Photo CreditsOn the Cover, top right: PhotoDiscOn the Cover, center: NRC Headquarters at Rockville, MD

NRC Image Library

On the Cover, bottom: NRC Image LibraryPage 3: NRC Image LibraryPage 4, top: NRC Image LibraryPage 4, bottom: NRC Image LibraryPage 8: NRC Image LibraryPage 12: NRC Image LibraryPage 14: NRC Image LibraryPage 16: PhotoDiscPage 17: NRC Image LibraryPage 18: NRC Image LibraryPage 20: NRC Image Library
Message from the Chairman.................................. 3

Introduction ................................................................ 4

About the NRC .................................................... 4The Changing Regulatory Environment .... 5Organization of the Plan .................................. 6Strategic Objective ............................................ 7

Goals ............................................................................ 7

I. Safety ................................................................ 8II. Security .......................................................... 12III. Openness ...................................................... 14IV. Effectiveness ................................................ 16V. Management .............................................. 20

Appendices

A. Key External Factors .................................. 24B. Program Evaluations ................................ 25C. Glossary.......................................................... 27
My fellow Commissioners and I are pleased to present the U.S. Nuclear Regulatory Commission’s Strategic Plan for Fiscal Years 2004 to 2009. The plan describes how we intend to

accomplish our mission. In particular, it establishes our strategic directionby defining the agency vision, goals, outcomes, and strategies that weintend to pursue.The new Strategic Plan incorporates a number of revisions in order toaddress a changing environment. The events of September 11, 2001,brought to this country a new recognition of the importance of physicalsecurity and emergency preparedness. We recognize that safety, security,and emergency preparedness are integrated activities, and we haverevised the plan to reflect this new reality. The Strategic Plan for FiscalYears 2004–2009 gives prominence to the value of openness in our regulatory processes as essential for ensuring that the NRC remains a strong,fair, predictable, and credible regulator. We continue to believe that ouractions must be effective, efficient, realistic, and timely. Managementexcellence is also essential for successful implementation of our missionand goals.In developing our Strategic Plan, we benefitted from input from thepublic, those we regulate, and those interested in the effectiveness ofregulation. We thank all our stakeholders who shaped the Strategic Plan,especially the NRC staff that has worked diligently to produce a StrategicPlan that we believe is comprehensive, clear, and can be readily understood. The Strategic Plan for 2004–2009 will serve as a guide for howwe will discharge our responsibilities to serve the American public.

A MESSAGE FROM THE CHAIRMAN

From left to right, Commissioner Jeffrey S.Merrifield, Chairman Nils J. Diaz, andCommissioner Edward McGaffigan, Jr.
NRC Commissioners participating in a public meeting on nuclear safety.

INTRODUCTION

In addition, 33 States have signed agreements with the NRC under which they assume regulatory responsibility for the use of certain quantities of radioactive materials for civilian purposes in their respective States.These Agreement States implement State regulations that are compatible with NRC regulations for approximately 80 percent of the more than 17,000 radioactive materials licensees in the United States. The NRCworks closely with Agreement States to ensure a sound and consistent regulatory framework.The NRC, the Agreement States, and those who hold licenses to use radioactive materials share a commonresponsibility to protect public health and safety and the environment in the United States. Because licenseesactually use radioactive materials, they have the ultimate responsibility to handle and use the materials. The Changing Regulatory EnvironmentThe many industries that utilize radioactive materials are experiencing change, particularly in the areas ofnuclear safety, security and emergency preparedness, risk-informed performance-based regulations, energyproduction, and waste management. In the next 5 years the Nation is likely to see the following changesoccur:• NRC strategic initiatives will include significant emphasis on strengthening the interrelationship among

safety, security, and emergency preparedness.

• The majority of operating nuclear power plants will have applied for license renewal to help meet the

Nation’s demand for energy production.

• The Department of Energy will submit an application to construct and operate the Nation’s high-level

radioactive waste repository.

• Increasing quantities of radioactive waste may be transported and held in interim storage or permanent

disposal sites.

• The nuclear power industry will show a growing interest in licensing and constructing new nuclear power

plants and fuel cycle facilities (for example, gas centrifuge facilities and a mixed oxide fuel facility) to meetthe Nation’s demand for energy production.

• The NRC, Agreement States, and licensees will continue to devote increasing attention to the security of

radioactive materials and facilities, and the NRC will continue its nuclear nonproliferation activities.

• The NRC will continue to see increased requirements for coordination with a wide array of Federal, State,

and local agencies related to homeland security and emergency planning.

• The number of Agreement States will increase, as will the numbers of medical, academic, and industrial

entities using radioactive materials under the oversight of the Agreement States.

• The regulatory climate is expected to adjust to both internal and external factors such as use of riskinformed and, as appropriate, performance-based regulations.

Energy Reorga- 

zation Act of 

and promotion

f the Atomic

mmercial,

 and safety

on to enable

ic health and

earch, test, and

c, and industrial

nd wastes. The

hazards in

ith the advice

mmissioners to

ners, the NRC

s

gulatory activi

and nuclear

protection of

elated to uses

 also has a role

uses of radioac

RC issues and

d export of

ates in multilat

ctions. The

national counINTRODUCTION

ncern about

s to public

acilities, have

radioactive

making

y processes

tion as possible

ould assist

m operational

rformance

ty decisions

NRC continues

c management

gly approaching

structures,

ng accidents

r make these

continues to be,

license applica

rity is essential

’s actions. The

or undermining

Years

hat support that

ing issues

rategies and sig

ess through per

ogram outputs

Appendix A expands on the discussion of the agency’s strategic objective and goals by discussing key externalfactors that could affect the agency’s ability to effectively execute this Strategic Plan.Appendix B describes the schedule of planned program evaluations that the agency will use to adjust andrefine its performance. Appendix C is a glossary of terms used in the plan. Our strategic objective, goals, and strategic outcomes follow.Strategic ObjectiveEnable the use and management of radioactive materials and nuclear fuels for beneficial civilian purposes in amanner that protects public health and safety and the environment, promotes the security of our nation, andprovides for regulatory actions that are open, effective, efficient, realistic, and timely.GoalsI. Safety:Ensure protection of public health and safety and the environment. II. Security:Ensure the secure use and management of radioactive materials.III. Openness: Ensure openness in our regulatory process.IV. Effectiveness: Ensure that NRC actions are effective, efficient, realistic, and timely.V. Management:Ensure excellence in agency management to carry out the NRC’s strategic objective.Strategic Outcomes• No nuclear reactor accidents.1• No inadvertent criticality events.• No acute radiation exposures resulting in fatalities.• No releases of radioactive materials that result in significant radiation exposures.2• No releases of radioactive materials that cause significant adverse environmental impacts.3• No instances where licensed radioactive materials are used domestically in a manner hostile to the security of the United States.

• Stakeholders are informed and involved in NRC processes as appropriate.• No significant licensing or regulatory impediments to the safe and beneficial uses of radioactive materials.• Continuous improvement in NRC’s leadership and management effectiveness in delivering the mission.• A diverse, skilled workforce and an infrastructure that fully support the agency's mission and goals.
SAFETY

a wide range of technical and scientific analyses andthe resolution of various regulatory issues. A relatedissue may require that safe interim storage capacitymust be made available until a repository is licensedand ready to receive high-level waste. Toward thatend, the NRC regulates various options for interimstorage, including spent fuel pools onsite and drycasks at independent spent fuel storage installations.In addition, the NRC must ensure the safety of spentfuel transportation casks. These casks will be evaluated, tested, and certified as capable of transportingspent fuel from reactor sites or other storage facilitiesto the national repository.One challenge the NRC is addressing involves thenew reactor designs being submitted for reviewand possible licensing by the NRC. These nextgeneration designs require detailed analysis of theirvulnerability to accidents and security compromises,as well as development of inspections, tests, analyses,and acceptance criteria for their construction. TheNRC is evaluating commercial gas centrifuge facilities that utilize new methods of enriching nuclearfuel for operation in the United States. The NRC isreviewing a license application for a mixed oxide fuelfacility that would use plutonium salvaged fromdecommissioned nuclear weapons to fabricate fuelassemblies for nuclear power plants as a techniquefor reducing existing quantities of weapons-usablematerials.A final area of future consideration for the NRC willarise as the agency continually reviews domestic andinternational operational experience to help identifypotential new licensee-specific or generic safetyissues. It is the responsibility of the NRC to ensurethat its licensees use radioactive materials safely. TheNRC employs a multi-faceted regulatory approachto safety that includes the following activities:

• Develop and update risk-informed and performance-based standards, as appropriate,

and Federal regulations to enable the safeuse of radioactive materials, using the 

“defense-in-depth” principles and appropriately conservative and realistic practices thatprovide an acceptable margin of safety.

• License individuals and organizations that

intend to use radioactive materials for safeand beneficial civilian purposes.

• Maintain ongoing and consistent oversight

of licensees, which includes inspection,enforcement, and incident response activities, to ensure that they are conforming tothe applicable regulations and the conditionsof their licenses to ensure safety, and to provide timely and appropriate event assessmentand response.

The NRC recognizes that close cooperation amongFederal agencies, State authorities, and local andIndian Tribal governments will lead to the mosteffective regulation. Therefore, the NRC works withother Federal agencies, such as the EnvironmentalProtection Agency, the Occupational Safety andHealth Administration, the Food and Drug Administration, the Departments of Energy, Transportation,Justice, and Homeland Security, as well as State,local, and Tribal authorities to ensure appropriatecoordination of safety and security measures atnuclear facilities and the protection of the safetyand rights of occupational workers.Nuclear safety is, moreover, a global issue. As aresult, the NRC closely cooperates with its counterpart foreign regulatory bodies and internationalorganizations, such as the International AtomicEnergy Agency and the Nuclear Energy Agency,to share information, resources, best practices, andlessons learned from operating experience and toinfluence the development of standards and guidanceconsistent with U.S. objectives.

STRATEGIES AND MEANS

The NRC will employ the following strategies toensure protection of public health and safety and theenvironment.

activities are

 with the risk

ng sound

nsure that

s. In carrying

cts activities

essary to

oes not fall

latory climate

both internal

f risk

mance-based

ations include

r plants; high

posal; new

ual review of

on issues is

luding a cavi

nsee discov

Because of

se events, the

and expanded

sues. Another

the majority

expected to

censes. The

enewal process

e monitored,

ety is ensured

al applications

 robustness,

of nuclear

ric cabling,

containment

he Depart

n to establish

evel radioac

a. The NRC’s

evaluation of

An NRC inspector at a commercial nuclear power plant.
• Conduct research programs to identify, lead,

and/or sponsor reviews that support the resolution of ongoing and future safety issues,including providing independent informationand expertise needed to support the NRC’sdecision-making process. [Supports Strategies 1, 2, 3, 4, and 5]

• Conduct pre-licensing consultation and

begin regulatory activity when the expectedapplication for the Yucca Mountain repository is received. [Supports Strategies 1, 2, and 3]

• Complete technical reviews of new spent fuel

dry storage systems to ensure that they willbe safe and secure for use at any licensedspent fuel storage facility. [Supports Strategies 1 and 3]

• Conduct testing of spent fuel transportation

casks under accident conditions to verifydesigns and modeling. [Supports Strategy 1]

• Conduct periodic reviews of Agreement

State programs to ensure that they areadequate to protect health and safety andcompatible with the NRC’s program. [Supports Strategies 2, 3, and 6]

• Work closely with the Agreement States to

develop consistent, risk-informed processesto review event information and identifysafety issues for materials licensees. [Supports Strategies 2, 3, and 6]

• Use the information from integrated safety

analyses to begin using a graded approach tomonitoring and controlling activities at fuelfabrication facilities. The NRC will use thelessons learned from these analyses to develop more risk-informed oversight programs.[Supports Strategies 2 and 3]

• Assess the key issues affecting the safe management of civilian low-level waste disposal

to ensure that potential disruption in accessto the three licensed disposal sites does notadversely affect licensees’ ability to operatesafely and decommission their plants safely.[Supports Strategies 2 and 3]

• Evaluate the risk significance of domestic

and international operational events andtrends in order to improve NRC programs.[Supports Strategies 2 and 5]

• Develop consensus standards with professional societies and standard setting organizations to be used by the nuclear industry

and with international organizations toincorporate improvements into NRCregulations. [Supports Strategies 2 and 5]

• Work with international counterparts to

exchange information, expertise, operatingexperiences, and ongoing research to recognize and respond to emerging technicalissues and to promote best practices. Participate in the development and evaluationof international standards to determinewhether substantial safety improvements canbe identified and incorporated domestically.[Supports Strategies 2 and 5]

SAFETY

ake appropriate

e safety per

es 3 and 6]

t the nuclear

 cycle sites 

NRC’s four

ectors), and

 The resident

day-to-day

and Head

ndividual and

d areas related

non-reactor

terials uses,

ement). 

d 6]

dness exercises

ederal, State,

ency response

ve intergovern

ce and inform

 [Supports

apabilities of

and Regional

rdinate and

e to incidents

d licensees’

ir facilities.

entification and

s, and waste

ategies 2, 3, 

 and pre

or policies

ew nuclear

rly site permits,

mbined licenses.

ch safety issues

out fear of retri

1, 4, and 6]
SECURITY

(6) Coordinate with Federal and international

counterparts to provide appropriate securityand control to prevent the proliferation ofspecial nuclear materials and nuclear technology and to reduce the potential for harmfuluse of high-risk radioactive material.

MEANS TO SUPPORT SECURITYSTRATEGIES

The NRC conducts a number of programs and initiatives to ensure the secure use and managementof radioactive materials, including the followingexamples:

• Conduct inspections to assess licensees’

security performance. The NRC will conductfollow-up reviews, inspections, or investigations as needed when security problems areidentified. [Supports Strategies 2, 5, and 6]

• Increase the frequency of conducting safeguards performance evaluations at applicable

nuclear facilities involving Federal, State,and local law enforcement and emergencyplanning officials. The NRC will increase theuse of state-of-the-art technology to enhancethe realism and effectiveness of exercises.The NRC’s program will ensure that theagency has current information on licensees’security programs and their ability to protectagainst the design-basis threat. [SupportsStrategies 1, 2, and 4]

• Complete vulnerability assessments and

determine the consequences of a range ofthreats against existing safety, safeguards,and security requirements. The NRC willshare its results with Federal partners to support an integrated national posture for protection of the Nation’s critical infrastructure.[Supports Strategies 1 and 4]

• Work with the Homeland Security Council,

the Department of Homeland Security, andthe intelligence community to define, develop, and implement integrated security response plans and a National Response Plan that incorporates Federal, State, and local government assets. [Supports Strategies

4 and 6]

• Work with States on security measures related to NRC- and State-licensed facilities and

activities within their borders. [SupportsStrategy 4]

• Assess the threat environment to maintain

an adequate regulatory framework, utilizingnew information from domestic research andcooperative research programs with international partners. [Supports Strategies 1, 3, 4,5, and 6]

• Collaborate with the Department of Energy

and other agencies to develop and implementa national registry of radioactive sources ofconcern and establish or improve the controlson high-risk radioactive materials to preventtheir harmful use. [Supports Strategies 1, 4,and 5]

• Continue support and active involvement in

international security activities, includingsupport of International Atomic EnergyAgency nonproliferation initiatives and bilateral physical security inspections of specialnuclear materials that originate in the UnitedStates. [Supports Strategy 6]

• Identify and obtain access to critical electronic channels of security information to ensure

that the NRC and its licensees maintain acurrent awareness of potential threats tolicensed facilities and activities. [SupportsStrategies 1 and 3]

• Identify and develop key information technology investments that will enhance the

storage, handling, and communication of sensitive security information both within andexternal to the agency. [Supports Strategy 3]

lities. The

n of foreign pol

partment of

ng international

eguards. The

issues import

ials and equip

he International

feguards, non

atory standards

trategies to

nt of radioactive

rmation and

rmine realistic

ments and

ctivities and

security

orage of sensi

ent information

ch information

e, and local

o develop an

curity of

ive materials

orts with appro

al government

approach to

ory controls for

ort, export, and

materials.

Dry cask storage for nuclear waste.
OPENNESS

(3) Provide accurate and timely information

about the safety performance of the licenseesregulated by the NRC.

(4) Provide a fair and timely process to allow

public involvement in NRC decision-makingin matters not involving sensitive unclassified, safeguards, classified, or proprietaryinformation.

(5) Provide a fair and timely process to allow

authorized (appropriately cleared with aneed to know) stakeholders involvement inNRC decision-making in matters involvingsensitive unclassified, safeguards, classified,or proprietary information.

(6) Obtain early public involvement on issues

most likely to generate substantial interestand promote two-way communication toenhance public confidence in the NRC’sregulatory processes.

MEANS TO SUPPORT OPENNESSSTRATEGIES

The NRC conducts a number of programs and initiatives to ensure openness in the agency’s regulatoryprocess. Activities to be conducted during this strategic planning period include the following examples:

• Enhance the NRC’s communications both

within the agency and with the public, themedia, and Congress. [Supports Strategies 1,2, 3, 4, 5, and 6]

• Actively engage the public, particularly

potentially affected local individuals, beforeactions are taken. [Supports Strategies 1, 4,and 6]

• Host public meetings at NRC Headquarters,

in Nevada, and along major transportationcorridors regarding the proposed high-levelradioactive waste repository at YuccaMountain, including workshops to assist in

furthering an understanding of the NRC’sregulatory role. [Supports Strategy 6]

• Implement and maintain the high-level waste

Licensing Support Network, a system thatstores documents related to the high-levelradioactive waste repository, to provide aneffective means to make such documentsavailable to the public. Provide periodictraining to assist stakeholders in using thesystem. [Supports Strategies 2 and 4]

• Hold annual public meetings (such as the

Regulatory Information Conference and theNuclear Safety Research Conference) tobring together diverse groups of stakeholdersto discuss the latest trends in industry performance and cutting-edge research. [Supports Strategies 1, 3, 4, and 5]

• Improve communications about licensee

operating events and their significance usingeasily understood risk comparisons, plantfeatures, and regulatory controls to put situations into their proper context. Develop andimplement agency-wide guidelines that willimprove the NRC’s ability to communicatewith stakeholders regarding risk insights andother health and safety issues. [SupportsStrategy 3]

• Develop communication plans for key program activities. [Supports Strategies 1 and 4]• Maintain and update the NRC’s external

Web site with timely, user-friendly information and continue to make site enhancementsbased on input from Web user satisfactionmeasurement. [Supports Strategies 1, 3, and 4]

• Identify areas that require additional public

engagement and dialogue. This may beachieved through independent surveys orother measurement instruments. [SupportsStrategy 2].

he public.

tion would not

an be shared

 increasing

NRC will adopt

nformation

ent of Home

hough the NRC

nt of informa

sts, the agency

mation as possi

a time of

ome utilities are

rmits for new

nding their

ditional 20

quests, it will

t vulnerability

tacks without

terrorists. 

of transparency

y and meaning

ory process. The

ublic informed

fective regula

blic that is well

trategies to

cesses.

nformation to

nd risks associ

ls.

e NRC’s inde

blic health and

Public meeting on reactor license renewal.
EFFECTIVENESS

The NRC believes that efforts to improve efficiency,timeliness, and realism are congruent with theagency’s safety and security goals. In fact, initiativesrelated to this goal should serve to sharpen theagency’s focus on safety and security and ensurethat available resources are optimally directedtoward the NRC’s mission. Many factors could contribute to licensing andregulatory impediments, such as an inadequate regulatory framework, an ineffective program, or an inefficient process that results in an untimely regulatorydecision. The NRC is committed to addressing suchissues through initiatives related to this goal, and itwill also monitor the regulated community forinstances where agency actions may have unnecessarily impeded licensees and applicants. In conducting this monitoring, the NRC may consider theresults of self-assessments and external assessments,feedback from stakeholders, Congressional direction,and other sources.

STRATEGIES AND MEANS

The NRC will employ the following strategies toensure that its actions are effective, efficient, realistic, and timely.

EFFECTIVENESS STRATEGIES(1) Use state-of-the-art methods and risk

insights to improve the effectiveness andrealism of NRC actions.

(2) Improve NRC regulation by adding needed

requirements and eliminating unnecessaryrequirements.

(3) Use performance-based regulation to

minimize unnecessarily prescriptiverequirements.

(4) Use realistically conservative, safety-focused

research programs to resolve safety-relatedissues.

(5) Enhance cooperation with Federal, State,

and Tribal governments and internationalcounterparts.

(6) Minimize unnecessary regulatory or jurisdictional overlap.(7) Anticipate challenges and respond quickly

to changes in the regulatory and technicalenvironment.

(8) Make timely regulatory decisions.(9) Foster innovation at the NRC to improve

systematically the NRC’s regulatoryprograms.

ignment of

m results to

rformed.

ity, and cost

ow economically

he NRC recog

’s regulatory

d community

deral, State, and

cient regulatory

eholder expec

d responsible

never compro

efficiency, the

cy of its regula

y, means acting

without unnec

e timely to sup

f enabling the

erials. The

providing a sta

y environment.

s goals for many

ly tracks its

 the NRC

nts that are

sion. NRC

e “defense-in

actices that,

nts that may

ly ensure the

 and the envi

nd scientific

ned through

p the agency to

equirements

necessary con

fit.

The NRC and its Agreement States regulate radioactivematerials used in diagnosing and treating patients.

The Oconee Nuclear Power Plant at Greenville, SC.
EFFECTIVENESS

Agreement

Materials Pro

r enhancing the

terials licensees.

d 7]

entify actions,

or an untimely

s that may have

or uncertainty.

ments to the

ke action to

hat impose

rts Strategies 2,

changes and

both domesti

hare positions

, leverage

of effort, and

ible. [Supports

 efficiency

ng and perform

roughout the

This page is intentionally left blank.
ENSURE

NAGEMENT 

ategies,

nologies to

y of agency

ent strategies

s, some of

APITAL

gal, and admin

 knowledge

nable the

ain this expert

he NRC will

as as diverse as

ds and security,

hemistry,

, information

al management,

 individuals will

hen they are

d in fulfilling the

ognized for

he agency peri

uman capital,

nts that will

 mission. The

itive sourcing

ded skills for

trategies to

oal:

zational struc

of performance

development,

hieve a high

th the skills

n.

MANAGEMENT

(3) Develop the agency’s current and future

leaders.

(4) Strengthen managerial and supervisory

accountability for setting individual andorganizational performance expectations andfor providing timely and complete feedback.

(5) Foster a work environment that is free of

discrimination and provides opportunitiesfor all employees to optimally use theirdiverse talents in support of the NRC’smission and goals.

(6) Use competitive sourcing to improve the

efficiency of commercial activities whileensuring organizational effectiveness.

Selected Means to Achieve Human CapitalStrategiesThe NRC conducts a number of programs and initiatives to achieve the goal of excellence in agencymanagement. Activities to be conducted in these programs during this strategic planning period includethe following examples:

• Use formal development programs and succession planning to create a diverse cadre of

skilled leaders who are committed to achieving the agency’s mission, goals, and strategiesand who are prepared for appointment toleadership positions. [Supports Strategy 3]

• Maintain a dynamic program of training,

development, and knowledge transfer toensure that the NRC acquires and maintainsthe competencies needed to implement thestrategic plan. [Supports Strategy 2]

• Measure the extent to which recruitment,

development, and retention strategiesenhance diversity at all levels. [SupportsStrategy 5]

B. INFRASTRUCTURE MANAGEMENTTo provide the NRC with high quality, cost-effectiveinfrastructure management to support the agency’smission and strategic goal achievement, strategiesfocus on protecting workers and enhancing theirindividual and collective productivity with theappropriate tools, while employing innovative andsound business practices.Infrastructure Management StrategiesThe NRC will employ the following strategies toachieve the management excellence goal:

(1) Maintain a healthy, safe, secure, and accessible physical work environment.(2) Provide equipment, facilities, and administrative services that employees need to work

better and deliver high quality products andservices on time.

(3) Effectively acquire goods and services to

support the agency mission.

(4) Continuously identify new and better ways

of providing service.

Selected Means to Achieve InfrastructureManagement StrategiesThe NRC conducts a number of programs and initiatives to achieve the goal of excellence in agencymanagement. Activities to be conducted in these programs during this strategic planning period includethe following example:

• Maintain buildings and facilities and provide

services to ensure safety, workplace comfort,and accommodation of employees and visitors with special needs; and improve theircost-effectiveness and efficiency for theconduct of the agency’s business. [SupportsStrategies 1 and 2]

NRC emergency response coordinator meeting.
ents to conduct

ge information

gency process

curity.

 of a mobile

 the Licensing

ectronic Hear

waste reposito

Strategies

trategies to

oal:

cture to

echnology/

estment

overnment ini

the NRC.

ormation tech

ffective.

mation security

ective informa

oyees to

mation needed

C to conduct

xternal entities.

s the ability to

vailable infor

ively.

ed Electronic

rams and ini

nce in agency

ed in these pro

period include

• Maintain a reliable and dependable set of

core information technology systems. [Supports Strategy 6]

• Use secure Web technology to improve service and access to information, and increase

opportunities for employee telecommutingand other offsite work. [Supports Strategies3, 4, 5, and 7]

• Participate in E-Government initiatives

that are applicable to the NRC. [SupportsStrategies 1 and 2]

E. BUDGET AND PERFORMANCE

INTEGRATION

The Government Performance and Results Actcalls upon Federal agencies to align their resourceallocation decisions more closely with performanceoutcomes. The NRC has put in place several keyprocesses to ensure such alignment and is nowfocusing its efforts on effective implementation.Budget and Performance Integration StrategiesThe NRC will employ the following strategies toachieve the management excellence goal:

(1) Improve linkage of individual and organizational performance standards to NRC’s

Performance Budget.

(2) Use and improve the Planning, Budgeting,

and Performance Management process toensure better integration of performanceresults into NRC planning and budgeting.

Selected Means to Achieve Budget andPerformance Integration StrategiesThe NRC conducts a number of programs and initiatives to achieve the goal of excellence in agencymanagement. Activities to be conducted in these programs during this strategic planning period includethe following example:

• Improve the performance management

system for senior executives by aligning individual performance objectives with organizational and agency goals. [Supports Strategy 1]

F. INTERNAL COMMUNICATIONSInternal communications are critically important tothe NRC and vital to achieving agency goals. NRCmanagement recognizes that it must strengthen itsinternal communication methods to foster and support a culture of openness and innovation. Internal Communications StrategiesThe NRC will employ the following strategies toachieve the management excellence goal:

(1) Communicate the NRC’s vision, values,

and expectations to address the full rangeof NRC’s strategic goals and to achievealignment on desired outcomes.

(2) Improve communication up, down, and

across organizational units.

(3) Foster a work environment that values

differing opinions and rewards safetyconscious thinking.

Selected Means to Achieve InternalCommunications StrategiesThe NRC conducts a number of programs and initiatives to achieve the goal of excellence in agencymanagement. Activities to be conducted in these programs during this strategic planning period includethe following examples:

• Redesign the NRC’s internal Web site,

emphasize frequent feedback, and increaseface-to-face, two-way communicationsbetween management and staff. [SupportsStrategies 1, 2, and 3]

• Provide enhanced training opportunities for

NRC employees to develop more effectivecommunications skills. [Supports Strategies1, 2, and 3]

MANAGEMENT
APPENDIX

ry it regulates.

ulatory and

their ability to

goals.

clear facility or

 likely result in

es and potential

ivities, the

and/or require

wer plants.

y Application

Level Waste

clear fuel

C in planning,

n-making

The agency

sponse to pre

ent of Energy.

ns will heavily

on decisions

ion or delay in

ikely require

hich may affect

ciated with

ith Federal,

ncrease in

agencies’ priori

s are diverted

evious work

r consideration

act on the NRC.

on would affect

if enacted.

ces of energy

to an increase

wer plants. Any

attendant increase in resources devoted to licensereview and analysis might affect the agency’s abilityto achieve its goals for this planning period.Appendix BProgram EvaluationsConsistent with the NRC’s goal of ensuring safety,the agency is evaluating several of its safety programs aimed at ensuring that the performance oflicensees are at or above acceptable safety levels. Theprogram evaluations presented below reinforce theNRC’s commitment to ensuring nuclear safety. TheNRC considered the results of the evaluations indeveloping the strategies in the Safety section. Forexample, the results of evaluations of the agency’sReactor Inspection and Performance Assessmentprogram and the Fuel Cycle Licensing and Inspection program were used to strengthen the alignmentof program performance measures with the agency’sstrategic outcomes, as well as to better demonstratecontributions of program activities and outputs.Planned Program Evaluations:Reactor License Renewal ProgramExpected Completion Date: FY 2004Objectives: The reactor license renewal program evaluation has two objectives: (1) to determine if programelements are effective and efficient, and (2) to provide timely, objective information to inform programplanning and improvements given the current regulatory environment and the strategic plan.Scope: The evaluation has the following programcomponents: safety review, inspection, and guidancedevelopment. The evaluation examines the efficiencyand effectiveness of the review process for verification of compliance with the “Requirements forRenewal of Operating Licenses for Nuclear PowerPlants,” as specified in Title 10, Part 54, of the Codeof Federal Regulations (10 CFR Part 54). In particular, the evaluation will focus on how NRC’s reviewsof the Scoping and Screening of License RenewalApplications can be improved.

Reactor Operating Experience ProgramExpected Completion Date: FY 2004Objectives: The reactor operating experience programevaluation has two objectives: (1) to determine if theongoing program is effective in supporting achievement of the performance goals and the agency’sstrategic plan goals, and (2) to provide timely, objective information to inform program planning andimprovements. Scope: The evaluation will include the followingaspects of the program: (1) the agency’s capabilityto retain operating experience information and toperform longer-term operating experience reviews,(2) current thresholds, criteria and guidance forinitiating generic communications, (3) opportunitiesfor additional efficiency and effectiveness gains stemming from changes in organizational alignments, (4)the effectiveness of the Generic Issues Program, and(5) the effectiveness of the internal dissemination ofoperating experience information to end users.High-Level Waste RepositoryExpected Completion Date: FY 2005Objective: The NRC will perform an evaluation of theNRC’s high-level waste repository program. Thisprogram evaluation will assess the adequacy of NRCprocesses, procedures, and staffing to conduct regulatory activities for the proposed high-level wasterepository at Yucca Mountain. The results of theevaluation will serve as a mechanism for identifyingareas that require additional focus, and for decidingwhether changes might be needed to ensure thefuture effectiveness of the program.Scope: This evaluation will consider the followingareas: (1) management plans for ensuring that allmajor licensing review actions are identified andscheduled and their responsibilities assigned,(2) organization of the Yucca Mountain projectwithin the Office of Nuclear Material Safety andSafeguards management structure, (3) processes,procedures, and technical support (staffing andtools) for conducting the license review and preparing staff outputs, (4) process and procedures for
APPENDIX

rrent business

tiveness of the

e following

s: (1) licensing

tomic Energy

port to Agree

erating Plan

gs,(6) response

, (7) response

d (9) NRC

n will not

ichment

am.

m

n FY 2006 will

whether the

n supporting

egic plan goals,

nformation to

ements. 

ajor components

ed to focus on a

of the program

final scope will

are already col

ry, on a partic

gram

tion. To inform

 the evalua

results will be

of budget plan

budget year

ision-making

luations

ogram

ce Program

y

• Reactor Oversight Program• Reactor Licensing Program

FY 2006:

• Uranium Recovery• Reactor Safety Research Program• Research and Test Reactor Program• Allegation Program

Appendix CGlossaryAgreement State: a State that has signed an agreement with the NRC allowing the State to regulatethe use of certain radioactive materials within itsborders.Defense-in-Depth: an element of the NRC’s SafetyPhilosophy that employs successive compensatorymeasures to prevent accidents or lessen the effectsof damage if a malfunction or accident occurs at anuclear facility. The NRC’s Safety Philosophyensures that the public is adequately protected andthat emergency plans surrounding a nuclear facilityare well conceived and will work. Moreover, thephilosophy ensures that safety will not be whollydependent on any single element of the design, construction, maintenance, or operation of a nuclearfacility.Design Basis Threat: a profile of the type, composition, and capabilities of an adversary. The NRC andits licensees use the design basis threat as a basis fordesigning safeguards systems to protect against actsof radiological sabotage and to prevent the theft ofspecial nuclear material.Diversity: differences that define each employee as aunique individual. Differences in culture, ethnicity,race, gender, national origin, religion, disability, sexual orientation, education, experiences, opinions, andbeliefs are just some of the distinctions that eachemployee brings to the workplace.Effectiveness: ability to achieve the intended outcome(s) of an activity, program, or process. A program cannot be considered effective if it is notmeeting its objectives and achieving the intendedoutcome(s).

Efficiency: the ability to act with a minimum ofwaste, expense, or unnecessary effort. Efficiencyembodies a combination of productivity, cost,timeliness, and quality.Enterprise Architecture: a strategic informationasset base that defines (a) the mission, (b) the information necessary to perform the mission, (c) thetechnologies necessary to perform the mission, and(d) the transitional processes for implementing newtechnologies in response to changing mission needs.In addition, enterprise architecture includes (a) abaseline architecture, (b) a target architecture, and(c) a sequencing plan. Enterprise architecture isused to inform and guide information technologyplanning and investment decisions.High-Level Waste: the highly radioactive materialsthat are produced as byproducts of the reactions thatoccur inside nuclear reactors. Such wastes take oneof two forms, becoming either spent (used) reactorfuel when it is accepted for disposal or waste materials that remain after spent fuel is reprocessed.Low-Level Waste: items that have become contaminated with radioactive material or have becomeradioactive through exposure to neutron radiation.This waste typically consists of contaminated protective shoe covers and clothing, wiping rags, mops,filters, reactor water treatment residues, equipmentand tools, luminous dials, medical swabs, injectionneedles, and syringes. The radioactivity can rangefrom just above background levels found in nature tovery high levels found in certain cases (such as partsfrom inside the reactor vessel in a nuclear powerplant).Outcome Goals: long-term performance goals; theintended outcomes of specific strategies.Performance-Based: an approach to regulatorypractice that establishes performance and results asthe primary bases for decision-making. Performancebased regulations have the following attributes: (1)measurable, calculable or objectively observableparameters exist or can be developed to monitor performance; (2) objective criteria exist or can be developed to assess performance; (3) licensees haveflexibility to determine how to meet the established
of Management and

cisions, support man

ems, and promote per

countability.

al interrelated

te from Congress in

 (2) the NRC’s

s in Title 10 of the

3) regulatory guides,

uments that guide

ments that amplify

ing and inspection

mployees, and (5) the

o decision-making in

red along with other

gment, safety limits,

k insights are gathered

at can go wrong?”;

are the conse

a systematic method

tions as they relate

es, sensitivities, areas

ons, and areas of

ults and findings that

risk assessment is a

ng the three risk

performance of a

nclude a human com

utcomes, sensitivities,

eractions and areas

aste.

public with a specific

from nuclear power plants and the Nation

s nuclear

weapons production activities.

Endnotes(1) “Nuclear reactor accidents” are defined in the

NRC Severe Accident Policy Statement as thoseevents that result in substantial damage to thereactor fuel, whether or not serious offsite consequences occur.

(2) “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 accordancewith Abnormal Occurrence Criterion I.A.3.

(3) Releases that have the potential to cause

“adverse impact” are those that exceed the limitsfor reporting abnormal occurrences as given byAbnormal Occurrence criterion 1.B.1 [normally5,000 times Table 2 (air and water) of AppendixB, Part 20].

(4) “Public” includes occupational workers.
COMMISSION

0001