The public must be informed about and have the opportunity to participate in the 

regulatory processes as required by law. Open channels of communication must be maintained 

with Congress, other government agencies, licensees, and the public, as well as with the 

international nuclear community. 

EFFICIENT. The American taxpayer, the rate-paying consumer, and licensees are all entitled 

to the best possible management and administration of regulatory activities. The highest technical 

and managerial competence is required and must be a constant agency goal. The NRC must 

establish means to evaluate and continually upgrade its regulatory capabilities. Regulatory activities should be consistent with the degree of risk reduction they achieve. Where several 

effective alternatives are available, the option that minimizes the use of resources should be 

adopted. Regulatory decisions should be made without undue delay. 

CLEAR. Regulations should be coherent, logical, and practical. There should be a clear nexus 

between regulations and agency goals and objectives whether explicitly stated. Agency positions should be readily understood and easily applied. 

RELIABLE. Regulations should be based on the best available knowledge from research and 

operational experience. The agency should take into account systems interactions, technological uncertainties, and the diversity of licensees and regulatory activities so that risks are maintained at 

an acceptably low level. Once established, regulation should be perceived by all stakeholders to be 

reliable and not unjustifiably in a state of transition. The NRC's regulatory actions should always be fully consistent with written regulations and should be promptly, fairly, and decisively administered so as to lend stability to the nuclear operational and planning processes. 

NRC FY 2000 STRATEGIC PLAN
VOUE2,PR

TABLE OF CONTENTS 

Principles of Good Regulation ........................................ ii 

Foreword ....................................................... v 

M issio n . . . . .. . . .. . .. . . . . . . . . .. . .. . . . . . . . .. . .. . .. . .. . . .. . . . . . . . . . . v i 

M essage from the Chairman ......................................... vii 

Strategic and Performance Goals ..................................... ix 

O ur Strategic A renas ................................................ x 

N uclear Reactor Safety .............................................. 1 

N uclear M aterials Safety ............................................ 11 

N uclear Waste Safety ............................................... 23 

International Nuclear Safety Support .................................. 33 

Corporate Management Strategies .................................... 37 

E ndnotes ......................................................... 43 

NRC FY 2000 STRATEGIC PLAN
I VOL6Eo 2,) PART 1FORE•O RD

FOREWORD 

This report provides the agency's Strategic Plan (Volume 2, Part 1) as required by the 

Government Performance and Results Act. A companion document is the Strategic Plan Appendix 

(Volume 2, Part 2) which contains more comprehensive information on the agency's strategic and 

performance goals, their respective measures and strategies, external factors, and corporate 

management strategies. 

Together, these documents form the framework to drive the agency's budget process and office 

operating plans for FY 2000-FY 2005. The Strategic Plan Appendix also contains information 

concerning links to other NRC planning documents, program evaluations, management challenges, 

cross-cutting functions, and a schematic of NRC's planning process components. 

The Plan is available also on the Internet at <http://www.nrc.gov>.

NRC FY 2000 STRATEGIC PLAN
MSSO VOUE2,PR

MISSION 

The NRCs mission is to regulate the Nation's civilian use of 

byproduct, source, and special nuclear materials to ensure 

adequate protection of public health and safety, to promote 

the common defense and security, and to protect the 

environment.

NRC FY 2000 STRATEGIC PLAN
VOUE2S ATIMSAG RMTECARA

MESSAGE FROM THE CHAIRMAN

I am pleased to transmit the U.S. Nuclear 

Regulatory Commission's Strategic Plan for 

Fiscal Years 2000 to 2005. This plan describes 

how we intend to accomplish our mission. In 

particular, it discusses our core principles and 

strategies and sets out both performance goals 

and measures to gauge our performance. 

The mission of the Nuclear Regulatory 

Commission is to ensure adequate protection 

of public health and safety, promote the 

common defense and security, and protect the 

environment by regulating the Nation's 

civilian uses of nuclear fuels and materials. In 

undertaking this mission, we oversee nuclear 

power plants, non-power reactors, nuclear fuel 

cycle facilities, waste disposal, and the 

industrial and medical uses of nuclear 

materials. 

Our highest priority is safety, and our 

performance goals focus our attention on the 

achievement of this priority. The Commission 

also recognizes, however, that to be a 

successful regulator we must consider the 

effects of our decisions on the public and the 

industries we regulate. Therefore, to 

accomplish our mission in the coming years, 

our performance goals also include making 

our activities and decisions more effective and 

efficient, reducing unnecessary regulatory 

burden, and enhancing public confidence. 

The accomplishment of our Strategic Plan 

will present some special challenges because 

the Nuclear Regulatory Commission must 

chart its path to the future in a time of

significant change. The electricity-generation 

sector of our economy is now undergoing 

economic deregulation, resulting in significant 

restructuring in the nuclear industry. We must 

adapt, as appropriate, to the fact that there are 

changing financial pressures on our 

licensees--pressures to cut costs, coupled with 

pressures to achieve improved operating 

performance. Moreover, our regulatory system 

is subject to significant change as we seek to 

make greater use of risk-informed and 

performance-based regulatory approaches. A 

focus on our mission and our performance 

goals serves as a guide through this turbulent 

period. 

In developing this Strategic Plan, we 

benefitted from input from the public, those 

we regulate, and those vitally interested in the 

effectiveness of regulation. The result, 

however, is our own, and we shall implement 

it in the public interest. 

The Plan should be a living document to 

accommodate and adapt to this dynamic 

period of change. Accordingly, we shall revise 

and update this Plan as necessary to reflect 

change, as well as to respond to future 

evaluations of our performance. 

Richard A. Meserve 

Chairman 

U.S. Nuclear Regulatory Commission

NRC FY 2000 STRATEGIC PLAN V
VOUM 2,- PAR 1 STAEI AN 0EFOMNEOL

STRATEGIC AND PERFORMANCE GoALs 

The NRC has developed goals consistent with its mission. These strategic goals are supported 

by performance goals, which represent outcomes the NRC plans to achieve over the period 

covered by the Strategic Plan (FY 2000-FY 2005). 

STRATEGIC GOALS: The NRC will conduct an effective regulatory program that allows our 

Nation to use nuclear materials safely for civilian1 purposes and in a manner that protects the 

public and the environment by working to achieve the following strategic goals: 

" Prevent radiation-related 2 deaths and illnesses, promote the common defense and security, and 

protect the environment in the use of civilian nuclear reactors. (Nuclear Reactor Safety) 

" Prevent radiation-related deaths and illnesses, promote the common defense and security, and 

protect the environment in the use of source, byproduct, and special nuclear material. 

(Nuclear Materials Safety) 

" Prevent significant adverse impacts from radioactive waste to the current and future public 

health and safety and the environment, and promote the common defense and security. 

(Nuclear Waste Safety) 

" Support U.S. interests in the safe and secure use of nuclear materials and in nuclear 

nonproliferation. (International Nuclear Safety Support) 

The safe and secure use of nuclear materials for civilian purposes is the responsibility of NRC 

licensees 3 and Agreement State licensees, and the regulatory oversight of licensees is the 

responsibility of the NRC and the Agreement States. Thus, achieving these strategic goals requires 

the collective efforts of the NRC, the Agreement States, and licensees. All references to licenses 

are to NRC licenses. 

PERFORMANCE GOALS: The protection of public health and safety remains paramount 

among our goals and will drive our decisions. However, the NRC recognizes that it must consider 

other key issues, including the effect of our decisions on the public's trust in our regulatory 

process, the industries we regulate, and our own effectiveness and efficiency. The agency has 

established performance goals to support the strategic goals for the Nuclear Reactor Safety, Nuclear Materials Safety, and Nuclear Waste Safety arenas: maintain safety, protect the 

environment and the common defense and security; increase public confidence; make NRC 

activities and decisions more effective, efficient, and realistic; and reduce unnecessary regulatory 

burden. 

Collectively, these outcome-based performance goals are the key contributors to the strategic 

goals. Agency work (programs and activities) is being planned, managed, monitored, and assessed 

according to the contribution to the achievement of these performance goals, with public health 

and safety as the primary consideration. This evaluation will form the basis to determine whether 

NRC FY 2000 STRATEGIC PLAN
[SO• S.RATEI ARENAS VOLUME 2,. PAT ,1

existing programs are successfully achieving the goals or whether revised or new initiatives are 

needed. Resources will be allocated accordingly to the work that is necessary to achieve the 

performance goals. The Strategic Plan is being used as one of the primary tools to communicate 

and institutionalize these changes. 

OUR STRATEGIC ARENAS 

The NRC has organized its strategic goals, performance goals, and strategies for achieving its 

mission into the following four strategic arenas: Nuclear Reactor Safety, Nuclear Materials Safety, 

Nuclear Waste Safety, and International Nuclear Safety Support. While there are small differences 

in each arena, the term "safety" broadly encompasses our responsibilities to protect the public 

health and safety from radiation, to promote the common defense and security, and to protect the 

environment. 

The next four sections are organized to state (1) the strategic goal that relates to the arena and 

(2) the strategic goal measure and to state (1) the applicable performance goals, (2) the strategies 

for accomplishing each performance goal, and (3) the measures for each performance goal. A 

more detailed discussion of performance goals, strategies, and measures for each arena is provided 

in Part 2 of this volume. The performance goals are the measurable, outcome-oriented results that 

provide information to determine whether the NRC is achieving its strategic goals and that link the 

multi year Strategic Plan to the Annual Performance Plan and Performance Report, consistent with 

the requirements of the Government Performance and Results Act. We will include these strategic 

and performance goals and their associated measures in the Performance Plan, whose arena 

chapters describe how the goals, measures, and strategies link to agency programs and activities. 

Not meeting a strategic or a performance goal measure will, in general, prompt a re-evaluation of 

the involved programs and activities. The annual Performance Plan will provide greater specificity 

for certain performance metrics where those metrics are being developed or may change each year. 

To evaluate performance measures, the NRC focused on verification and validation of data, 

generated by the NRC as well as by the industry and other external sources. Establishing the 

necessary systems, data collection policies and procedures, and verification and validation 

procedures will ensure that the performance we report is supported by accurate, comprehensive, 

and reliable internal and external data. To the extent that the agency depends on the industry for 

performance data, the NRC verifies and validates data on a sound sampling and auditing basis, 

concentrating on data generated by entities external to the agency that support the achievement of 

agency goals. As recommendations and decisions are made on the appropriate performance 

measures, the NRC will define and implement verification and validation procedures for such 

data. 

We anticipate no major unique resource requirements; however, this Strategic Plan assumes 

adequate resources during the strategic planning period to achieve the strategic and performance 

goals. Our annual integrated budget and Performance Plan will include the resources needed to 

achieve our goals. 

NRC FY 2000 STRATEGIC PLAN
I 0OUE2,PR

NUCLEAR 

REACTOR SAFETY 

STRATEGIC GOAL: Prevent radiation -related deaths and illnesses, 

promote the common defense and security, and protect the environment 

in the use of civilian nuclear reactors. 

This strategic goal repre

sents the focus of the Nuclear 

Reactor Safety arena. The goal 

is to achieve our statutory , 

mission to ensure that civilian 

nuclear power reactors, as 

well as non-power reactors, 

are operating in a manner 

that adequately protects 

public health and safety and 

the environment and that 

safeguards special nuclear 

material used in reactors. 

NRC regulates 103 civilian . 

nuclear power reactors and 

37 non-power reactors. 

We will use the following 

measures4 to assess results in 

achieving the Nuclear Reactor 

Safety Strategic Goal: Kewaunee Nuclear Power Plant 

Measures • No nuclear reactor accidents. 5 

0 No deaths resulting from acute radiation exposures from 

nuclear reactors. 

* No events at nuclear reactors resulting in significant radiation 

exposures. 6 

* No radiological sabotages at nuclear reactors. 

* No events that result in releases of radioactive material from 

nuclear reactors causing an adverse impact7 on the 

environment. 

NRC FY 2000 STRATEGIC PLAN k
NUCLEAR REACTOR] SAET"Y• VOLUME 2,PARTI

PERFORMANCE GOAL: Maintain safety, protection of the environment, and the 

common defense and security.

Maintaining safety, protection 

of the environment, and the 

common defense and security is 

the preeminent performance goal.

and takes precedence over all 

other performance goals. In 

working toward this goal, the 

NRC will apply its Principles of 

Good Regulation. Principles 

applicable to this goal are related ...... 

to independence, openness, 

efficiency, regulatory clarity, and X 

reliability. 

The safety performance of the 

nuclear power industry has im

proved substantially over the past Control Room at a Nuclear Reactor 

ten years, and nuclear reactors, 

collectively, are operating above 

acceptable safety levels consistent with the agency's Safety Goal Policy (51 FR 28044). The NRC 

believes this level will be maintained. If substantial safety improvements are identified, additional 

requirements should only be imposed consistent with the Commission's Backfit Rule (10 CFR 

50.109). Allowing small-risk increases 8 may be acceptable when there is sufficient conservatism 

and reasonable assurance that sufficient defense-in-depth and safety margins are present. 

Small-risk changes that reduce unnecessary burden will allow more efficient use of licensee and 

NRC resources as well as bring into focus those areas that are more critical to the safety of the 

public and environment. 

The NRC licensees will continue to have the primary role in maintaining safety and are 

expected to identify, through mechanisms such as operating experience feedback and integrated risk assessments, the design and operational aspect of their plants that should be enhanced to 

maintain acceptable safety performance levels. For nuclear power plants to continue operating, 

safety performance must be at or above acceptable levels. The NRC will take action to improve 

safety performance before it falls below acceptable levels and will require the shutdown of plants 

when their safety performance is identified as unacceptable. This principle is inherent in the 

NRC's new oversight process. 

NRC FY 2000 STRATEGIC PLAN
The NRC will employ the following strategies to maintain safety and the protection of the 

environment and to promote the common defense and security. 

Strategies We will sharpen our focus on safety to include a transition to a 

revised NRC reactor oversight program for our inspection, 

assessment, and enforcement activities. 

o We will respond to operational events involving potential safety 

or safeguards consequences. 

*"We will evaluate operating experience and the results of risk 

assessments for safety implications. 

* We will identify, evaluate, and resolve safety issues, including age-related degradation, and ensure that an independent 

technical basis exists to review licensee submittals to ensure 

that safety is maintained. 

• We will ensure that changes to operating licenses and 

exemptions to regulations maintain safety and meet regulatory 

requirements. 

. We will ensure that safety is maintained as licenses are renewed 

by ensuring that aging effects will be adequately managed and 

that the licensing basis related to the presentplant design and 

operation will be maintained. 

* We will maintain safety by ensuring that operator licenses are 

issued and renewed only to qualified individuals. 

* We will continue to develop and incrementally use 

risk-informed and, where appropriate, less prescriptive 

performance-based9 regulatory approaches to maintain safety. 

The NRC will use the following measures to assess results in our efforts to maintain safety, 

and protection of the environment and to promote the common defense and security.

NRC FY 2000 STRATEGIC PLAN 43

Measures No more than one event per year identified as a significant 

precursor of a nuclear accident']0 

No statistically significant adverse industry trends in safety 

performance.11

I VOLUME 2, PART 1 NUCLEAR REACTOR SAFETY
I NULEA REATORSAFTY VLU ME , PRT3

Measures * No events resulting in radiation overexposures12 from nuclear 

(cont) reactors that exceed applicable regulatory limits. 

* No more than three releases per year to the environment of 

radioactive material from nuclear reactors that exceed the 

regulatory limits.13 

No breakdowns of physical security that significantly weaken 

the protection against radiological sabotage or theft or 

diversion of special nuclear materials in accordance with 

abnormal occurrence criteria.

PERFORMANCE GOAL: Increase public confidence.

The NRC views building 

and maintaining public trust ( and confidence that the NRC 

is carrying out its mission as 

an important performance 

goal for the agency. To reach 

this goal, the NRC must be 

viewed as an independent, 

open, efficient, clear and 

reliable regulator. This will U .... 1 

be accomplished by provid- ji 

ing our stakeholders with 

clear and accurate information 

about, and a meaningful role 

in, our regulatory programs. 

The NRC desires that diverse Public Meeting-Chairman Meserve, center, and Commissioners McGaf

stakeholder groups (i.e., figan, Dicus, Diaz, and Merrifield on re-licensing of Oconee nuclear plant. 

general public, Congress, 

NRC licensees, other Federal agencies, States, Indian Tribes, local governments, industry, industry 

workers, technical societies, the international community, and citizen groups) increasingly 

recognize that NRC actions assure that public health and safety, the common defense and security, 

and the environment are, and will remain, adequately protected from hazards resulting from the 

use of nuclear reactors. 

4• NRC FY 2000 STRATEGIC PLAN
0LUME 2, P 1 NUCLA iiT SAFETY

Public concern about reactor safety has at times been high, particularly for the public who live 

near nuclear facilities. The methods provided by the NRC for members of the public to express 

their views have been perceived by some members of the public to be insufficient in some 

circumstances. This goal reflects the NRC's desire to improve in this area, which would include 

explaining the NRC's role and responsibilities and how public concerns are considered. 

This performance goal stems from recognition that the NRC must be candid with the public 

about reactor safety incidents and issues, provide opportunities for meaningful public 

participation, and demonstrate through our performance that we are capable, independent, and 

objective regulators. It also stems from recognition that, while the public may not always agree 

with NRC actions, public confidence in the NRC is enhanced when the agency consistently carries 

out its mission in a thorough, disciplined, and timely manner. 

The NRC will employ the following strategies to increase public confidence: 

Strategies We will make public participation in the regulatory process 

more accessible. We will listen to the public's concerns and 

involve our stakeholders more fully in the regulatory process. 

We will communicate more clearly. We will add more focus, 

clarity, and consistency to our message; be timely; and present 

candid and factual information in the proper context with 

respect to the risk of the activity. 

We will continue to enhance the NRCs' accountability and 

credibility by being a well-managed, independent regulatory 

agency. We will increase efforts to share our accomplishments 

with the public. 

We will report on the performance of nuclear power facilities in 

an open and objective manner 

We will continue to foster an environment in which safety issues 

can be openly identified without fear of retribution. 

We will use the following measures to assess the results in our efforts to increase public 

confidence: 

Measures Complete the milestones in the annual Performance Plan 

relating to collecting, analyzing, and trending information for 

measuring public confidence. 

NRC FY 2000 STRATEGIC PLAN
NUCLAR EACOR SFET VOUýE , PRT0

PERFORMANCE GOAL: Make NRC activities and decisions more effective, efficient, 

and realistic. 

By maintaining the quality 

of the technical base for our • o . 

decisions and by optimizing r .. 

our regulatory activities, while 1. 

maintaining safety and increasing r,. 

public confidence, the NRC will 

ensure adequate protection of NA 

public health and safety and the N 

this environment. performance In working goal, the toward NRC r r • ; -.• , 

will apply its Principles of Good K : 

Regulation, which include im- ... . proved efficiency, clarity, and 2 - . ' 

reliability. . 

The costs of most NRC 

activities and decisions contribute 

to our licensees' operating and NRC resident inspectors are assigned to each nuclear power plant; specialists from NRC regional offices and headquarters conduct additional maintenance costs and ultimately inspections. 

are borne by the public. As the 

electric utility industry is in 

transition from a rate-regulated to a market-based business environment, the NRC must keep its 

costs reasonable and predictable by being effective, efficient, and realistic in our activities and 

decision-making while continuing to maintain safety. 

NRC FY 2000 STRATEGIC PLAN

Measures * Complete all of the public outreaches as scheduled in the 

(cont) annual Performance Plan. 

Complete the milestones specific to the agency allegation 

program effectiveness assessment plan as identified in the 

annual Performance Plan. 

Issue Director's Decisions for petitions filed to modify, suspend, 

or revoke a license under 10 CFR 2.20614 within an average of 

120 days. 15
I SOUE2 AT1NCERRATRSFT

Feedback from stakeholders, self-assessments, international experience, and research results 

suggest that we should capitalize on advances in technology, implement efficiencies to improve 

our internal processes, and improve the quality and bases for decision-making. Feedback and our 

own analyses suggest that we should improve the consistency and predictability of our regulatory 

decisions by evolving to a more risk-informed and performance-based approach. 

The NRC will employ the following strategies to make NRC activities and decisions more 

effective, efficient, and realistic.

Strategies " We will use risk information to improve the effectiveness and 

efficiency of our activities and decisions. 

" We will make agency decisions based on technically sound and 

realistic information. 

" We will anticipate challenges posed by the introduction of new 

technologies and changing regulatory demands. 

" We will identify, prioritize, and modify processes based on 

effectiveness reviews to maximize opportunities to improve 

those processes.

The NRC will use the following measures to assess results in our efforts to make NRC 

activities and decisions more effective, efficient, and realistic. 

Measures * Complete those specific reactor milestones in the Risk-Jnformed 

Regulation Implementation Plan identified for completion in 

the annual Performance Plan. 

* Complete at least Iwo key process improvements per year in 

selected program and support areas that increase efficiency, 

effectiveness, and realism. 

* Complete all license renewal application reviews within 30 

months.

NRC FY 2000 STRATEGIC PLAN 4
NUCLAR RACTR SAETY OLU I E2, PRT0

PERFORMAN4CE GOAL: Reduce unnecessary regulatory burden on stakeholders. 

By reducing unnecessary 

regulatory burden, both the NRC WA 

and licensee resources may be MT 

made available to more effectively ORM 

focus on safety issues. Un- A & MA 

necessary regulatory burden for I) 

NRC licensees may be defined IA,& 

as requirements that go beyond NV N NJAA 

what is necessary and sufficient U A "-DE 

for providing reasonable assurance CA CO Ks A MpAA 

that public health and safety, the A 

environment, and the common A OK A TA 

defense and security will be AA A NM 

protected. For example, recent 

risk-informed initiatives for Tx A 

inspection and testing have A 

allowed the licensees to focus 

resources more directly on the A F 

high risk significant systems A e, 

and components, and reduce A Licensed to Operate 1103) 

the attention on low risk- U.S. Commercial Reactors 

significant systems and 

components thereby contributing to safety and improving effectiveness. The costs associated with 

NRC activities can impact a variety of NRC stakeholders. This performance goal supports the 

NRC mission of ensuring adequate protection of public health and safety and the environment in 

the use of nuclear reactors. In working toward this goal, the NRC will apply its Principles of Good 

Regulation for being an independent, open, efficient, clear, and reliable regulator. 

During the past 30 years, an ever-increasing body of technical knowledge and operational 

experience has been accumulated, both domestic and international, that allows for refinements and 

enhancements in NRC requirements and programs that can reduce unnecessary regulatory burden, 

while assuring maintenance of safety. The NRC believes that for some areas of NRC regulations 

and practices, the burden is not commensurate with the safety benefit. Not all of our requirements 

and programs have been updated to take into account these advancements, and thus they may not 

be as efficient and effective as possible. Reduction in unnecessary regulatory burden may 

contribute to the NRC effectiveness and efficiency by allowing more focus on safety and 

risk-significant issues. For example, the new reactor oversight process is allowing more effective 

staff focus on safety significant issues related to licensee performance. 

NRC FY 2000 STRATEGIC PLAN
VOUE20 ATINCERRATRSFT

Although regulation, by its nature, is a burden, we will impose on licensees only the necessary 

level of burden that is required to maintain safety. While our current performance goal is to reduce 

unnecessary regulatory burden, our long-range plans are to eliminate unnecessary regulatory 

burden to the extent feasible and cost effective. We will pursue risk-informed and performance

based approaches, if justified, so that we can focus our attention on those areas of highest safety 

priority. We will make more realistic decisions through reducing excessive conservatism. 

The NRC will employ the following strategies to reduce unnecssary regulatory burden on 

stakeholders:

Strategies We will utilize risk information and performance-based 

approaches to reduce unnecessary regulatory burden. 

We will improve and execute our programs and processes in 

ways that reduce unnecessary costs to our stakeholders. 

We will improve our reactor oversight program by redirecting 

resources from those areas less important to safety.

We will actively seek stakeholder input to identify opportunities 

for reducing unnecessary regulatory burden.

We will use the following measure to assess our results in reducing unnecessary regulatory 

burden on stakeholders:

Measure * Complete those specific milestones to reduce unnecessary 

regulatory burden as identified in the annual Performance 

Plan.

NRC FY 2000 STRATEGIC PLAN

I
VOUE2,PR0

NUCLEAR MATERIALS 

SAFETY 

SSTAEI GOAL: Prevent radiation-re;lated deaths and illnesse, 

prootethecom on efense and security, an rotect the envroment 

t in the use ofsource, byprduct, and specia nucear mnaterial. 16 

This strategic goal repre

sents the focus of the Nuclear 

Materials Safety arena. The goal 

is to achieve our statutory 

mission to ensure that medical, 

academic, and industrial users 

of nuclear materials do so in a 

manner that adequately protects 

public health and safety and 

the environment and safeguards 

special nuclear material. The 

Nuclear Materials Safety 

regulatory activities encom

pass 26 operating uranium 

recovery sites, 21 uranium 

recovery sites under decom

missioning, 10 major fuel 

cycle facilities and several 

smaller facilities, 100,000 

general licensees, and more 

than 20,000 specific materials 

licensees regulated by the Medical procedure using radioactive material 

NRC or by 32 Agreement 

States throughout the country. This arena encompasses a wide range of uses for nuclear materials 

ranging from very low-risk smoke detectors to potentially high-risk irradiators and the chemical 

processing of special nuclear material. NRC licensees and Agreement State licensees are 

responsible for the safe use of nuclear materials and facilities. Regulatory oversight of licensee 

safety is the responsibility of the NRC (Headquarters and Regions) or the Agreement State. Thus, 

performance reflects the results of the collective efforts of the NRC, the Agreement States, and 

licensees. 

To the extent applicable, strategic goal measures include NRC and Agreement States licensee 

events. With respect to the second measure and metric, NRC and Agreement States' licensees have 

reported a small number of such exposures nearly every year for which reporting was required. 

Each exposure is a cause of concern, prompting us to analyze its root cause and to determine 

appropriate follow-up actions. We will always strive to prevent such events from occurring, but it 

NRC FY 2000 STRATEGIC PLAN
IN NUCLEAR MATERIALS SAFET :nE 2,• T PARo I

is possible that a few such events will occur. The NRC and the Agreement States regulate more than 20,000 materials licensees who use millions of medical procedures annually, and thousands of industrial processes for nuclear materials every day. Failure to meet this metric, or any of the others, would trigger a self-assessment of the NRC's materials arena activities to determine if 

changes are needed. 

We will use the following measures4 to assess results in achieving the Nuclear Materials 

Safety strategic goal:

Measures * No deaths resulting from acute radiation exposures from civilian uses of source, byproduct, or special nuclear materials, 

or deaths from other hazardous materials used or produced 

from licensed material. 

* No more than six events per year resulting in significant radiation or hazardous material exposures1 7 from the loss or 

use of source, byproduct, and special nuclear materials. 

* No events resulting in releases of radioactive material resulting from civilian uses of source, byproduct, or special nuclear 

materials that cause an adverse impact on the environment. 7 

* No losses, thefts, or diversion of formula quantities of strategic special nuclear material; radiological sabotages; or 

unauthorized enrichment of special nuclear material regulated by the NRC. 18 

* No unauthorized disclosures or compromises of classified information causing damage to national security.19

NRC FY 2000 STRATEGIC PLAN
VOUE20 ATINCERMTRASSFT

PERFORANCE GOAL: Maintain safety, protection of the environment, and the 

common defense and security.

This is the NRC's pre

eminent performance goal, which A 

has a higher priority than the M 

other Nuclear Materials Safety OR 

performance goals. In working -I- SD 

toward this goal the NRC will WI 4 

apply its Principles of Good ;P 

Regulation. Principles NJ 

applicable to this goal are U .D 

related to independence, 

openness, regulatory clarity, 

and reliability. 

This represents a composite AL 

approach for the many cate

gories of licensees represented 

in this arena. Because of the 

diversity within and among 

licensed activities in this arena, H Agreement States (32) 

and the risks involved in the 

activities, additional safety NRC Agreement States 

improvements in certain 

areas may be warranted. Most nuclear material facilities and a large majority of materials licensees 

have operated safely and securely for many years. Certain elements of the fuel cycle and materials 

industries are mature, and practices and standards already in place have been tested over time and 

found to be acceptable in maintaining safety and security. On the other hand, other elements of 

this arena involve newer technologies and practices. As new technologies and other advances are 

introduced by applicants or licensees, the NRC will determine, on a case-by-case basis, when early 

notification of the States is warranted. 

The arena also recognizes the NRC's shared regulatory responsibility with the 32 Agreement 

States. The NRC has to ensure that the State programs are adequate and compatible with its own 

regulatory programs to attain a uniform nuclear safety policy throughout the Nation. This 

uniformity will take on increased significance as more States assume regulatory authority for 

materials safety over the next several years. In recognition of the important contributions of the 

Agreement States toward maintaining safety, the NRC will encourage States to pursue a more 

active role in the implementation of strategies that contribute to the safety performance goal. The 

NRC and Agreement States will take decisive action to improve the safety performance of 

licensees identified as operating below acceptable levels for ensuring public health and protection 

from undue hazards. 

NRC FY 2000 STRATEGIC PLAN 4
NUCLAR MTERALS AFEY VOUME2, PRT*

For our uranium recovery activities, most of the work supporting the safety oversight of 

DOE's remedial actions to clean up inactive mill sites is completed. Thus, the program's focus will 

be on controlling the radiological and non-radiological hazards of mill tailings sites and assuring 

the safe operation of uranium extraction facilities. 

The NRC will continue to protect the public, workers, and the environment and ensure that 

licensed and authorized activities will not be inimical to the common defense and security. This 

protection will be accomplished by ensuring that regulated materials 16 activities are undertaken 

consistent with applicable statutes and regulations. In so doing, the NRC will continue to provide 

reasonable assurance that adverse impacts from licensees' use of byproduct, source, and special 

nuclear material will be prevented. This protection also entails maintaining a high assurance 

against loss, theft, diversion, or unauthorized enrichment of nuclear material; sabotage of nuclear 

facilities; and disclosure of classified information. 

The NRC will employ the following strategies to maintain safety, protection of the 

environment and the common defense and security: 

Strategies We will continue to improve the regulatory framework20 to 

increase our focus on safety and safeguards, including 

incremental use of risk-informed9 and, where appropriate, less 

prescriptive performance-based9 regulatory approaches to 

maintain safety. 

We will continue authorizing licensee activities only after 

determining that these proposed activities will be conducted 

consistent with the regulatory framework. 

We will confirm that licensees understand and carry out their 

primary responsibility for conducting activities consistent with 

the regulatory framework. 

We will respond to operational events involving potential safety 

oir safeguards consequences. 

We will maintain safety by continuing to evolve along with 

Agreement States materials programs into a single "National 

Materials Program" by encouraging the States to continue to 

pursue a more active role in the regulatory process. 

The NRC will use measures to assess results in our effort to maintain safety and protect the 

environment and to promote the common defense and security. These include events involving the 

NRC and Agreement States. Many of the events that are counted in these measures do not, on an 

individual basis, have a public health and safety impact. For example, most of the losses of control 

14 NRC FY 2000 STRATEGIC PLAN
VOUE2* AT1NCERMTRASSFT

of licensed material are of shielded material, unlikely to result in overexposures or releases to the 

environment. Others are medical events that include underexposures (i.e., radiation treatments 

involving less radiation than the physician intended). These events are included because they may 

indicate program weaknesses, which, if ignored, could later trigger a more significant problem. 

The NRC will use the following measures: 

Measures • No more than 350 losses of control of licensed material per 

year.

21 

* No occurrences of accidental criticality. 

* No more than 20 events per year resulting in radiation 

overexposures22 from radioactive material that exceed 

applicable regulatory limits. 

* No more than 45 medical events per year23 

* No more than 40 releases per year to the environment of 

radioactive material from operating facilities that exceed the 

regulatory limits. 24 

* No non-radiological events that occur during the 

NRC-regulated operations that cause impacts on the 

environment that can not be mitigated within applicable 

regulatory limits, using reasonably available methods. 25 

* No more than five substantiated cases per year of attempted 

malevolent use of source, byproduct, or special nuclear 

material. 

No breakdowns of physical protection or material control and 

accounting systems resulting in a vulnerability to radiological 

sabotage, theft, diversion, or unauthorized enrichment of 

special nuclear material.26 

NRC FY 2000 STRATEGIC PLAN
NUCLAR ATERALSSAFTY VLU ME , PRTS

PERFORMANCE GOAL: Increase public confidence. 

The NRC views building and 

maintaining public trust and 

confidence that the NRC is .. carrying out its mission as an 

important performance goal for 

the agency. To reach this goal, 

the NRC must be viewed as an 

independent, open, efficient, 

clear and reliable regulator. 

This will be accomplished by 

providing our stakeholders with 

clear and accurate information 

about, and a meaningful role in, 

our regulatory programs. TheZ 

NRC desires that diverse stake

holder groups (i.e., general 

public, Congress, NRC )1 = licensees, other Federal agencies, A 

States, Indian Tribes, local Quality control test on mill tailings cover at L-Bar site in New Mexico. 

governments, industry, industry 

workers, technical societies, the 

international community, and citizen groups) increasingly recognize that NRC actions assure that public health and safety, the common defense and security, and the environment are, and will remain, adequately protected from hazards resulting from the use of nuclear materials. 

The NRC must continue to forthrightly inform the public about nuclear safety and safeguards incidents and issues and provide avenues for meaningful input and dialogue. However, discussing in a public forum issues involving nuclear security or related to national defense is not usually prudent. Because of the diversity of stakeholder and public interests within this arena, the goal includes recognition that the NRC may not always be able to obtain a consensus among its stakeholders. This goal also includes recognition that, although the public may not always agree with the NRC's actions, public confidence in the NRC is enhanced when the agency listens to all interested parties, provides appropriate feedback, and makes its decisions in a thorough, 

disciplined, and timely manner. 

ý414 NRC FY 2000 STRATEGIC PLAN
VOUE20 AT1NCERMTRASSFT

The NRC will employ the following strategies to increase public confidence:

Strategies " We will make public participation in the regulatory process 

more accessible. We will listen to their concerns and involve 

them more fully in the regulatory process. 

" We will communicate more clearly. We will add more focus, 

clarity, and consistency to our message; be timely; and present 

candid and factual information in the proper context with 

respect to the risk of the activity. 

We will continue to enhance the NRC's accountabilyt and 

credibility by being a well-managed, independent regulatory 

agency. We will increase efforts to share our accomplishments 

with the public. 

We will continue to foster an environment in which safety issues 

can be openly identified without fear of retribution.

We will use the following measures to assess the results in our efforts to increase public 

confidence: 

Measures Complete the milestones in the annual Performance Plan 

relating to collecting, analyzing, and trending information for 

measuring public confidence. 

Complete all of the public outreaches as scheduled in the 

annual Performance Plan. 

Complete the milestones specific to the agency allegation 

program effectiveness assessment plan as identified in the 

annual Performance Plan. 

* Issue Director's Decisions for petitions filed to modify, suspend, 

or revoke a license under 10 CFR 2.20614 within an average of 

120 days. 15

NRC FY 2000 STRATEGIC PLAN
NUCLAR MTERALS AFEY VOUME2, PRT0

PERFORMANCE GOAL: Make the NRC activ~ities and decisions more effectiv~e, 

efficient, and realistic.

o FSigns Wood Flooring

Radioactive materials are used in a wide variety of applications besides fuel for nuclear power plants. 

The NRC will continue to improve its regulatory processes so that they become more effective, 

efficient, and realistic. The NRC, and the Organization of Agreement States, will identify and 

focus on necessary and sufficient regulatory activities that are linked to its goals. In those 

regulatory activities, the NRC will strive to optimize regulatory programs and processes, where 

possible, while assuring safety and security and improving public confidence. In working toward 

this performance goal, the NRC will apply its Principles of Good Regulation, which include 

efficiency, clarity, and reliability. 

The NRC will ensure that its decisions are scientifically-based; risk-informed; and shaped by 

operational experience, new information, and research, including cooperative international 

activities. As a result, the NRC's decisions will be realistic, will be systematic, and will 

appropriately treat areas of uncertainty. The NRC will ensure that its procedures, processes, and 

expectations are better-defined, clearer, and more transparent. The NRC's regulatory actions will 

support more consistent, reliable, predictable, and timely decision-making. Furthermore, the NRC 

will seek to minimize duplication of efforts with stakeholders to achieve this goal, while relying 

on the technical and managerial competence of its staff to achieve success.

NRC FY 2000 STRATEGIC PLAN

P am
I OLUME 2, P 1 NUCLEAR MTERIALS

The NRC will employ the following strategies to make the NRC activities and decisions more 

effective, efficient, and realistic:

Strategies " We will continue to improve the regulatory framework to 

increase our effectiveness, efficiency, and realism. 

" We will identify, prioritize, and modify processes based on 

effectiveness reviews to maximize opportunities to improve 

those processes. 

" We will improve efficiency and effectiveness by continuing to 

evolve along with Agreement States materials programs into a 

single "National Materials Program" by encouraging the 

States to continue to pursue a more active role in the regulatory 

process.

The NRC will employ the following measures to make NRC activities and decisions more 

effective, efficient, and realistic: 

Measures Complete those specific materials milestones in the 

Risk-Informed Regulation Implementation Plan identified for 

completion in the annual Performance Plan. 

Complete at least two key process improvements per year in 

selected program and support areas that increase efficiency, 

effectiveness, and realism.

NRC FY 2000 STRATEGIC PLAN ( 1
NUCLAR MTERALS AFEY VOUME2, PRT3

PERFORMA•NCE GOAL: Reduce unnecessary regulatory burden on stakeholders. 

Uranium Recovery Waste Treatment 

Incoming UF6 Vaporization U02 Powder Powder Processing/ Fuel Rod/ Transport to 

UF6 Cylinders Production Pellet Manufacturing Bundle Assembly/ Nuclear Reactors 

Quality Check 

The NRC licenses and inspects all commercial nuclear fuel facilities involved in the processing and fabrication of uranium 

ore into reactor fuel. A typical fuel fabrication plant is illustrated above. 

The NRC will strive to reduce unnecessary regulatory burden and associated costs if possible, 

while achieving the other three performance goals. Unnecessary regulatory burden for the NRC 

licensees may be defined as requirements that go beyond what is necessary and sufficient for 

providing reasonable assurance that public health and safety, the environment, and the common 

defense and security will be protected. The costs associated with NRC activities can impact a 

variety of NRC stakeholders. For some stakeholders, such as States and the public, costs could 

potentially result from actions by States or other federal agencies with concurrent jurisdiction to 

augment the NRC regulatory program, clean up sites, or dispose of radioactive material that are 

paid for with public funds. For others, such as applicants and licensees, unnecessary burden may be imposed by an overly detailed technical review that could result in increased costs that are 

passed on to the consumer. 

Although regulation, by its nature, is a burden, the NRC will ensure that only the level of 

burden necessary to maintain safety is imposed on licensees. This burden reduction can be 

achieved by using risk-informed and performance-based approaches, if justified, to focus attention 

on those areas of highest safety priority and by making more realistic decisions without excessive 

conservatism. 

Consideration will be given to making regulatory burden commensurate with the risk of the 

regulated activity and the enhanced benefit to the workers, the public, and the environment. 

Furthermore, regulatory burden associated with a safety enhancement will be considered in light 

of a cost/benefit analysis prior to the imposition of a new regulatory requirement. Regulatory 

oversight will be fair, consistent, effective, and timely in its application. Costs associated with the 

regulatory infrastructure must be fair, equitable, and shared by all users. In particular, we will 

ensure that NRC actions minimize the potential for future bankruptcies that could impose burden 

on the public (e.g., actions involving the remediation of uranium recovery sites). 

*PA NRC FY 2000 STRATEGIC PLAN 
VOUE2* AT1NCERMTRASSFT

The NRC will employ the following strategies to reduce unnecessary regulatory burden on 

stakeholders: 

Strategies We will continue to improve our regulatory framework in order 

to reduce unnecessary regulatory burden. 

We will improve and execute our programs and processes in 

ways that reduce unnecessary costs to our stakeholders. 

We will actively seek stakeholder input to identify opportunities 

for reducing unnecessary regulatory burden. 

The NRC will use the following measures to assess results in reducing unnecessary regulatory 

burden: 

Measures - Complete those specific milestones to reduce unnecessary 

regulatory burden as identified in the Annual Performance 

Plan. 

Reduce paperwork and record keeping imposed by the NRC on 

its licensees by at least 25 percent over a period of 5 years.

NRC FY 2000 STRATEGIC PLAN
VOUE2,PR

NUCLEAR 

WASTE SAFETY

This strategic goal represents 

the principal focus of the Nuclear 

Waste Safety arena. The goal is 

to achieve our mission and ful

fill our statutory requirements. 

The NRC licensees 3 are respons

ible for safe transport, storage, 

and disposal of radioactive waste. 

The NRC licensees are also 

responsible for designing, 

constructing, operating, and 

remediating the wide variety 

of facilities or sites within the 

scope of this arena. Regulatory 

oversight of licensee activities 

is the responsibility of the 

NRC; however, the NRC has 

relinquished its regulatory 

authority for some activities in 

this arena to Agreement States. 

Thus, performance reflects the Proposi 

results of the collective efforts of 

the NRC, the Agreement States, and licensees.

( 

k

Sri 

JAr

C'

A

ed high-level waste disposal site at Yucca Mountain, Nevada.

Nuclear waste is a byproduct of the use of radioactive materials. Such waste is produced by nuclear reactors, fuel processing plants, and institutions such as hospitals and research facilities. It 

also results from decommissioning nuclear reactors and other facilities that are permanently shut 

down. High-level radioactive waste results primarily from the fuel used by reactors to produce 

energy. Low-level radioactive waste results from reactor operations and from medical, academic, 

industrial, and other commercial uses. 

We will use the following measures4 to assess results in achieving the Nuclear Waste Safety 

strategic goal:

NRC FY 2000 STRATEGIC PLAN 43

STRA TEGIC GOAL: Prevent significant adverse impacts from 

radioactive waste to the current and future public health and safety and 

the environment, and promote the common defense and security.
NULA WAT SAET VOUE20ATIM

PERFORMALNCE GOAL: Maintain safety; protection of the environment, and the 

common defense and security. 

I -I __ " - _ ••• _ _ -• _ - i!"i• _Jii! 

This is the NRC's primary 

performance goal, which has a 

higher priority than the other P 

Nuclear Waste Safety per

formance goals. In working 

toward this goal, we will apply r• 

the NRC's Principles of Good 

Regulation. Principles applicable to this goal are related 

to independence, openness, 

regulatory clarity, and reliability. 

The NRC will structure its 4 

activities to ensure that current 

levels of safety are maintained 

for this arena now and in the 

future. With respect to the Low-level waste disposal facility in Hanford, Washington. 

High Level Waste program, the 

NRC is applying a regulatory 

framework 20 to prelicensing reviews and consultations with the Department of Energy (DOE) to 

resolve, at the staff level, issues most important to repository safety and preparing to address the 

licensing phase of this process if the Presidential and Congressional decisions are made regarding 

site approval and a license application is submitted. For the low-level waste program, the NRC's 

NRC FY 2000 STRATEGIC PLAN

Measures * No deaths resulting from acute radiation exposures from 

radioactive waste. 

* No events resulting in significant radiation exposures27 from 

radioactive waste. 

* No releases of radioactive waste causing an adverse impact on 

the environment. 7 

* No losses, thefts, diversions, or radiological sabotages18 of 

special nuclear material or radioactive waste.

_________________________________________________________ I
0 P IA•NULA AOLUME WASTE A, SAFETY

focus will be to maintain a consistent national program and provide support to the States, as 

requested, to resolve specific technical issues and to review requests for onsite disposal. Our 

program for decommissioning nuclear reactors and fuel cycle facilities will receive more attention 

as the NRC considers options, including (1) an integrated, risk-informed rulemaking for 

decommissioning nuclear reactors that addresses emergency planning, insurance, safeguards, 

operator staffing and training, and other potential areas and (2) activities related to the release of 

solids. In addition, decommissioning will be impacted as the NRC makes a transition toward a 

more risk-informed and streamlined process through the preparation of implementing guidance for 

the recently finalized license termination rule. 

Protecting future generations is a unique aspect of the Nuclear Waste Safety arena. This 

protection is accomplished through maintaining requirements for such protection in our 

regulations and authorizing licensee activities only after determining that proposed activities will 

protect both current and future generations. This approach is reflected in the first and second 

strategies for this arena. 

For certain waste arena activities located in Agreement States (i.e., low-level waste disposal 

and non- reactor decommissioning), the NRC has relinquished regulatory authority to those States. 

The NRC has to ensure that these State programs are adequate and compatible with its own 

regulatory programs to attain a uniform nuclear safety policy throughout the Nation. Therefore, 

safety performance reflects the results of the collective efforts of the NRC, the Agreement States, 

and the regulated community. 

The NRC will continue to protect the public, workers, and the environment and ensure that 

licensed and authorized activities will not be inimical to the common defense and security. This 

protection will be accomplished by ensuring that regulated waste activities are undertaken 

consistent with applicable statutes and regulations. In so doing, the NRC will continue to provide 

reasonable assurance that adverse impacts caused by radiological exposure 27 will be prevented for 

facilities and activities associated with uranium recovery, decommissioning, storage of spent 

nuclear fuel, transportation of radioactive materials, and disposal of nuclear waste. This also 

entails maintaining a high assurance against loss, theft, diversion, sabotage, and protection of 

classified matter to protect the common defense and security. 

The NRC will employ the following strategies to maintain safety and protection of the 

environment and to promote the common defense and security: 

Strategies * We will continue developing a regulatory framework to 

increase our focus on safety, including the incremental use of 

risk-informed9 and, where appropriate, less prescriptive 

performance-based9 regulatory approaches to maintain safety.

NRC FY 2000 STRATEGIC PLAN
NUCLAR WSTESAFEY VOUME2, PRT

Strategies We will continue authorizing licensee activities only after 

(cont) determining that these proposed activities will be conducted 

consistent with the regulatory framework. 

We will confirm that licensees understand and carry out their 

primary responsibility for conducting activities consistent with 

the regulatory framework. 

We will respond to operational events involving potential safety 

or safeguards consequences. 

We will evaluate potential new information from research, new 

safety issues, changing external factors, international 

programs, and licensee operational experience so that 

improvements can be made to maintain an adequate regulatory 

framework. 

We will keep pace with the national high-level waste 

management program. We will apply the regulatory framework 

to prelicensing reviews and consultations with DOE to resolve 

the issues most important to repository safety and prepare for 

addressing a licensing decision within the statutory time 

period. 

The NRC will use the following measures 4 to assess results in maintaining safety, protecting 

the environment, and promoting common defense and security: Meaure 28fo 

Measures * No events resulting in radiation overexposures from 

radioactive waste that exceed applicable regulatory limits. 

• No breakdowns ofphysical protection resulting in a 

vulnerability to radiological sabotage, theft, diversion, or loss 

of special nuclear materials or radioactive waste. 29 

No radiological releases30 to the environment from operational 

activities that exceed the regulatory limits. 

• No instances where radioactive waste and materials under the 

NRC's regulatory jurisdiction cannot be handled, transported, 

stored, or disposed of safely now or in the future. 

NRC FY 2000 STRATEGIC PLAN
VOUE2S ATINCERWSESFT

PERFORMANCE GOAL: Increase public confidence. 

The NRC views building 

and maintaining public trust and 

confidence that the NRC is 

carrying out its mission as an 

important performance goal for the agency. To reach this goal, 

the NRC must be viewed as an 

independent, open, efficient, I 7 

clear and reliable regulator. This 

will be accomplished by pro

viding our stakeholders with 

clear and accurate information Li 

about, and a meaningful role in, 

our regulatory programs. The 

NRC desires that diverse stake- Spent reactor fuel is carried in containers that are specially designed to 

holder groups (i.e., general withstand accident conditions without releasing their radioactive contents. 

public, Congress, the NRC 

licensees, other Federal agencies, States, Indian Tribes, local governments, industry, industry 

workers, technical societies, the international community, and citizen groups) increasingly 

recognize that the NRC actions assure that public health and safety, the common defense and 

security, and the environment are, and will remain, adequately protected from hazards resulting 

from the activities in the Nuclear Waste Safety arena. 

The NRC will employ the following strategies to increase public confidence: 

Strategies * We will make public participation in the regulatory process 

more accessible. We will listen to their concerns and involve 

them more fully in the regulatory process. 

*We will communicate more clearly. We will add more focus, 

clarity, and consistency to our message; be timely; and present 

candid and factual information in the proper context with 

respect to the risk of the activity. 

We will continue to enhance the NRC's accountability and 

credibility by being a well-managed, independent regulatory 

agency. We will increase efforts to share our accomplishments 

with the public. 

NRC FY 2000 STRATEGIC PLAN 427 i 
NUCLAR WSTESAFEY IVOLUE 2

Strategies • We will continue to foster an environment where safety issues 

(cont) can be openly identified without fear of retribution. 

We will use the following measures to increase public confidence: 

Measures Complete the milestones in the annual Performance Plan 

relating to collecting, analyzing, and trending information for 

measuring public confidence. 

* Complete all of the public outreaches as scheduled in the 

annual Performance Plan. 

• Complete the milestones specific to the agency allegation 

program effectiveness assessment plan as identified in the 

annual Performance Plan. 

Issue Director's Decisions for petitions filed to modify, suspend, 

or revoke a license under 10 CFR 2.20614 within an average of 120 days. 15 

PERFORMANCE GOAL: Make the NRC activities and decisions more effective, 

efficient, and realistic. 

The NRC will continue to improve its 

regulatory processes so that they become 

more effective, efficient, and realistic. 

The NRC will identify and focus on 

necessary and sufficient regulatory 

activities that are linked to its goals. In 

those regulatory activities, the NRC 

will strive to optimize regulatory pro

grams and processes, where possible, 

while assuring safety and improving 

public confidence. In working toward 

this performance goal, the NRC will 

apply its Principles of Good Regulation 

which include improved efficiency, 

clarity, and reliability. 

The NRC will ensure that its 

decisions are scientifically-based; 

risk-informed; and shaped 

by operational experience, new 

information, and research, including Decommissioning Fort St. Vrai reactor in Colorado. 

NRC FY 2000 STRATEGIC PLAN
VOUM 2,PR. 1NCEA ATESFT

cooperative international activities. As a result, the NRC's decisions will be realistic, will be 

systematic, and will appropriately treat areas of uncertainty. The NRC will ensure that its 

procedures, processes, and expectations are better-defined, clearer, and more transparent. The 

NRC regulatory actions will support more consistent, reliable, predictable, and timely 

decision-making. Furthermore, the NRC will seek to minimize duplication of efforts with 

stakeholders to achieve this goal, while relying on the technical and managerial competence of its 

staff to achieve success. To avoid duplication of research activities being performed by other 

countries, we will coordinate our research programs with other countries, thus leveraging our 

research funds. 

The NRC will employ the following strategies to make the NRC activities and decisions more 

effective, efficient, and realistic: 

Strategies * We will continue to improve the regulatory framework to 

increase our effectiveness, efficiency, and realism. 

* We will identify, prioritize, and modify processes based on 

effectiveness reviews to maximize opportunities to improve 

those processes. 

The NRC will use the following measures to make the NRC activities and decisions more 

effective, efficient, and realistic:

Measures

_________________________________________________________ J

* Complete those specific waste milestones in the Risk-Informed 

Regulation Implementation Plan identified for completion in 

the annual Performance Plan. 

Complete at least two key process improvements per year in 

selected program and support areas (considering internal and 

external input) which increase efficiency, effectiveness, and 

realism. 

Complete all major prelicensing milestones needed to prepare 

for a licensing review of the Yucca Mountain repository, 

consistent with DOE's schedules and before DOE submits its 

license application. 31

NRC FY 2000 STRATEGIC PLAN
NUCLAR WSTESAFEY VOMýE2, PRTa

PERF'ORMAN4VCE GOAL: Reduce unnecessaty regulatory burden on stakeholders.

The NRC will strive to reduce 

unnecessary regulatory burden 

and associated costs if possible, 

while achieving the other three 

performance goals. Unnecessary 

regulatory burden for the NRC 

licensees may be defined as 

requirements that go beyond 

what is necessary and sufficient 

for providing reasonable assur

ance that public health and safety, 

the environment, and the common 

defense and security will be pro

tected. The costs associated with 

NRC activities can impact a 

variety of NRC stakeholders. 

For some stakeholders, such as 

States and the public, costs could 

potentially result from actions by 

States to augment the NRC 

regulatory program, clean up 

sites, or dispose of radioactive

4

I cP 

Storage casks at Surry Nuclear Power Plant in Virginia.

material that are paid for with public funds. For others, such as applicants and licensees, 

unnecessary burden may be imposed by an overly detailed technical review that could result in 

increased costs that are passed on to the consumer. 

Although regulation, by its nature, is a burden, the NRC will ensure that only the level of 

burden necessary to maintain safety is imposed on licensees. This burden reduction can be 

achieved by using risk-informed and performance-based approaches, if justified, to focus attention 

on those areas of highest safety priority and by making more realistic decisions without excessive 

conservatism. 

Consideration will be given to making regulatory burden commensurate with the risk of the 

regulated activity and the enhanced benefit to the workers, the public, and the environment. 

Furthermore, regulatory burden associated with a safety enhancement will be considered in light 

of a cost/benefit analysis prior to the imposition of a new regulatory requirement. Regulatory oversight will be fair, consistent, effective, and timely in its application. Costs associated with the 

regulatory infrastructure must be fair, equitable, and shared by all users.

NRC FY 2000 STRATEGIC PLAN
I VOLUMEn, P 1 l NWAS-" AFET

The NRC will employ the following strategies to reduce unnecessary regulatory burden on 

stakeholders: 

Strategies We will continue to improve our regulatory framework in order 

to reduce unnecessary regulatory burden. 

We will improve and execute our programs and processes in 

ways that reduce unnecessary costs to our stakeholders. 

We will actively seek stakeholder input to identify opportunities for reducing unnecessary regulatory burden. 

The NRC will use the following measure to reduce unnecessary regulatory burden on 

stakeholders: 

Measures Complete those specific milestones to reduce unnecessary 

regulatory burden as identified in the Annual Performance 

Plan.

NRC FY 2000 STRATEGIC PLAN
I 0OUEAT

INTERNATIONAL NUCLEAR 

SAFETY SUPPORT 

STRATEGIC GOAL: Support U.S. interests in the safe and secure use of 

nuclear materials and in nuclear nonproliferation.

Dr. William Makgoba, Chairperson for the National Nuclear Regulator of South Africa (NNR) and NRC Chairman Richard 

Meserve signing the Arrangement between the NRC and the NNR for the Exchange of Technical Information and 

Cooperation in Nuclear Safety Matters, at NRC in Rockville, Maryland, March 30, 2000. 

The International Nuclear Safety Support strategic arena 32 encompasses international nuclear 

policy formulation, export-import licensing for nuclear materials and equipment, treaty imple

mentation, nuclear proliferation deterrence, international safety assistance, and safeguards

NRC FY 2000 STRATEGIC PLAN *3i3••
INENTOA ULA SAFT SUPRSOUý,,PR

support and assistance. The NRC also participates in international safety cooperation, information 

exchange, and cooperative safety research. These activities are addressed in the individual Nuclear 

Reactor Safety, Nuclear Materials Safety, and Nuclear Waste Safety strategic arenas because that is 

where most of the results of these international efforts are used, where their major resource 

support is located, and consequently where their benefits and costs can most effectively be 

measured. These international activities, for instance, enable the NRC to gain access to non-U.S. 

safety information, which can alert NRC to potential safety problems, help NRC identify possible 

accident precursors, and provide accident or incident analyses, including lessons learned that could 

have immediate applicability to U.S. nuclear power plants and other facilities. Further, these 

activities enable NRC to leverage research dollars, exchange research results, share research 

facilities, coordinate analyses of important issues, and avoid duplication of efforts. 

The absence of further discussion of the domestic impacts of these international activities is 

not meant to diminish the direct, substantial, and valuable contributions international activities 

make to the NRC's domestic nuclear safety and cooperative research programs. The NRC 

international activities maintain support of the NRC's domestic mission, as well as of broad U.S. 

domestic and international interests. In this way, we help influence the incorporation of effective 

policies and practices into the nuclear programs of other countries and international organizations 

to improve safety and security and to reduce the potential for proliferation while gaining valuable 

knowledge, experience, and resources for our domestic regulatory and research programs. With 

every major problem in the international nuclear arena having repercussions for the NRC or the 

domestic program, and with our commitment to protect the global commons, it is in the direct 

interest of both the NRC and the United States to enhance the safe and secure operation of nuclear 

facilities worldwide. 

The NRC will employ the following strategies to support U.S. interests in the safe and secure 

use of nuclear materials and in nuclear nonproliferation: 

Strategies We will continue to take a proactive role in strengthening 

safety, safeguards, and nonproliferation worldwide. 

* We will focus appropriate agency activities and resources on 

significant international obligations and U.S. and the NRC 

international priorities. 

* We will enhance integration of international activities in the 

NRC.

Q,49 ý NRC FY 2000 STRATEGIC PLAN
VOUM 2,PR NENTOA NCERSFT UPR

The NRC will use the following measures to assess the results of our efforts to support U.S. 

interests in the safe and secure use of nuclear materials and in nuclear nonproliferation:

Measures

__________________________________________________ J

" Fulfill 100 percent of the significant obligations over which the 

NRC has regulatory authority arising from statutes, treaties, 

conventions, and Agreements for Cooperation. 33 

"* No significant proliferation incidents attributable to some 

failure of the NRC. 

"* No significant safety or safeguards events that result from the 

NRC's failure to implement its international commitments. 

" Outcomes in international forums are consistent with U.S. 

Government objectives identified as pertinent to and actively 

supported by the NRC at least 60 percent of the time.

NRC FY 2000 STRATEGIC PLAN 735
VOUE2,PRS

CORPORATE MANAGEMENT 

STRATEGIES

The Nuclear Regulatory Commission Headquarters in Rockville, Maryland.

To help accomplish our strategic and performance goals, we have established the following 

corporate management strategies: 

Corporate • Employ innovative and sound business pra ctices. 

Management Sustain a high-performing, diverse workforce. 

Strategies Provide proactive information management and information 

technology services. 

Communicate strategic change.

NRC FY 2000 STRATEGIC PLAN
CORPORAT MAAEMN STAEISVLMS ,PR

These corporate management strategies help us work together more effectively, both within 

and across strategic arenas. These strategies also help the support offices better serve their 

customers within the agency to help them achieve the agency's goals. Our corporate management 

strategies describe the means by which we will conduct business to successfully implement the 

Strategic Plan and accomplish the agency's mission. For the next update/revision cycle for the 

Strategic Plan, the NRC will develop measures for Corporate Management Strategies. Each of the 

following strategies is described in greater detail in the Strategic Plan Appendix (Volume 2, Part 

2). 

Employ Innovative and Sound Business Practices 

The NRC will employ the following supporting strategies to foster innovative and sound 

business practices: 

Supporting * We will strengthen collaborative processes for conducting 

Strategies business among support offices and between support and 

program offices. 

* We will improve customer service, balancing internal customer 

needs with overall agency priorities and available resources. 

We will find new and better ways of doing business to increase 

effectiveness and efficiency of operations. 

We will create and maintain a planning, budgeting, and 

performance management process that is focused on outcomes 

and provides an effective tool for setting goals, allocating 

resources, tracking progress, measuring results, and identifying 

areas for improvement. 

We will strengthen our financial systems and processes to 

ensure that our financial assets are adequately protected 

consistent with risk and that our financial information is better 

integrated with decision-making. 

We will acquire goods and services in an efficient manner that 

helps to accomplish our mission, ensures fair and equitable 

treatment for all parties wishing to do business with the NRC, 

and results in the best value to the NRC. 

•• NRC FY 2000 STRATEGIC PLAN
VOUE2,PR* CORPORAT MANAEETSRTGE

Supporting We will modify our management and organizational structure, 

Strategies as appropriate, to meet the changing demands of internal and 

(cont) external factors, such as the economic deregulation of the 

electric utility industry and any resulting consolidation of the 

nuclear industry. 

Sustain a High-Performing, Diverse Workforce 

We will employ the following supporting strategies to sustain a high-performing, diverse 

workforce: 

Supporting -We will recruit, hire, and retain a high-quality, diverse 

Strategies workforce with the skills needed to achieve our mission and 

goals. 

We will foster a work environment that is free of discrimination 

and provides opportunities for all employees to optimally use 

their diverse talents in support of our mission and goals. 

We will base our human resource decisions on sound workforce 

planning and analysis. 

We will improve the capability of our workforce through 

training, development, and continuous learning. 

We will select and develop strong managers who can provide 

vision and strategic leadership. 

We will focus on results by linking rewards and recognition to 

outcomes and organizational effectiveness. 

Provide Proactive Information Management and Information Technology Services 

We will employ the following supporting strategies to use information and information 

technology to achieve the NRC's efficiency and effectiveness goals: 

Supporting We will work jointly with program and support offices to 

Strategies integrate information technology and business planning as a 

means of achieving agency goals and strategies.

NRC FY 2000 STRATEGIC PLAN 39
COPOAT MANAG T STRAEIEOl 2 T!=' I i

Supporting 0 We will make it easier for the staff to acquire, access, and use 

Strategies the information they need to perform their work. 

(cont) 

We will assume a leadership role in improving the agency 

staff's capability to use current and planned information 

technology to enhance performance. 

* We will provide and maintain a robust, reliable, cost-effective, 

and "user-friendly" information technology infrastructure that 

is driven by the agency business needs. 

We will work jointly with stakeholders to optimize the delivery 

of information technology and management service. 

We will improve the ability of the NRC and external entities to 

conduct our mutual business electronically. 

We will provide external stakeholders the ability to easily 

access desired publicly available information to aid in their 

participation in the NRC's regulatory processes, and to 

enhance understanding of the agency's mission, goals, and 

performance. 

Communicate Strategic Change 

We will use the following supporting strategies to establish, evaluate, and sustain effective 

methods of communication with our stakeholders: 

Supporting • We will review and assess the effectiveness of communication 

Strategies channels and methods within the NRC to ensure that they 

support the needs of a changing environment. 

* We will assess the effectiveness of communications by 

evaluating the effectiveness of communication channels or 

methods used to provide information to the public. 

On the basis of the assessments above, we will develop and 

implement communication plans that support strategic change 

and foster the desired work environment. 

NRC FY 2000 STRATEGIC PLAN
I VOLUME. 2RORO••.1.1. . - ]

Supporting 

Strategies 

(cont)

We will improve communication with the public by using 

strategies that recognize the ongoing changes in the 

environment external to the agency. 

We will respond to requests and inquiries from stakeholders in 

a timely, courteous, and professional manner. 

We will identify regulatory decisions or issues that are most 

likely to generate substantial public interest at an early stage of 

development and initiate actions to inform and involve the 

public.

NRC FY 2000 STRATEGIC PLAN
VOUE2,PRS

ENDNOTES 

1. As used in this Strategic Plan, "civilian" usage or activities refer to those commercial and 

other uses of nuclear materials and facilities, including certain military activities (such as at hospitals, high-level waste disposal, and Naval nuclear fuel fabrication), required by the Atomic Energy Act to be licensed and otherwise regulated by the NRC. 

2. The term "radiation-related" as used in this document includes other hazards associated with the production and use of radioactive materials such as potential chemical hazards related to 

fuel processing. 

3. "Licensees" as used in this strategic plan include persons required to be licensed (as defined in Section 11(s) of the Atomic Energy Act, as amended) as well as, where appropriate, applicants for NRC licenses, certificate of compliance holders and applicants for certificates of compliance, contractors (including subcontractors, suppliers, consultants, and vendors), and 

all persons subject to NRC's regulatory jurisdiction. 

4. Specific values of the metrics were, in general, set after consideration of past performance. Failure to meet a metric target will generally prompt a re-evaluation of the involved programs and activities. However, some failures to meet some metrics may be due solely to randomness in the timing of events and not due to a change in underlying level of safety. In such cases, no 

changes to programs or activities would be warranted. 

5. "Nuclear reactor accidents" are defined in the NRC Severe Accident Policy Statement (50 Federal Register 32138, August 8, 1985) as those accidents which result in substantial 

damage to the reactor core, whether or not serious offsite consequences occur. 

6. "Significant radiation exposures" are defined as those that result in unintended permanent functional damage to an organ or a physiological system as determined by a physician in 

accordance with Abnormal Occurrence Criterion I.A.3. 

7. Releases that have the potential to cause "adverse impact" are currently undefined. As a 

surrogate, we will use those that exceed the limits for reporting abnormal occurrences as given by AO criterion 1.B.1 (normally 5,000 times Table 2 (air and water) of Appendix B, 

Part 20). 

NRC FY 2000 STRATEGIC PLAN A
ENDNTES OLUý 2, ARTS

8. Regulatory Guide 1.174, "An Approach for Using Probabilistic Risk Assessment in 

Risk-Informed Decisions in Plant Specific Changes to the Licensing Basis," establishes 

general principles for using risk information in NRC review and approval of licensing actions. 

9. Stated succinctly, risk-informed, performance-based regulation is an approach in which risk 

insights, engineering analysis and judgement, and performance history are used to (1) focus 

attention on the most important activities, (2) establish objective criteria based upon risk 

insights for evaluating performance, (3) develop measurable or calculable parameters for 

monitoring system and licensee performance, and (4) focus on the results as the primary basis 

of regulatory decision-making. This definition is contained in the Commission White Paper 

on this subject, which can be located at www.nrc.gov/NRC/COMMISSION/SRM/ 

1998-144srm.html. 

10. Such events have a 1/1000 (10- 3) or greater probability of leading to a reactor accident. 

11. The agency provides oversight of plant safety performance on a plant-specific basis as well as 

on an industry-wide basis. As a refinement to the existing process, the specific parameters and 

criteria for measuring statistically significant adverse trends in industry-wide safety 

performance will be developed. The parameters to be monitored will include NRC-approved 

performance indicators, inspection findings, accident sequence precursor results, and other 

risk-related indications or measures of industry safety performance that will be developed and 

qualified for use in phases. 

12. Overexposures are those that exceed limits as provided by 10 CFR 20.2203(a)(2), excluding 

instances of overexposures involving a shallow dose equivalent from a discrete radioactive 

particle in contact with the skin. 

13. Releases for which a 30 day reporting requirement under 10 CFR 20.2203(a)(3) is required. 

14. A 10 CFR 2.206 petition is a written request filed by any person to institute a proceeding to 

modify, suspend, or revoke a license, or for any other enforcement action. The petition 

specifies the action requested and sets forth the facts that constitute the basis for the request. 

The NRC evaluates the technical merits of the safety concern or investigates the wrongdoing 

presented by the petition. Based on the facts determined by the NRC technical evaluation or 

investigation of the merits of the petition, the Director will issue a decision to grant the 

petition, in whole or in part, or deny the petition. The Director's Decision explains the bases 

upon which the petition has been granted and identifies the actions that NRC staff has taken or 

will take to grant the petition in whole or in part. Similarly, if the petition is denied, the 

Director's Decision explains the bases for the denial and discusses all matters raised by the 

petitioner in support of the request. 

4• NRC FY 2000 STRATEGIC PLAN
VOUM 2,PRISEDOE

15. The start time of the 120 days is the date that the Petition Review Board (PRB) determines 

that the proposed petition satisfies the criteria of NRC Management Directive (MD) 8.11, "Review Process for 10 CFR 2.206 Petitions" and acknowledges by letter the petitioner's 

request. MD 8.11 is currently being revised to allow the petitioner and the licensee various 

opportunities to participate in the petition process. This additional stakeholder involvement 

may have an effect on the 120 day performance measure. 

16. For fuel cycle activities, this extends to other hazardous materials used with, or produced 

from, licensed material, consistent with proposed amendments to 10 CFR Part 70. It also 

includes exposures from uranium recovery activities under the Uranium Mill Tailings 

Radiation Control Act. 

17. Significant exposures are defined as those that result in unintended permanent functional 

damage to an organ or a physiological system as determined by a physician. Hazardous 

material exposures only apply to fuel cycle and uranium recovery activities in the Materials 

Arena. 

18. In accordance with Appendix G to 10 CFR part 73 and 10 CFR 74.11(a). 

19. In accordance with the requirements of 10 CFR 95.57. 

20. In this context, the regulatory framework consists of several interrelated aspects. They are: 1) 

the NRC's mandate from Congress in the form of enabling legislation; 2) the NRC's rules in 

Title 10 of the Code of Federal Regulations; 3) the regulatory guides and review plans that 

amplify those regulations; 4) the body of technical information, obtained from research 

performed by the NRC or by others and from evaluation of operational experience, that 

supports the positions in the rules and guides and review plans; 5) the licensing and inspection 

procedures utilized by the staff; and 6) the enforcement guidance. 

21. Material entering the public domain in an uncontrolled manner. The Nuclear Materials Event 

Data base contains the list of these events as reported by the NRC licensees and, through the 

Agreement States, their licensees. 

22. Overexposures are those maximum annual exposures that exceed limits as provided by 10 

CFR 20.2203(a)(2). For fuel cycle activities, this extends to other hazardous materials used 

with, or produced from, licensed material, consistent with proposed amendments to 10 CFR 

70. Reportable chemical exposures are those that exceed license commitments. It would also 

include chemical exposures involving uranium recovery activities under the Uranium Mills 

Tailings Radiation Control Act. 

23. Medical events as reported under 10 CFR 35. 

24. Releases for which a 30 day reporting requirement under 10 CFR 20.2203(a)(3) is required. 

NRC FY 2000 STRATEGIC PLAN -4
mmNOE 0OUE2 ,R

25. This involves chemical releases from the NRC regulated activities under the Uranium Mill 

Tailings Radiation Control Act. 

26. We recognize that no explicit reporting requirements exist for substantiated breakdowns of 

programs. The NRC relies on its safeguards inspection findings and licensee notifications. 

27. Significant radiation exposures are defined as those that result in unintended permanent 

functional damage to an organ or a physiological system as determined by a physician. 

28. Overexposures are those that exceed limits as provided by 10 CFR 20.2203(a)(2). 

29. We recognize that no explicit reporting requirements exist for substantiated breakdown 

determination. The NRC relies on its safeguards inspection findings and licensee notifications. 

30. Releases for which a 30 day reporting requirement under 10 CFR 20.2203(a)(3) is required. 

This measure includes only radiological releases. 

31. Prelicensing activities such as this constitute informal conferences between a prospective 

applicant and the staff and are not part of a potential licensing proceeding. 

32. As used in this arena: 

"* Nuclear safety means protection of the public health and safety and the environment. 

"* Domestic safeguards are those nuclear material control and accounting measures and 

physical protection measures implemented by and within Any country, including the U.S., 

to prevent sabotage of nuclear materials or facilities or theft or diversion of nuclear 

materials by an individual or a group within that country. Secure use of nuclear materials 

is achieved through the successful implementation of domestic safeguards. 

" International safeguards are the independent verifications performed by the International 

Atomic Energy Agency (IAEA) of a country's "peaceful use" declarations on nuclear 

materials and nuclear facilities. 

" Nuclear nonproliferation means control over or deterrence of the spread of nuclear 

explosive devices or of the direct capability to manufacture or otherwise acquire such 

devices. 

NRC FY 2000 STRATEGIC PLAN
VOLUME , PARTI EN TS

33. Agreements for Cooperation in the Civil/Peaceful Use of Nuclear Energy are required under section 123 of the Atomic Energy Act of 1954, as amended, to establish the legal framework for technical cooperation in the production and use of special nuclear material as well as for the supply of such material or fuel cycle equipment, or related sensitive information to another country or international organization. These Agreements for Cooperation (or Section 123 Agreements, as they are also known) include such nonproliferation conditions and controls as safeguards commitments; a guarantee of no explosive or military use; a guarantee of adequate physical protection; and U.S. rights to approve retransfers, enrichment, reprocessing, other alterations in form or content, and storage of U.S.-supplied or derived material. They must be in effect before an NRC export license can be issued.

NRC FY 2000 STRATEGIC PLAN
NOTES
Federal Recycling Program
ISBN 0-16-050506-2 

90000 

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ISBN 0-16-050506-2
NUREG-1614, Vol. 2, Part 1 NRC STRATEGIC PLAN SEPTEMBER 2000 

UNITED STATES 

NUCLEAR REGULATORY COMMISSION 

WASHINGTON, D.C. 20555-0001

years