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 United States Nuclear Regulatory Commission

abstract

The U.S. Nuclear Regulatory Commission (NRC or agency) is an independent agency established by 

the Energy Reorganization Act of 1974 that began operations in 1975 as a successor to the Atomic Energy 

Commission. The agency’s mission is to license and regulate the Nation’s civilian use of radioactive 

materials to protect public health and safety, promote the common defense and security, and protect 

the environment. This strategic plan, covering the period 2014–2018, describes how the NRC plans to 

achieve its two strategic goals: (1) to ensure the safe use of radioactive materials and (2) to ensure the 

secure use of radioactive materials. The plan provides an overview of the NRC’s responsibilities, describes 

how stakeholders participated in plan development, summarizes key challenges the agency will face 

during the planning period, and lays out the objectives, strategies, and key activities that will be used to 

achieve the agency’s goals.

NRC Headquarters

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TABLE OF CONTENTS

Strategic Plan Fiscal Y4

Abstract. . . . . .

A Message from the Chairman

Introduction.

About the NRC  

Figure 1: How the NRC Regulates. 

Figure 2: NRC Organization Structure. 

Stakeholder Engagement. 

Key Challenges. 

Organization of the Plan. 

Figure 3: Graphical Depiction of Plan Components.

The plan.

Mission. 

Vision. 

Strategic Goals.

Safety.

Strategic Goal: Ensure the safe use of radioactive materials.

Objectives. 

Security. 

Security Goal: Ensure the secure use of radioactive materials.. 

Objectives. .

Cross-Cutting Strategies

Regulatory Effectiveness. .

Openness. .

Management Objectives.

Key Management Objective 1—Human Capital. .

Key Management Objective 2—Information Management and IT.

Appendices. 

Appendix A—Key External Factors. .

Appendix B—Evaluations and Research. .

Appendix C—Planned Program Reviews. .

Appendix D—Glossary. 

Availability of reference materials i NRC publicatio

NRC bibliographic data sheet

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New Reactor Construction Site

ii

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Chairman’s Messa

Allison M. Macfarlane

Chairman

September 4, 2014

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iv United States Nuclear Regulatory Commission

NRC Reg

Nuclear Power Pla

n Each regional office oversees the plants in its region except the Callaway plant in Missouri, which Region I

oversees.

n Region II handles construction inspectors’ activities for new nuclear power plants in all regio

Material Licensee

n Region I oversees licensees and Federal facilities located geographically in Region I and Reg

n Region III oversees licensees and Federal facilities located geographically in Reg

n Region IV oversees licensees and Federal facilities located geographically in Region

Nuclear Fuel Facilit

n Region II oversees the commercial fuel processing facilities in all regio

n Region II also handles construction inspectors’ activities for new fuel cycle facilities in all regio

Source: U.S. Nuclear Regulatory Commission

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Introductio

4 5

3

2

1

Oversight

• Inspection

• Assessment of Performance

• Enforcement

• Allegations

• Investigation

• Incident Response

Support for Decisions

• Research Activities

• Risk Assessment

• Performance Assessment

• Advisory Committee Activities

• Adjudication

Licensing, 

Decommissioning 

and Certification

• Licensing

• Decommissioning

• Certication

Operational

Experience

• Events Assessment

• Generic Issues

Regulations and Guidance

• Rulemaking

• Guidance Development

• Generic Communications

• Standards Development

Figure 1

How theNRC regul

About the

The Energy Reorganization Act of 1974 created the 

U.S. Nuclear Regulatory Commission (NRC or 

agency) from a portion of the former Atomic Energy 

Commission to independently oversee—but not 

promote—the civilian use of radioactive materials. The 

agency began operations on January 18, 1975. The 

agency’s mission is to license and regulate the Nation’s 

civilian use of radioactive materials to protect public 

health and safety, promote the common defense and 

security, and protect the environment. Specifically,

the NRC regulates commercial nuclear power plants; 

research, test, and training reactors; nuclear fuel 

cycle facilities; and the use of radioactive materials in 

medical, academic, and industrial settings. The agency 

also regulates the transport, storage, and disposal of 

radioactive materials and waste. In addition, the NRC

licenses the import and export of radioactive materials. 

The NRC works with agencies around the world to 

enhance global nuclear safety and security. The NRC 

is headed by five Commissioners appointed by the 

President of the United States, and confirmed by the 

U.S. Senate, to serve staggered 5-year terms. The 

President designates one of the Commissioners to serve 

as Chairman. The Commission as a whole formulates 

policies and regulations governing safety and security of 

nuclear facilities and radioactive materials, issues orders 

to licensees, and adjudicates legal matters brought 

before it.

To fulfill its responsibility to protect public health and 

safety, the NRC performs the following five principal 

regulatory functions:

(1) Develops regulations and guidance for applicants, 

certificate holders, and licensees.

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introduction

(2) Licenses or certifies applicants to use radioactiv

materials and operate or decommission nuclear 

facilities.

(3) Inspects and assesses certificate holders, license

operations, and facilities to ensure compliance 

with NRC requirements; investigates allegations 

of wrongdoing; responds to events and accidents 

involving licensed facilities and materials; and takes 

appropriate enforcement actions when necessary.

(4) Evaluates domestic and international operational 

experience associated with licensed facilities and 

activities.

(5) Conducts research, holds hearings, and obtains 

independent reviews to support regulatory 

decisions.

See Figure 1 for a graphical depiction of these functions 

and their interrelationships.

The NRC’s regulations are designed to protect the 

public and workers (those individuals potentially 

exposed to radiation during the course of their 

professional duties) from radiation hazards resulting 

from regulated activities. Its licensees and certificate

holders are responsible for the safety and security of 

radioactive materials, subject to the NRC’s oversight 

programs, which are designed to ensure that they 

comply with the agency’s requirements.

Figure 2 shows the NRC’s organizational structure. 

The Executive Director for Operations (EDO) carries 

out the policies and decisions of the Commission 

and directs the activities of the program offices. The 

offices reporting to the EDO regulate the commercial 

use of radioactive materials in the United States to 

protect public health and safety and the environment. 

As part of the regulatory process, NRC staff from 

headquarters and the four regional offices conduct the 

agency’s regulatory development, licensing, operating 

experience, inspection, enforcement, and emergencyresponse programs.

The NRC currently regulates 100 commercial nuclear 

power plants; 31 research and test reactors; about 

4,600 licensed reactor operators; four reactor early site 

permits; four reactor design certifications; 21 nuclear 

reactors in various stages of decommissioning; 

69 independent spent fuel storage installations; 

14 licensed fuel cycle facilities; 18 uranium-recovery 

sites; and approximately 2,900 research, medical, 

industrial, government, and academic materials 

licensees. In addition, the NRC has agreements with

37 States under which the States assume regulatory 

responsibility for the use of certain radioactive materials 

and oversee approximately 18,000 licenses.1

 The NRC 

works closely with these Agreement States to ensure 

that they maintain adequate and compatible regulatory 

programs. 

The NRC also regulates the U.S. Department of 

Energy’s (DOE’s) activities associated with a potential 

high-level waste repository. In addition, upon DOE’s

request, the NRC provides consultation to DOE about 

disposal options for waste incidental to reprocessing. 

In Idaho and South Carolina, the NRC coordinate

with the State to monitor DOE’s disposal actions for 

waste incidental to reprocessing to assess compliance 

with certain aspects of the NRC’s low-level waste 

regulations.

As part of its licensing activities, the NRC contributes 

to the protection of the environment through 

compliance with the National Environmental Policy 

Act, which includes consideration of impacts to the 

environment unrelated to the release of radiation. 

These environmental considerations can include 

1 U.S. Nuclear Regulatory Commission, 2013–2014 

Information Digest, Facts at a Glance, August 2013.

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Introductio

The Commissi

Commissioner Commissioner Chairman Commissioner Commissioner

Advisory

Committee on 

Reactor Safeguards

Atomic Safety and

Licensing Board

Panel

Office of Commission

Appellate

Adjudication

Office of the

Inspector General

Office of the Executive

Director for Operations

Assistant for 

Operations

Office of Small

Business and 

Civil Rights

Office of 

International

Programs

Office of the

Secretary

Office of the

General Counsel

Office of 

Congressional

Affairs

Office of the Chief

Financial Officer

Office of 

Public Affairs

Deputy Excecutive

Director for Reactor and

Preparedness Programs

Deputy Excecutive

Director for 

Corporate Management

Deputy Executive Director

for Materials, Waste,

Research, State, Tribal and

Compliance Programs

Office of Nuclear

Security and Incident

Response

Region I

Region II

Region III

Region IV

Office of Nuclear

Reactor Regulation

Office of 

Information Services

Office of Nuclear

Material Safety

and Safeguards

Office of 

Administration

Office of Nuclear

Regulatory Research

Computer Security

Office

Office of the Chief

Human Capital Officer

Office of

Investigations

Office of

Enforcement

Office of New Reactors

Figure 2

NRC’s Organizational Stru

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introduction

socioeconomic impacts and environmental justice, 

impacts to endangered species, and water rights and 

usage.

The NRC also licenses the import and export of 

radioactive materials; participates in international 

nuclear activities, including multilateral and bilateral 

safety and security activities; and works closely with its 

international counterparts to enhance nuclear safety 

and security worldwide.

Stakeholder Engagem

In keeping with the agency’s longstanding commitment

to openness, the NRC solicited stakeholder input 

to develop this strategic plan. In February 2013,

representatives of various stakeholder groups (including 

licensees, public interest groups, State governments, 

Federal agencies, and others) participated in an 

assessment of agency strengths and weaknesses, as well 

as an assessment of opportunities and threats facing 

the NRC during the upcoming planning period. The 

NRC also received input from members of Congress 

and solicited comments from the public. The input 

that the NRC received highlighted many of the 

challenges the agency faces and included strategies for 

addressing challenges as reflected later in this plan.

Key Challeng

During the upcoming planning period, the NRC 

will face new challenges as it continues to operate 

in a dynamic environment. Key factors the agency 

has considered in developing this plan include the 

following:

n continued implementation of enhancements to 

improve nuclear safety based on insights arising from 

operating experience reviews and lessons learned 

from the 2011 nuclear accident at the Fukushima 

Dai-ichi nuclear facility in Japan;

n continual learning and adaptation of the regulatory 

framework to address knowledge of and response 

to the specific hazards, uncertainties, and risks 

associated with each nuclear site;

n continued readiness to review applications involving 

new technologies such as small modular reactors, 

medical isotope production facilities, and rapidly 

evolving digital instrumentation and control systems;

n changes in the demographics, experience, and 

knowledge of the workforce;

n continued awareness of and support to the 

development of nuclear safety and security 

regulations around the world;

n changing economic conditions in the energy 

market affecting current and planned applications 

to construct and operate new nuclear facilities or 

decommission existing ones;

n globalization of nuclear technology and the nuclear 

supply chain, driving the need for increased 

international engagement on the safe and secure 

use of radioactive material and the need for new 

oversight approaches, including ensuring that foreign 

components used in U.S. nuclear facilities are in 

compliance with NRC requirements; and

n continuous monitoring of the threat environment 

to ensure the security of facilities and accountability 

controls for radioactive materials.

These and other factors are discussed further in 

Appendix A, “Key External Factors.”

To meet these challenges, the NRC must use its 

resources effectively and efficiently, enhance the 

regulatory framework as appropriate to address existing 

or emerging issues, and deploy effective and innovative 

strategies for maintaining staff competence and 

readiness. Even as the NRC works to address these 

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Introductio

Management 

Objectives

(apply to both goals)

Management

Strategies

Safety

Strategies

Cross-Cutting

Strategies

Security

Strategies

Security 

Objectives

Safety

Objectives

Safety Goal Security Goal

MISSION

VISION

Figure 3

Graphical Depiction of Plan Compon

challenges, the agency’s mission and organizational 

values remain unchanged. The agency will remain 

a strong, independent, stable, and effective regulator 

that places the highest priority on ensuring the safety 

and security of the nuclear facilities and radioactive 

materials it regulates.

Organization of the Pl

This strategic plan describes the NRC’s key strategic 

goals of safety and security—outcomes that the agency 

is striving to achieve. Each goal has objectives and 

strategies—the results that are needed to achieve the 

goals. Some of the strategies are specific to a particular 

safety or security objective, while other cross-cutting 

strategies apply to all of the safety and security 

objectives. The plan also includes key management 

objectives that contribute to achieving its goals. See 

Figure 3 for a graphical depiction of these components 

and their interrelationships.

Appendix A covers key external factors that could 

affect the agency’s ability to effectively execute this 

plan.

Appendix B discusses the research and program 

evaluations that were used in developing this plan.

Appendix C provides the schedule of planned program 

evaluations that the agency will use to adjust and refine 

its performance.

Appendix D offers a glossary of terms used in the plan.

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Nuclear Reactor Core

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The pla

Mission

The U.S. Nuclear Regulatory Commission licenses 

and regulates the Nation’s civilian use of radioactive 

materials to protect public health and safety, promote 

the common defense and security, and protect the 

environment.

vision

A trusted, independent, transparent, and effective 

nuclear regulator

To be successful, the NRC must not only excel in 

carrying out its mission, but must do so in a manner 

that engenders the trust of the public and stakeholders. 

This vision is an outgrowth of the NRC operating in a 

manner consistent with its longstanding Principles of 

Good Regulation—independence, openness, efficiency,

clarity, and reliability—and its organizational values 

(see box). These principles guide the agency—from 

how the NRC reaches decisions on safety, security, 

and environmental issues; to how the NRC performs 

administrative tasks; to how its employees interact with 

their fellow employees and other stakeholders.

By adhering to these principles and values, the NRC 

maintains its regulatory competence, conveys that 

competence to stakeholders, and promotes trust in the 

agency.

NRC Organizational V

Integrity in our working relationships, practices, 

and decisions

Service to the public and others who are affected 

by our work

Openness in communications and decisionmaking

Commitment to public health and safety, security, 

and the environment

Cooperation in the planning, management, and 

performance of agency work

Excellence in our individual and collective actions

Respect for individuals’ diversity, roles, beliefs, 

viewpoints, and work/life balance

The next several sections of this plan lay out NRC’s 

strategic goals, strategic objectives, and strategies for 

achieving them. To be consistent with the agency’s 

vision, this material includes cross-cutting strategies 

that are focused on regulatory effectiveness and 

openness.

Strategic Goa

Goal 1: Ensure the safe use of radioactive material

Goal 2  Ensure the secure use of radioactive material

The NRC’s two strategic goals are the results the agency 

must achieve to successfully carry out its mission and are 

the foundation for the rest of the plan. 

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Nuclear Power Plant

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safety

STRATEGIC

GOAL Ensure the safe use of 

radioactive materials.

For this goal, a successful outcome is one in which the 

Nation can continue to use radioactive material for 

civilian purposes while avoiding radiation exposures 

and releases of radioactive material that harm people or 

the environment.

Objective

Safety Objective 1: Prevent and 

mitigate accidents and ensure radiation 

safety.

Minimizing the likelihood of accidents and reducing 

the consequences of an accident (should one occur) 

are the key elements for achieving the NRC’s safety 

goal. Such accidents, particularly for large complex 

facilities like nuclear power plants, have the potential 

to release significant amounts of radioactive material 

to the environment and expose facility workers and the 

public to high levels of radiation. Even in the absence 

of accidents, radiological hazards exist during routine 

operations, and the NRC ensures that measures are in 

place to minimize exposure for workers and the public 

and prevent unintended releases of radioactive materials 

to the environment.

Safety Strategy 1: Enhance the NRC’s 

regulatory programs as appropriate 

using lessons learned from domestic and 

international operating experience and 

other sources.

Contributin

n Enhance the NRC’s regulatory programs by 

implementing safety improvements at nuclear power 

plants, at other nuclear facilities, and in other uses of 

radioactive materials, based on lessons learned from 

the Fukushima Dai-ichi accident, in a manner that is 

consistent with their safety significance.

n Apply lessons learned from license reviews and 

construction of new reactors and fuel cycle facilities 

to enhance the effectiveness and efficiency of 

subsequent reviews and construction oversight.

n Apply lessons learned and best practices to the 

NRC’s consultation and monitoring responsibilities 

under the Ronald W. Reagan National Defense 

Authorization Act for Fiscal Year 2005 related to the 

U.S. Department of Energy’s (DOE’s) disposal of 

waste incidental to reprocessing.

n Evaluate domestic and international operating 

events and trends for risk significance and generic 

applicability.

n Evaluate and implement, as appropriate, 

recommendations from the Inspector General, th

Government Accountability Office, and internal

assessments.

Safety Strategy 2: Enhance the riskinformed and performance-based 

regulatory framework in response to 

advances in science and technology, policy 

decisions, and other factors.

Contributin

n Maintain stable and predictable regulatory programs 

and policies.

n Conduct research activities to confirm the safety of 

operations and enhance the regulatory framework 

by addressing changes in technology, science, and 

policies.

n Develop and implement the regulatory infrastructure 

for the review of small modular reactors and other 

advanced reactor design certification and license 

applications.

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safety

n Implement the regulatory infrastructure to

effectively and efficiently conduct licensing activities 

for applicants developing domestic medical isotope 

production. 

n Develop the regulatory framework, analytical tools, 

and data needed to ensure safe and secure storage, 

transportation, and disposal of spent nuclear fuel 

and high-level radioactive waste.

n Consult with the NRC’s regulatory partners in the 

Agreement States to ensure adequate protection 

of the public and compatibility with the National 

Materials Program.

n Participate in the development of domestic consensus 

codes and standards and international standards to 

ensure that they are soundly based and determine 

whether substantial safety improvements can be 

identified and incorporated in NRC requirements.

n Exchange information, expertise, operating

experiences, and research with domestic and 

international counterparts to increase awareness 

of and respond to emerging technical issues; to 

participate in the development, evaluation, and 

implementation of harmonized standards; to seek 

common approaches to resolving technical issues; 

and to promote best practices.

Safety Strategy 3: Ensure the effectiveness 

and efficiency of licensing and certification 

activities to maintain both quality and 

timeliness of licensing and certification 

reviews.

Contributin

n Conduct new reactor preapplication activities and 

review applications for design certifications, early site 

permits, and combined licenses.

n Conduct quality reviews of licensing requests (e.g.,

amendments, power uprates, renewals, decommissioning

and license termination) and issue timely decisions 

consistent with agency performance indicators.

n Ensure the availability of the regulatory and 

technical framework needed for review of reactor 

license renewal requests for periods beyond 60 years 

of operation.

n Conduct environmental reviews to ensure that 

actions comply with the National Environmental 

Policy Act of 1969.

n Implement recommendations for a licensing processimprovement initiative for spent fuel storage and

transportation.

Safety Strategy 4: Maintain effective and 

consistent oversight of licensee performance 

to drive continued licensee compliance 

with NRC safety requirements and license 

conditions.

Contributin

n Continue to implement, review, and refine the 

Reactor Oversight Process—the principal program 

for overseeing nuclear power plant operation—to 

ensure timely identification of safety issues and to 

ensure that licensees take the actions necessary to 

maintain acceptable safety performance.

n Continue to ensure that licensees, certificate holders, 

and vendors are taking the actions necessary to 

prevent the presence of counterfeit, fraudulent, and 

suspect items that could cause safety risks in nuclear 

facilities or in the use of radioactive materials.

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safety

Safety Strategy 5: Ensure the NRC’s 

readiness to respond to incidents and 

emergencies involving NRC-licensed 

facilities and radioactive materials and 

other events of domestic and international 

interest.

Contributin

n Use operational experience and lessons learned from 

emergency-preparedness exercises to inform the 

regulatory activities.

n Coordinate with Federal, State, local, and Tribal 

partners to strengthen national readiness and 

response capabilities in accordance with the National 

Response Framework.

n Employ outreach before, during, and after 

emergency-preparedness exercises and increase 

collaboration and sharing of best practices and 

lessons learned after emergency-preparedness 

exercises and incidents.

Safety Strategy 6: Ensure that nuclear 

facilities are constructed in accordance 

with approved designs and that there is 

an effective transition from oversight of 

construction to oversight of operation.

Contributin

n Conduct inspections of reactors under construction 

in accordance with established construction reactor 

oversight programs.

n Conduct inspections of fuel facilities under 

construction in accordance with the established 

inspection program.

Safety Strategy 7: Ensure that the 

environmental and site safety regulatory 

infrastructure is adequate to support the 

issuance of new nuclear licenses.

Contributin

n Implement lessons learned insights from the

combined license process for new reactors. 

n Revise regulatory guides in light of knowledge 

gained from the lessons learned from the initial 

combined license reviews and construction activities 

and from research and licensing activities.

n Develop methodologies and tools to enhance site 

safety and environmental reviews in support of 

regulatory needs.

n Continue research activities, including interactions 

with international, academic, and other Federal 

agencies and incorporate insights gained into the 

regulatory infrastructure.

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U.S. NRC Operations Center

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Securit

STRATEGIC

GOAL Ensure the secure use of 

radioactive materials.

For this goal, a successful outcome is to avoid instances 

in which radioactive materials are used in a hostile 

manner.

Objective

Security Objective 1: Ensure 

protection of nuclear facilities and 

radioactive materials.

Protecting nuclear facilities and radioactive materials 

are key elements for achieving the NRC’s security goal. 

Nuclear facilities and materials are protected against 

hostile intent by two primary means: (1) control of 

access to facilities and materials and (2) accountability 

controls for radioactive materials. These controls are 

intended to prevent those with hostile intent from 

either: damaging a nuclear facility in such a way that 

a significant release of radioactive material to the 

environment occurs, or obtaining enough radioactive 

material for malevolent use.

Security Strategy 1: Ensure the effectiveness 

and efficiency of the regulatory framework 

using information gained from operating 

experience and external and internal 

assessments and in response to technology 

advances and changes in the threat 

environment.

Contributin

n Evaluate domestic and international operating events 

and trends for security implications and enhance the 

regulatory framework as warranted.

n Evaluate and implement, as appropriate, 

recommendations from the Inspector General, th

Government Accountability Office, and internal

assessments.

n Assess the threat environment to maintain 

an adequate regulatory framework through 

cooperation and liaison with the intelligence and 

law enforcement communities, as well as with 

international partners.

n Conduct threat assessments, determine the 

consequences of a range of threats, and ensure 

protection of nuclear facilities and radioactive 

materials in ways consistent with existing safety, 

safeguards, and security requirements. Share the 

agency’s results to the extent possible (in ways 

consistent with established protocols) to support 

integrated protection of the Nation’s critical 

infrastructure.

n Coordinate with Federal, State, local, and Tribal 

partners to define, develop, and implement 

integrated response plans, so that responding 

agencies can coordinate effectively with licensees 

during an incident.

Security Strategy 2: Maintain effective and 

consistent oversight of licensee performance 

to drive continued licensee compliance with 

NRC security requirements and license 

conditions.

Contributin

n Conduct inspections to assess licensees’ security 

performance, including force-on-force exercises. 

Conduct followup reviews, inspections, 

investigations, and enforcement as needed.

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security

Plant Access Controls

n Conduct security performance evaluations at each 

applicable nuclear facility to assess each licensee’s 

protective strategy capabilities and to evaluate support 

functions provided by Federal, State, local, and Tribal 

law enforcement.

Security Strategy 3: Support U.S. national 

security interests and nuclear nonproliferation 

policy objectives within NRC’s statutory 

mandate through cooperation with domestic 

and international partners.

Contributin

n Support and participate in international security 

activities, including International Atomic Energy

Agency (IAEA) nonproliferation and guidancedevelopment initiatives, as well as bilateral physical

security initiatives undertaken with countries that 

receive special nuclear material and equipment from the 

United States.

n Participate with Agreement States, the Conference of 

Radiation Control Program Directors, and the DOE’s 

National Nuclear Security Administration in 

identification, location, and recovery of unwanted 

and uncontrolled radioactive materials, often referred 

to as “orphan sources.”

n Support U.S. Government goals to secure

radioactive materials internationally through 

bilateral agreements to support material control and 

accounting programs.

Security Strategy 4: Ensure material 

control and accounting for special nuclear 

materials.

Contributin

n As appropriate, update, consolidate, and integrate 

material control and accounting regulations and 

guidance to make them more risk-informed and 

performance-based.

Security Strategy 5: Protect critical digital 

assets.

Contributin

n Ensure that cyber security guidance for nuclear 

power reactors remains informed by operating 

experience and monitoring of the cyber security 

threat environment.

n Evaluate the need for cyber security requirements 

for fuel cycle facilities, spent fuel storage facilities, 

non-power reactors, nuclear facilities being 

decommissioned, and other materials licensees.

Security Strategy 6: Ensure timely 

distribution of security information to 

stakeholders and international partners.

Contributin

n Enhance communication tools and key informationtechnology investments for dissemination of sensitive 

security information.

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Securit

Security Objective 2: Ensure 

protection of classified and 

Safeguards Information

Protecting classified and Safeguards Information is

another key contributor to achieving the agency’s 

security goal. This is accomplished primarily by 

controlling access to this information to ensure that 

potential adversaries cannot use it for malevolent 

purposes, such as sabotage, theft, or diversion of 

radioactive materials.

Security Strategy 7: Ensure that programs 

for the handling and control of classified 

and Safeguards Information are effectively 

implemented at the NRC and at licensee 

facilities.

Contributin

n Coordinate with licensees to reduce the risks from 

insiders with access to systems or information that 

could assist in malevolent activity.

n Train NRC staff on the appropriate handling of 

classified and Safeguards Information, ensuring that

the training is up-to-date and consistent with national 

policy.

n Apply the inspection and enforcement programs for 

classified information security.

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Spent Fuel Pool

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cross-cutting strategies

The agency’s vision of itself—“A trusted, 

independent, transparent, and effective nuclear 

regulator”—highlights several attributes the 

agency views as critical to its success. To achieve this 

vision, the agency plans to use a number of strategies 

that crosscut and support the fulfillment of both the 

safety and security objectives. These strategies are 

grouped into two areas: (1) regulatory effectiveness and 

(2) openness. 

Regulatory effectivenes

The NRC’s regulatory effectiveness strategies address 

key aspects of the way that the NRC conducts its 

regulatory activities to best achieve its goals and 

objectives. These strategies are:

Regulatory Effectiveness Strategy 1: 

Proactively identify, assess, understand, 

and resolve safety and security issues.

Contributin

n Evaluate, communicate, and apply, as appropriate, 

insights from operational experience reviews and 

lessons-learned programs in a timely manner.

n Systematically assess and apply changes to the 

knowledge base concerning internal and external 

hazards such as seismic activity, flooding, age-related 

degradation of plant components, and physical and 

cyber attacks at nuclear facilities and on radioactive 

materials users.

n Resolve generic safety and security issues and ensure 

implementation of enhancements within timeframes 

commensurate with their risk significance.

n Conduct confirmatory and anticipatory research to 

resolve safety and security issues and confirm the 

safety and security bases for the use of radioactive 

materials.

n Emphasize the importance of developing and 

maintaining an effective nuclear-safety culture for all 

NRC-regulated activities and for activities regulated 

by the Agreement States.

Regulatory Effectiveness Strategy 2: 

Regulate in a manner that effectively 

and efficiently manages known risks and 

threats, clearly communicates requirements, 

and ensures that regulations are consistently 

applied, are practical, and accommodate 

technology changes in a timely manner.

Contributin

n Use risk-informed and performance-based 

approaches, where appropriate, to enhance the 

effectiveness and efficiency of the regulatory 

framework, clarify expectations for the regulated 

community, modify or eliminate rules, and focus 

agency resources on activities most important to 

safety and security.

n Evaluate the NRC program to regulate the safe 

and secure management of spent fuel and apply 

risk insights from operational experience and 

probabilistic risk assessments for spent fuel dry 

storage.

n Apply regulatory tools (e.g., rulemaking, regulatory 

guides, and orders) consistently across and within 

agency program areas.

n Ensure the effectiveness, efficiency, and consistency 

of the licensing and oversight (inspection, 

assessment, and enforcement) processes.

n Engage with the regulated community, the 

public, and other interested stakeholders to ensure 

that diverse views are considered in regulatory 

decisionmaking.

2014-Strategic Plan.indd 17 9/18/14 9
18 United States Nuclear Regulatory Commission

cross-cutting strategies

n Use and adapt externally generated guidance to the 

extent feasible.

n Conduct long-term research to understand the risks 

of current and emerging technologies.

n Improve the regulatory infrastructure by using

superior tools for systems analysis, phenomenological 

analysis, hazard analysis, risk assessment, and 

other regulatory needs to enhance the longterm effectiveness and efficiency of regulatory 

decisionmaking.

n Prepare to license emerging technologies by 

identifying and resolving policy, technical, 

and licensing issues and by making necessary 

modifications to the regulatory framework.

Spent Fuel Dry Storage Casks

Regulatory Effectiveness Strategy 3: 

Integrate safety and security programs 

to identify and avoid unintended 

consequences.

Contributin

n Understand and address the potential for adverse 

effects on safety and security before requiring 

changes to facility configurations or conditions.

n Coordinate and share information on the safety/

security interface with Federal agencies; State, local, 

and Tribal governments; and with the international 

community, as appropriate.

Opennes

As an independent regulatory agency, the NRC 

conducts its regulatory activities as openly as possible 

with meaningful stakeholder involvement. The 

NRC anticipates an increase in public interest 

and expectations across the range of its regulatory 

responsibilities for nuclear power, use of radioactive 

materials, decommissioning activities, and management 

of radioactive waste. The NRC considers public 

involvement in, and information about, its activities to 

be a cornerstone of strong, fair regulation of the nuclear 

industry. The NRC recognizes the public’s interest in 

the proper regulation of nuclear activities and provides 

opportunities for citizens to be heard. For that reason, 

to be consistent with The NRC Approach to Open 

Government2

, the agency is committed to providing

opportunities for the public to participate meaningfully 

in the NRC’s decisionmaking process. The avenues 

and resources for participation are fully described in 

the public participation section3

 of the agency’s public 

Web site.

The NRC’s openness strategies are focused on three 

elements: (1) transparency, (2) participation, and 

(3) collaboration.

Transparency promotes accountability by providing 

the public with information about the NRC’s activities. 

2 U.S. Nuclear Regulatory Commission, “The NRC Approach to 

Open Government,” available at http://www.nrc.gov/publicinvolve/open.html (accessed on May 30, 2014). 3 U.S. Nuclear Regulatory Commission, “Public Participation,” 

available at http://www.nrc.gov/public-involve/open/publicparticipation.html (accessed on May 30, 2014).

2014-Strategic Plan.indd 18 9/18/14 9
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cross-cutting strategies

More specifically, this means that public stakeholders 

should have timely access to clear and understandable 

information about the NRC’s role, processes, activities, 

and decisions.

Participation allows the public to contribute ideas 

and expertise so that the NRC can make regulatory 

decisions with the benefit of information from a wide 

range of stakeholders. These stakeholders should have 

a reasonable opportunity to participate meaningfully in 

the NRC’s regulatory processes.

Collaboration improves the effectiveness of government 

by encouraging partnerships and cooperation within 

the Federal government; with State, local, and Tribal 

governments; and with international regulatory 

authorities.

Openness Strategy 1—Transparency: 

Make clear information about the NRC’s 

responsibilities and activities accessible to 

stakeholders.

Contributin

n Enhance the readability of NRC materials intended 

for the general public.

n Expand the use of plain language, to the extent 

possible, in communicating technical information, 

including the use of plain language summaries in 

technical documents of high public interest.

n Improve the completeness and accuracy of NRC

electronic records and information.

n Provide up-to-date information and enhance ease of 

use of the NRC’s public Web site.

n Expand mobile device access to NRC information of 

high public interest.

n Provide developer tools, such as Web application 

programming interfaces, to facilitate download and 

analysis of key agency information.

Openness Strategy 2—Participation: Enhance interaction with the public and 

other stakeholders through use of social 

media and further enable opportunities 

for meaningful participation in, and 

mutual understanding of, NRC regulatory 

processes.

Contributin

n Use social media analytics to capture and better 

focus the reach of the NRC’s social media platforms 

in order to further improve public communications.

n Engage the public in dialogue using social media.

n Improve the agency’s Public Meeting Notification

System to help members of the public be aware of 

and participate in the agency’s public meetings.

n Provide electronic and mobile access to the Public 

Meeting Feedback System to make it easier for 

members of the public to provide feedback on the 

agency’s public meetings.

n Interact with the public through all stages of the

rulemaking process by holding public meetings, 

publishing draft guidance with proposed rules and 

final guidance with final rules, requesting specific 

comments on cumulative effects of regulation, and 

holding a public meeting on implementation during 

the final rule stage.

n Enable persons to remotely attend and participate in 

significant NRC public meetings and improve public 

meeting access for individuals in ways consistent 

with the Americans with Disabilities Act.

2014-Strategic Plan.indd 19 9/18/14 9
20 United States Nuclear Regulatory Commission

cross-cutting strategies

Openness Strategy 3—Collaboration: 

Promote domestic and global nuclear 

safety and security by creating and taking 

advantage of opportunities to increase 

collaboration and share best practices with 

other Federal agencies, with State, local, 

and Tribal governments, and with the 

international regulatory community.

Contributin

Collaboration with Federal, State, Local, and Tribal

Government

n Collaborate, as appropriate, with other Federal 

agencies in support of the NRC’s regulatory 

responsibilities; and share and adopt best practices to 

improve operations across the Federal government.

n Identify and pursue opportunities to collaborate

and interact with State and local governments in the 

agency’s regulatory programs and processes.

n Identify and implement ways to enhance

intergovernmental collaboration with Tribal 

governments concerning regulatory activities 

through government-to-government consultation, 

coordination, and general outreach.

Collaboration with the International Regulatory

Community

n Provide assistance and training to countries 

embarking on nuclear-power and radioactivematerials programs to help them to build 

their regulatory infrastructure. Through this 

collaboration, build international partnerships that 

can result in new formal technical and cooperative 

arrangements.

n Through focused interactions with international 

counterparts, positively influence safety and 

security by creating opportunities to exchange 

mutually beneficial information; participating in 

the development, evaluation, and implementation of 

international standards; seeking common approaches 

to resolving technical issues; and promoting best 

practices.

NRC Headquarters

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Management objective

Additional Managemen

Objective

More generally, the agency will continue to 

improve the performance of all of its internal 

support functions, with a focus on helping the 

staff to achieve the agency’s safety and security 

goals while making the most efficient use of 

agency resources.

Acquisitions: Acquire best-value goods and 

services in a timely manner to meet mission 

needs.

Cyber and Information Security: Prevent 

unauthorized disclosures or modifications of 

NRC information and minimize disruption of 

the NRC’s mission.

Financial Management: Improve the efficiency

of financial systems and processes and the 

usefulness of the financial information they 

produce for management decisionmaking.

Financial Stewardship: Maintain appropriate 

accountability and controls to ensure effective use 

of government resources.

Internal Customer Services: Improve the

accessibility, delivery, and utility of the services 

that employees and organizational units need to 

work effectively.

Performance Management: Increase the use

of results-oriented performance indicators at all 

levels and improve the utility of performance data 

for agency decisionmaking.

Space and Facilities Management: Optimize 

the use of space to maintain the NRC’s 

regulatory effectiveness, operational efficiency, 

and emergency-response capability and provide a 

physically safe and secure work environment for 

personnel, information, facilities, and equipment.

The agency has chosen two key management 

objectives for fiscal years (FY) 2014–2018 that 

focus on (1) human capital and (2) information 

management and information technology (IT) because

of their high level of impact on the NRC’s safety 

and security goals. The selection of these particular 

objectives is consistent with the NRC Inspector

General’s assessment of the agency’s top management

challenges.

Key manageme

objective 1 – Huma

Capita

Objective: Attract, develop, and 

maintain a high-performing, diverse, 

engaged, and flexible workforce 

with the skills needed to adapt to 

workload changes and effectively 

carry out the NRC’s mission now and 

in the future.

Human Capital Strategy 1: Maintain 

qualified and flexible staff and close skill 

gaps in mission-critical occupations.

Contributin

n Conduct workforce assessments to identify skill gaps 

and use human capital strategies (e.g., recruitment, 

development, retention) to close them with diverse 

and qualified employees.

n Optimize the NRC’s organizational structure 

and staffing to align with and support the NRC’s 

mission.

n Use mission-critical occupation information to 

identify and plan activities and programs to train, 

retain, and recruit employees.

n Maintain critical technical expertise in regulatory 

areas such as licensing, inspection, and research.

2014-Strategic Plan.indd 21 9/18/14 9
22 United States Nuclear Regulatory Commission

Management objective

n Encourage employee work/life balance by offering 

flexible work schedules, telework, and wellness 

services.

n Apply innovative and cost-effective strategies 

for recognizing, rewarding, and retaining topperforming employees.

Human Capital Strategy 2: Hire the best 

talent to achieve a high-performing, diverse, 

and engaged workforce with the skills 

needed to carry out the NRC’s mission now 

and in the future and close skills gaps in 

mission-critical occupations.

Contributin

n Identify appropriate recruitment and staffing

strategies and manage progress towards hiring and 

retaining the best talent.

n Fill skill gaps and mission-critical positions and 

participate in targeted outreach efforts.

n Engage U.S. universities and colleges to support 

relevant programs and pursue recruitment.

Human Capital Strategy 3: Improve 

knowledge management by identifying 

and capturing critical knowledge from 

employees, transferring it to those who need 

it now, and making it accessible for the 

future.

Contributin

n Provide innovative agency support structures for 

knowledge management.

n Create communities of practice that enable the 

sharing of relevant knowledge and critical skills 

among employees who perform the same job 

function.

n Capture operating experience, new information on 

safety and security issues, and knowledge gained 

from inspection, research, and licensing activities in 

regulatory guidance.

n Capture relevant critical knowledge from employees 

departing the agency, recapture knowledge from 

former employees where possible, communicate 

leadership expectations for knowledge sharing, 

formalize knowledge management values and 

principles, and incorporate knowledge management 

practices within agency work processes.

Human Capital Strategy 4: Promote a 

strong NRC internal safety culture with an 

open, collaborative work environment.

Contributin

n Ensure agency policy, procedures, self-assessment 

programs, and training programs encourage 

adherence to NRC values and foster an open and 

collaborative work environment, including the 

expression of differing views and raising missionrelated concerns without fear of retaliation.

n Conduct self-assessments and apply organizational 

development principles to selected areas to address 

organization-specific challenges and enhance NRC 

safety culture.

Human Capital Strategy 5: Enhance 

employee learning opportunities and 

optimize the use of training resources 

from an agencywide perspective to meet 

the agency’s current and future critical 

skill needs.

Contributin

n Improve awareness of courses offered internally to

maximize employee development and the value of 

these resources to the agency.

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Management objective

n Optimize the development and delivery of 

training to build needed competencies, including 

the identification of courses that are suitable for 

conversion to online or blended delivery.

n Provide job-related training for staff before agency 

implementation of new regulations, guidance, or 

changes in technology.

n Apply a systematic approach for approving external 

training resources.

n Continuously improve development programs such 

as the Nuclear Safety Professional Development 

Program (NSPDP), Leadership Potential Program

(LPP), and Senior Executive Service Candidate

Development Program (SESCDP) to maximize their 

value to the participants and the agency.

Human Capital Strategy 6: Strengthen 

workforce diversity and inclusion.

Contributin

n Identify and eliminate barriers to recruitment,

development, advancement, and retention of 

employees, including those in underrepresented 

groups.

n Promote diversity management and inclusion with 

the goal of enabling all employees to reach their full 

potential in pursuit of the organization’s mission. 

This includes fostering an environment in which 

diversity and inclusion are commonplace and 

enhance execution of the agency’s objectives.

n Hold managers accountable for making sound hiring 

and promotion decisions while ensuring a diverse 

and inclusive organization.

Key manageme

objective 2 – information

management an

Objective: Make it easier for NRC 

staff to perform their mission and 

to obtain the information they need 

from authoritative sources anytime, 

anywhere, on any device, while 

managing the risk of compromise of 

sensitive information.

Information Management and IT 

Strategy 1: Enable the NRC’s staff to easily 

find and use the information they need.

Contributin

n Centralize and organize the NRC’s information 

repositories and Web sites to increase the currency 

and usefulness of information.

n Identify and require the use of authoritative data

sources across the organization.

n Improve the life-cycle management of the agency’s

information and records to include the capture, 

usage, storage, and disposition of information.

Information Management and IT 

Strategy 2: Develop a flexible technology 

infrastructure that provides the foundation 

to consistently deliver the IT solutions 

needed to further the agency’s objectives and 

strategies.

Contributin

n Upgrade network capacity to meet increasing 

demand for data communication.

2014-Strategic Plan.indd 23 9/18/14 9
24 United States Nuclear Regulatory Commission

Management objective

n Upgrade video teleconferencing and other meetingsupport technologies to enhance meeting capabilities 

and reduce travel time and expenses.

n Explore implementing cloud-based data-center 

capabilities as a means to consolidate services and 

reduce costs.

n Reduce the number of NRC’s data centers owned 

and operated by the NRC.

n Implement an effective cyber security program for

protection of the NRC’s IT assets while managing

the risk of compromise.

Information Management and IT Strategy 3: 

Improve the value of the NRC’s IT solutions 

by providing the right products and services 

when and where needed to support the 

agency’s mission.

Contributin

n Implement mobile Web capabilities for NRC staff

where needed; for example, tablet-based inspection 

capabilities for inspectors at licensee facilities and 

remote sites.

n Increase Web access to NRC information on any

device.

n Improve IT systems supporting key agenc

functions, including operating reactor oversight, 

radioactive materials licensing and tracking, and 

agency resource management.

n Expand the use of common IT platforms to enhance

agency processes.

Information Management and IT 

Strategy 4: Improve enterprise IT 

planning, budgeting, and performance 

management to effectively manage IT 

resources and investments.

Contributin

n Improve access to integrated IT investmen

information needed for decisionmaking from budget 

through operation.

n Improve project management and execution

standards through evaluating how IT projects

perform against approved budgets, schedules, and 

requirements.

2014-Strategic Plan.indd 24 9/18/14 9
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appendices

Appendix A—Key Exter

Factor

The ability of the U.S. Nuclear Regulatory 

Commission (NRC) to achieve its strategic goals and 

their associated strategic objectives is influenced by 

many external factors, including industry operating 

experience, national priorities, the threat environment, 

legislation, Federal court litigation, market forces, and 

resource availability. This appendix discusses the most 

significant of these factors for each strategic objective. 

The NRC will strengthen its ability to manage change 

and maintain its readiness to respond promptly to any 

agency priority shifts necessitated by factors that are 

beyond its control. The agency will also make efforts 

to influence those factors that enable the achievement 

of its strategic objectives.

External Factors Affecti

Safety Objective 1  Prevent a

mitigate accidents and ensure 

radiation safety.

Market Pressures on Operating Plants and 

License Applications

Market forces result in pressures to reduce operating 

costs. As a result, the NRC needs to be prepared to 

address potential shutdowns of facilities before license 

expiration and to continue to ensure that oversight 

programs identify degrading facility safety and security 

performance. Conversely, the lower capital costs of 

small modular reactors (under 300 megawatts) may 

offer industry a more attractive option to add new 

capacity. Several entities are seeking to submit license 

applications for small modular reactors in the next 

several years. The Department of Energy is funding 

a program “to design, certify and help commercialize 

innovative small modular reactors (SMRs) in the 

United States.” The NRC is developing a licensing 

framework for these as well as other advanced reactors.

Significant Operating Incident at a NonU.S. Nuclear Facility 

A significant incident at a nuclear facility outside the 

United States could cause the agency to reassess its 

safety and security requirements, which could change 

the agency’s focus on some initiatives related to its 

objectives until the situation stabilizes.

Significant Operating Incident at a Domestic 

Nuclear Facility

A significant incident at a U.S. nuclear facility could 

cause the agency to reassess its safety and security 

requirements, which could change the agency’s focus 

on some initiatives related to its objectives until the 

situation stabilizes. Because the NRC’s stakeholders 

are highly sensitive to many issues regarding the use of 

radioactive materials, even events of relatively minor 

safety significance could potentially require a response 

that consumes considerable agency resources.

International Nuclear Standards Developments

International organizations, such as the Internationa

Atomic Energy Agency (IAEA), will continue to develop

and issue standards and guidance affecting global 

commitments to nuclear safety and security. To ensure 

that the best results are achieved both domestically and 

internationally, the NRC needs to proactively engage in 

these international initiatives and to provide leadership 

in a cooperative and collegial manner.

International Treaties and Conventions

As part of the international response to lessons learned 

from the Fukushima Dai-ichi nuclear accident in Japan, 

the international nuclear regulatory community is 

reviewing the Convention on Nuclear Safety. As one 

2014-Strategic Plan.indd 25 9/18/14 9
26 United States Nuclear Regulatory Commission

Appendice

of the contracting parties to the Convention, the NRC 

is a member of the working group that is reviewing 

the Convention. Likewise, the NRC participates

in the Joint Convention on the Safety of Spent Fuel 

Management and on the Safety of Radioactive Waste 

Management.

Globalization of the Nuclear Technology and the 

Nuclear Supply Chain

Components for nuclear facilities are increasingly 

manufactured overseas, resulting in challenges of 

providing effective oversight to ensure that these 

components are in compliance with NRC requirements. 

In addition, the continuing globalization of nuclear

technology is driving the need for increasing 

international engagement on the safe use of radioactive 

material.

External Factors Affecti

Security Objective 1  Ensu

protection of nuclear facilities 

and radioactive materials.

Significant Terrorist Incident

A sector-specific credible threat or actual significant 

terrorist incident anywhere in the United States would 

result in the Department of Homeland Security 

(DHS) raising the threat level under the National 

Terrorism Advisory System (NTAS). In turn, the NRC

would similarly elevate the oversight and response 

stance for NRC-regulated facilities and licensees. 

Potentially, new or revised security requirements 

or other policy decisions might affect the NRC, its 

partners, and the regulated community. In a similar

fashion, a significant terrorist incident at a nuclear 

facility or activity anywhere in the world would need 

to be assessed domestically and potentially lead to 

a modification of existing security requirements for 

NRC-regulated facilities and licensees.

International Treaties and Conventions

The ratification by the United States of international 

instruments related to the security of nuclear 

facilities or radioactive materials could potentially 

impose binding provisions on the Nation and the 

corresponding governmental agencies, such as the NRC 

and the DOE.

Globalization of Nuclear Technology

The continuing globalization of nuclear technology is 

driving the need for increased international engagement 

on the secure use of radioactive material.

Legislative and Executive-Branch Initiatives

Congressional and Executive Branch initiatives 

concerning cyber security may potentially impact the 

NRC’s regulatory framework for nuclear security. If

the NRC were to become concerned about an aspect 

of a bill or policy initiative that had been introduced, 

the staff would consult the Commission to develop a 

strategy for making such concerns known.

External Factors Affecti

Security Objective 2  Ensu

protection of classified and 

Safeguards Informatio

Lost, Misplaced, Intercepted, or Delayed 

Information

With the increased use of mobile devices and 

alternative storage options, the introduction of new 

communication technologies, and the increased use 

of telecommunication, there is a heightened risk that 

sensitive information held by the NRC or its licensees 

can be lost, misplaced, or intercepted and fall into the 

hands of unauthorized persons.

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Appendice

Appendix B—Evaluatio

and Researc

In developing this strategic plan, the U.S. Nuclear

Regulatory Commission (NRC) used the following 

information from research and program evaluations 

to assess the efficacy of existing programs and to help 

shape the agency’s objectives and strategies:

n The annual Abnormal Occurrence (AO) Report 

for Congress4

 documents unscheduled incidents or 

events, across all activities regulated by the NRC and 

by the Agreement States, that the NRC determines 

to be significant from the standpoint of public health 

or safety and of significant stakeholder interest.

n The NRC’s Annual Industry Trends Report details

the nuclear power industry’s performance with 

respect to significant adverse trends in nuclear 

security and safety, including trends for significant 

events, radiation exposure, safety-system actuations, 

automatic control-rod insertions in nuclear power 

reactors, occurrence of reactor accident precursors, 

and safety-system failures.

n The Reactor Oversight Process (ROP) is a riskinformed, tiered approach for ensuring the safety 

of nuclear power plants. It includes collecting

information about licensee performance, assessing 

the safety significance of the information, taking 

appropriate actions, and ensuring that licensees 

correct deficiencies.

4 Abnormal Occurrence Reports are available at http://www.nrc.

gov/reading-rm/doc-collections/nuregs/staff/sr0090/.

n The Annual Report to the Commission on the 

Accident Sequence Precursor (ASP) Program5

systematically evaluates U.S. nuclear plant operating 

experience to identify, document, and rank those 

operating events that were most significant in terms 

of the potential for inadequate core cooling and 

severe core damage.

n Integrated Materials Performance Evaluation

Program (IMPEP) Reviews of NRC regional offices

and Agreement States6

 are a structured process for 

evaluating the performance of NRC regional offices 

and Agreement States in overseeing the safe and 

secure use of radioactive materials.

Review of this information confirmed that the NRC 

has a strong, solid, and mature regulatory program 

as evidenced by the achievement of the strategic 

outcomes in past Strategic Plans and historical industry 

performance trends. The data demonstrates that 

licensees have made longterm improvements in nuclear 

safety and security. However, these reviews and 

significant external events revealed areas for continued 

improvement and regulatory vigilance.

Planned program evaluations for Fiscal Years 

(FY) 2014– 2018 appear in Appendix C.

5 The Accident Sequence Precursor Report for Fiscal Year 2013 

is available at http://www.nrc.gov/reading-rm/doc-collections/

commission/secys/2013/2013-0107scy.pdf. 6 Information about the Integrated Materials Performance Evaluation Program and associated reports are available at http://

nrc-stp.ornl.gov/impeptools.html.

2014-Strategic Plan.indd 27 9/18/14 9
28 United States Nuclear Regulatory Commission

Appendice

Appendix C—Plann

Program Revie

Abnormal Occurrence (

Repor

Expected Completion Date: Annually.

Objective: To ensure that licensed activities are 

conducted safely, the Abnormal Occurrence Report 

provides a summary of the review of and response to 

industry operating experience.

Scope: The AO report helps to identify safety 

and security deficiencies and ensure that corrective 

actions are taken to prevent recurrence. Through the 

assessment, the U.S. Nuclear Regulatory Commission 

(NRC) and industry review and evaluate operating 

experience to identify safety concerns and the NRC 

responds to risk-significant issues through licensing 

reviews, inspections, and enhancements to its 

regulations.

Accident Sequence Precurs

(ASP) Pro

Expected Completion Date: Annually.

Objective: The ASP Program systematically evaluates 

U.S. nuclear power plant operating experience to 

identify, document, and rank the operating events that 

are most likely to lead to inadequate core cooling and 

severe core damage (precursors) that would contribute 

to the likelihood of additional failures.

Scope: The annual assessment (1) provides a 

comprehensive, risk-informed view of nuclear power 

plant operational experience and a measure for trending 

core-damage risk at nuclear power plants, (2) provides 

a partial check on dominant core-damage scenarios 

predicted by probabilistic risk assessments, (3) provides 

feedback to regulatory activities, and (4) helps the 

agency monitor performance against the safety goals 

established in the agency’s Strategic Plan.

Construction Reacto

Oversight Process (

Expected Completion Date: Annually.

Objective: The annual cROP self-assessment has 

three objectives: (1) to determine whether the ongoing 

program is effective in supporting the achievement 

of the performance goals and the agency’s strategic 

goals; (2) to provide timely, objective information to 

inform program planning and to develop recommended 

improvements to the cROP; and (3) to inform the 

Commission, NRC senior management, and the public 

of the results of the cROP self-assessment program, 

including any conclusions and resulting improvement 

actions.

Scope: At a minimum, the annual self-assessment 

includes (1) an evaluation of the construction 

inspection program; the construction significancedetermination process; the closure-verification program 

for Inspections, Tests, and Acceptance Criteria

(ITAAC); the construction enforcement program, and

the construction assessment program; (2) discussions 

and assessments of cROP communications and cROP 

resource expenditures; and (3) updates on recent 

issues associated with ITAAC and recent domestic

and international construction experience being 

incorporated in the NRC’s programs.

Support Servic

Expected Completion Date: Annually.

Objective: Each program evaluation will determine 

whether the NRC’s support services (e.g., administrative 

services, human capital management, financial 

management (including contract management), and 

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Appendice

information technology and information management) 

are being delivered in ways consistent with the agency’s 

overall goals and whether internal and external 

customer needs and requirements are met.

Scope: The annual questionnaire, survey, or checklist 

will determine (1) whether the program area delivers the 

promised results, (2) the level of customer satisfaction, 

and (3) the program’s strengths and weaknesses.

Integrated Materials

Performance Evaluatio

Program (IMPEP) Revie

Regional Offices and Agreeme

State

Expected Completion Date: Individual State and

regional reviews usually conducted every 4 years; review 

of the National Materials Program conducted annually.

Objective: Each program evaluation will determine 

whether the regional offices and Agreement States are 

conducting programs that meet the objectives set out 

in Management Directive 5.6, “Integrated Materials 

Performance Evaluation Program (IMPEP),” dated 

February 26, 2004.

Scope: The evaluations include common criteria and 

criteria specific to the activities and responsibilities of 

the Agreement States and NRC regional offices. The 

staff factors any recommendations or good practices 

into future reviews of materials programs.

Operator Licensing Prog

Expected Completion Date: Annually.

Objective: The annual evaluation of the Operator 

Licensing Program ensures that the program is effective

and consistently implements the requirements in 

Title 10, “Energy,” of the Code of Federal Regulations

(10 CFR) Part 55, “Operators’ Licenses”; the guidance

in NUREG-1021, “Operator Licensing Examination 

Standards for Power Reactors,” Revision 9, issued 

July 2004; and other policy documents.

Scope: The annual evaluation of the Operator 

Licensing Program involves audits of one or two

written examinations and operating tests in each NRC 

region to ensure consistent quality, level of difficulty, 

administration, and grading. The evaluation also 

includes a detailed review of the operator-licensing 

function of one regional office each year, so that 

each region is reviewed once every four years; during 

the other three years, the regions perform a similar 

self-assessment. The detailed reviews assess seven 

functional areas: (1) administrative requirements, 

(2) written examinations, (3) operating tests, 

(4) requalification-program oversight, (5) regional 

operations, (6) licensing assistant activities, and 

(7) resource use.

Reactor Oversight Process

Expected Completion Date: Annually.

Objective: The annual reactor oversight program 

evaluation has two objectives: (1) to determine 

whether the ongoing program is effective in supporting 

the achievement of the performance goals and the 

agency’s strategic goals and (2) to provide timely, 

objective information to inform program planning and 

improvements.

Scope: At a minimum, the evaluation includes (1) the 

efficiency of the agency’s baseline inspection program, 

(2) the effectiveness of the significance-determination 

process, (3) the usefulness of current performance 

indicators for enhancing agency planning and response, 

and (4) the effectiveness of the assessment program in 

prescribing appropriate regulatory oversight to those 

plants with performance deficiencies.

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30 United States Nuclear Regulatory Commission

Appendice

Appendix D—Gloss

Agreement State: A State that has signed an 

agreement with the U.S. Nuclear Regulatory 

Commission (NRC) authorizing the State to regulate 

certain uses of radioactive materials within the State.

Byproduct Material: As defined by NRC regulations, 

byproduct material includes any radioactive material 

(except enriched uranium or plutonium) produced 

by a nuclear reactor. It also includes the tailings or

wastes produced by the extraction or concentration 

of uranium or thorium or the fabrication of fuel 

for nuclear reactors. Additionally, it is any material 

that has been made radioactive through the use 

of a particle accelerator or any discrete source of 

radium-226 used for a commercial, medical, or research 

activity. In addition, the NRC, in consultation with

the U.S. Environmental Protection Agency (EPA), 

U.S. Department of Energy (DOE), U.S. Department 

of Homeland Security (DHS), and others, can designate 

as byproduct material any source of naturally occurring 

radioactive material, other than source material, that 

it determines would pose a threat to public health 

and safety or the common defense and security of the 

United States.

Effectiveness: The degree to which the outcome of an 

activity, process, or program contributes to achieving 

the agency’s strategic goals, objectives, or strategies.

Efficiency: The degree to which the resources needed 

to produce an outcome can be minimized without 

reducing the outcome’s effectiveness.

High-Level Radioactive Waste (HLW)  The highl

radioactive materials produced as byproducts of fuel 

reprocessing or of the reactions that occur inside 

nuclear reactors. HLW includes the following

n irradiated spent nuclear fuel discharged from 

commercial nuclear power reactors

n the highly radioactive liquid and solid materials 

resulting from the reprocessing of spent nuclear fuel, 

which contain fission products in concentration 

(this includes some reprocessed HLW from defense

activities and a small quantity of reprocessed 

commercial HLW

n other highly radioactive materials that the 

Commission may determine require permanent 

isolation

Nuclear Safety Culture (as it applies to the regulated

community)7

: The core values and behaviors 

resulting from a collective commitment by leaders 

and individuals to emphasize safety and security over 

competing goals to ensure protection of people and the 

environment.

Performance-Based Regulation: A regulatory 

approach that focuses on desired, measurable outcomes 

rather than on prescriptive processes, techniques, or 

procedures. Performance-based regulation leads to 

defined results without specific direction regarding 

how those results are to be obtained. At the NRC, 

performance-based regulatory actions focus on 

identifying performance measures that ensure an 

adequate safety margin and offer incentives for 

licensees to improve safety without formal regulatory 

intervention by the agency.

Radioactive Material: As used within this strategic 

plan, this term refers to any substance that produces 

ionizing radiation and is regulated by the NRC. The 

7 The NRC’s Safety Culture Policy Statement, published in the 

Federal Register on June 14, 2011 at 76 FR 34773, is available 

at http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-

14656.pdf.

2014-Strategic Plan.indd 30 9/18/14 9
Strategic Plan Fiscal Y4-

Appendice

NRC regulates all civilian uses of material producing 

ionizing radiation, including use of such substances for 

nuclear power generation, all aspects of the nuclear fuel 

cycle, medical and government uses, and research and 

industrial applications.

Regulatory Framework: The interrelated elements 

that form the basis for the NRC’s oversight of the use of 

radioactive materials, including (1) the NRC’s mandate 

from Congress in the form of enabling legislation; 

(2) the NRC’s licenses, orders, and regulations in 

Title 10 of the Code of Federal Regulations (10 CFR); 

(3) regulatory guides, review plans, and other 

documents that clarify and guide the application of 

NRC requirements and amplify agency regulations; 

(4) the licensing and inspection procedures used by 

NRC employees; and (5) the agency’s enforcement 

guidance.

Risk Assessment: A systematic method for addressing 

the following three questions as they relate to the 

performance of a particular system: (1) What can go 

wrong? (2) How likely is it? and (3) What are the 

consequences?

Risk-Informed: An approach to decisionmaking in 

which risk insights are considered along with other 

factors such as engineering judgment, safety limits, 

and redundant and/or diverse safety systems. Such an 

approach is used to establish requirements that better 

focus licensee and regulatory attention on design and 

operational issues and ensure that that attention is 

commensurate with the importance of those issues to 

public health and safety.

Risk-Informed Regulation: An approach to 

regulation taken by the NRC that incorporates an 

assessment of safety significance or relative risk. This 

approach ensures that the regulatory burden imposed 

by an individual regulation or process is appropriate to 

its importance in protecting the health and safety of the 

public and the environment.

Risk-Informed Decisionmaking: An approach to 

regulatory decisionmaking in which insights from 

probabilistic risk assessment are considered with other 

engineering insights.

Risk Insights: Refers to the results and findings that 

come from risk assessments and may include improved 

understanding of the likelihood of possible outcomes, 

sensitivity of the results to key assumptions, relative 

importance of the various system components and their 

potential interactions, and the areas and magnitude of 

the uncertainties.

Source Material: Uranium or thorium, or any 

combination thereof, in any physical or chemical form, 

or ores that contain, by weight, 1/20 of 1 percent 

(0.05 percent) or more of (1) uranium, (2) thorium, or 

(3) any combination thereof. Source material does not 

include special nuclear material.

Special Nuclear Material: Plutonium, uranium-233,

or uranium enriched in the isotopes uranium-233 or 

uranium-235.

Spent (Depleted or Used) Nuclear Fuel  Nuclea

reactor fuel that has been used to the extent that it can 

no longer effectively sustain a chain reaction. 

Stakeholders: Members of the public; Federal, State, 

Tribal, and local agencies; and license applicants and 

licensees with a specific interest in a given topic.

Standards: Technical requirements and recommended 

practices for any device, apparatus, system, or 

phenomenon associated with a specific field. 

2014-Strategic Plan.indd 31 9/18/14 9
32 United States Nuclear Regulatory Commission

Availability of reference materials i NRC publica

NRC reference Materi

As of November 1999, you may electronically access NUREG-series

publications and other NRC records at the NRC Library at http:/

www.nrc.gov/reading-rm.html.

Publicly released records include, to name a few, NUREG-series

publications; Federal Register notices; applicant, licensee, and vendor 

documents and correspondence; NRC correspondence and internal 

memoranda; bulletins and information notices; inspection and 

investigative reports; licensee event reports; and Commission papers 

and their attachments.

NRC publications in the NUREG-series, NRC regulations, and

Title 10, “Energy,” of the Code of Federal Regulations may also be 

purchased from one of these two sources.

1. The Superintendent of Documents

U.S. Government Printing Offic

Mail Stop SSOP

Washington, DC 20402-0001

 Internet: bookstore.gpo.g

Telephone: 202-512-1800

Fax: 202-512-2250

2. The National Technical Information Servic

Springfield, VA 22161-0002

www.ntis.gov

1-800-553-6847 or, locally, 703-605-6000

A single copy of each NRC draft report for comment is available 

free, to the extent of supply, upon written request as follows:

Address: Office of Administration,

Publications Branch

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

E-mail: DISTRIBUTION.Resource@nrc.gov

Facsimile: 301-415-2289

Some publications in the NUREG-series that are posted on the

NRC’s Web site at http://www.nrc.gov/reading-rm/doc-collections/

nuregs are updated periodically and may differ from the last printed 

version. Although references to material found on a Web site bear 

the date the material was accessed, the material available on the 

date cited may subsequently be removed from the site.

Legally binding regulatory requirements are stated only

in laws; NRC regulations; licenses, including technical 

specifications; or orders, not in NUREG-series publications.

The views expressed in contractor-prepared publications in this 

series are not necessarily those of the NRC.

The NUREG-series comprises (1) technical and administrative

reports and books prepared by the staff (NUREG–XXXX) or

agency contractors 

(NUREG/CR–XXXX), (2) proceedings of conferences

(NUREG/CP–XXXX), (3) reports resulting from international

agreements (NUREG/IA–XXXX), (4) brochures (NUR

BR–XXXX), and (5) compilations of legal decisions and orders 

of the Commission and Atomic and Safety Licensing Boards

and of Directors’ decisions under 10 CFR 2.206, “Requests 

for Action under the Subpart” of the NRC’s regulations 

(NUREG-0750)

Non-NRC Reference Mate

Documents available from public and special technical 

libraries include all open literature items, such as books, 

journal articles, and translations, Federal Register notices, 

Federal and State legislation, and congressional reports. 

Such documents as theses, dissertations, foreign reports and 

translations, and non-NRC conference proceedings may be 

purchased from their sponsoring organization.

Copies of industry codes and standards used in a substantive 

manner in the NRC regulatory process are maintained at–

The NRC Technical Librar

Two White Flint North

11545 Rockville Pike

Rockville, MD 20852-2738

These standards are available in the library for reference use by 

the public. Codes and standards are usually copyrighted and 

may be purchased from the originating organization or, if they 

are American National Standards, from–

American National Standards Institut

11 West 42nd Street

New York, NY 10036-8002

www.ansi.org

212-642-4900

2014-Strategic Plan.indd 32 9/18/14 9
Strategic Plan Fiscal Y4-

NRC bibliographic data sh

NRC FORM 335 

(9-2004)

NRCMD 3.7

1. REPORT NUMBER

(Assigned by NRC, Add Vol., Supp., Rev., 

and Addendum Numbers, if any.)

2. TITLE AND SUBTITLE 3. DATE REPORT PUBLISHED

MONTH YEAR

4. FIN OR GRANT NUMBER

5. AUTHOR(S) 6. TYPE OF REPORT

7. PERIOD COVERED

8

 

. 

e an

PERFORMING ORGANIZATION - NAME AND ADDRESS (If NRC, provide Division, Office or Region, U. S. Nuclear Regulatory Commission, and mailing address; if contractor, 

 provide nam d mailing address)

9.

 

SPONSORING ORGANIZATION - NAME AND ADDRESS (If NRC, type “Same as above”, if contractor, provide NRC Division, Office or Region, U.S. Nuclear Regulatory Commission, 

 and mailing address)

10. SUPPLEMENTARY NOTES

11. ABSTRACT (200 words or less)

12. KEY WORDS/DESCRIPTORS (List words or phrases that will assist researchers in locating the report) 13. AVAILABILITY STATEMENT 

14. SECURITY CLASSIFICATION

(This Page) 

(This Report) 

15. NUMBER OF PAGES 

16. PRICE 

BIBLIOGRAPHIC DATA SHEET

(See instructions on the reverse)

 09

N/A

Triennial

Fiscal Years 2014–2018

Unlimited

Unclassified

Unclassified

NUREG-1614, Vol. 6

U.S. Nuclear Regulatory Commission

Strategic Plan

Fiscal Years 2014–2018

Strategic Plan

Fiscal Years 2014–2018

Mission

Goals

Outcomes

The Fiscal Years 2014–2018 Strategic Plan describes the NRC’s mission and establishes the Commission’s

strategic direction by defining the strategic goals and outcomes the agency intends to pursue. 

David Holley, Francine Goldberg, Richard Baum, James Coyle, et al.

Same as above

NRC FORM 335 (12-2010)

2014

Division of Planning and Budget

Office of the Chief Financial Officer

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

2014-Strategic Plan.indd 33 9/18/14 9
2014-Strategic Plan.indd 34 9/18/14 9