The U.S. Nuclear 

Regulatory 

Commission

and How

It Works

Office of Nuclear Material Safety and Safeguards

U.S. Nuclear Regulatory Commission

Washington, D.C. 20555

August 2000

Author

Cynthia G. Jones

NUREG/BR-0256

ABSTRACT

This brochure describes the programs used by the 

Nuclear Regulatory Commission (NRC) to fulfill its pri

mission for the regulation of the Nation's civilian use 

byproduct, source, and special nuclear materials to ens

adequate protection of the public's health, safety, and e

ment. It will briefly provide some historical perspectiv

legislative mandates, describe the major NRC program

as how the NRC goals are accomplished, and discuss th

anisms by which NRC oversight is implemented. Fina

provide information on NRC's administrative and rule

processes as well as dicsuss participation opportunities 

able to the public that can assist NRC in its regulatory 

sight mission. It has been developed for use by membe

public, licensees and certificate holders, and new NRC 
iv

ACKNOWLEDGEMENTS

NUREG/BR-0256 originated from a course taught 

1998 Health Physics Society Summer at the University 

Wisconsin, River Falls, 6-10 July 1998. Although many 

topics were presented, a majority of individuals registe

this summer school requested that the Nuclear Regula

Commission’s (NRC’s) presentation be able to clearly d

the mechanisms and processes by which the Commissio

ates on a daily basis. A major contributor, co-author, a

senter at that presentation was Ms. Charleen T. Radda

NRC’s Office of Nuclear Material Safety and Safeguard

dedicated effort and attention to detail in that project m

development, update, and completion of this brochure a 

simpler task. In addition, the author is grateful for the 

agement and publication approval given by Dr. Carl J.

Paperiello, Deputy Executive Director for Materials, Re

and State Programs, NRC.
CONTENTS

Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . 

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . 

2 Legislative Mandate . . . . . . . . . . . . . . . . . . . 

2.1 Atomic Energy Act of 1954 as Amended . . . . . . 

2.2 Government Reorganization . . . . . . . . . . . . . . . 

2.3 Radioactive Waste Legislation . . . . . . . . . . . . . 

2.4 User Fees and Annual Charges . . . . . . . . . . . . . 

2.5 Administrative Procedure Act . . . . . . . . . . . . . . 

2.6 National Environmental Policy Act . . . . . . . . . . 

3 NRC’s Primary Functions . . . . . . . . . . . . . . . 

4 Reactor Oversight Program . . . . . . . . . . . . . 

4.1 Nuclear Reactor Licensing Process . . . . . . . . . . 

4.2 Inspecting the Nuclear Power Plant . . . . . . . . . 

4.3 License Renewal . . . . . . . . . . . . . . . . . . . . . . . . 

4.4 Nuclear Power Plant Decommissioning . . . . . . 

5 Materials Oversight Program . . . . . . . . . . . 

5.1 Medical Uses . . . . . . . . . . . . . . . . . . . . . . . . . . . 

5.2 Industrial Uses . . . . . . . . . . . . . . . . . . . . . . . . . 

5.3 Fuel Cycle Safety and Safeguards . . . . . . . . . . 

5.4 Spent Fuel Programs . . . . . . . . . . . . . . . . . . . . 

5.5 Waste Management . . . . . . . . . . . . . . . . . . . . . . 

6 Research Program . . . . . . . . . . . . . . . . . . . . . 

7 International Programs . . . . . . . . . . . . . . . . 
vi

8.1 Rules and Regulations . . . . . . . . . . . . . . . . . . . 

8.2 Licensing Guidance . . . . . . . . . . . . . . . . . . . . . . 

8.3 Consolidated Guidance . . . . . . . . . . . . . . . . . . . 

8.4 Enforcement and Legal Opinions . . . . . . . . . . . 

8.5 Memoranda of Understanding . . . . . . . . . . . . . 

8.6 Regulatory Guides . . . . . . . . . . . . . . . . . . . . . . . 

8.7 Inspection Guidance . . . . . . . . . . . . . . . . . . . . . 

8.8 Generic Communications . . . . . . . . . . . . . . . . . 

8.9 Codes and Standards . . . . . . . . . . . . . . . . . . . . 

8.10 NRC Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . 

9 Expectations of Licensees . . . . . . . . . . . . . . 

10 Is Your Voice Being Heard? . . . . . . . . . . . . . 

10.1 The Freedom of Information Act . . . . . . . . . . . . 

10.2 NRC Web Site . . . . . . . . . . . . . . . . . . . . . . . . . . 

10.3 For More Information . . . . . . . . . . . . . . . . . . . . 

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

Appendix A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

Figures

1. U.S. Commercial Nuclear Power Reactors . . . . 

2. NRC Regions . . . . . . . . . . . . . . . . . . . . . . . . . . . 

3. NRC Agreement States . . . . . . . . . . . . . . . . . . . 

4. Major U.S. Fuel Cycle Facility Sites . . . . . . . . . 

5. Operating Independent Spent Fuel 

Storage Installations . . . . . . . . . . . . . . . . . . . . . 

6. Storage of Spent Fuel . . . . . . . . . . . . . . . . . . . . 

7. U.S. Low-Level Waste Compacts . . . . . . . . . . . . 

8. The Yucca Mountain Storage Plan . . . . . . . . . . 
viii
1 INTRODUCTION

This document describes how the U.S. Nuclear Reg

Commission (NRC) fulfills its primary mission. It prov

some historical perspective and describes the major NR

grams as well as other means used to accomplish its go

Finally, it provides information on how you can particip

NRC’s regulatory oversight mission. Hopefully, it will p

be of use to members of the public, NRC licensees, and 

NRC staff.

NRC’s Mission and Safety Philosophy

People may think that the mission of NRC is to ma

nuclear power plants. That, of course, is far from the t

That is the job of the owners and operators that NRC l

to operate each plant. Ask any member of the NRC sta

the mission of the agency is, and they will without hesi

answer, protection of public health and safety in the us

nuclear material. A more complete description can be f

NRC’s 1997-2002 Strategic Plan, which states:

NRC’s mission is to regulate the Nation’s civilian u

byproduct, source, and special nuclear materials to 

adequate protection of the public health and safety, 

mote the common defense and security, and to prote

environment.

NRC accomplishes its mission through—

licensing the construction, operation, and decommi

of commercial nuclear reactors, nuclear test and re

reactors, nuclear fuel cycle facilities, and uranium 

ment facilities;

licensing the possession, use, processing, and expo

nuclear materials, including certain aspects of tran

and disposing of nuclear materials and wastes;
closure of low-level radioactive waste disposal sites 

geologic repository for high-level radioactive waste

safeguarding nuclear materials and facilities from 

damage, and sabotage;

supporting U.S. national interests in the safe use a

nonproliferation of nuclear materials; and

conducting inspections and developing and enforcin

regulations governing these activities.

The process of interpreting NRC’s mandate has ev

over several decades of Commission regulation, Congre

oversight, and judicial review of NRC actions. The res

been the creation of a body of regulations, decisions, an

tices through which the NRC safety 

philosophy is expressed. This philosophy comprises sev

closely interrelated elements: 

Defense-in-Depth ensures that successive measure

incorporated into the design and operating procedu

nuclear installations to compensate for potential fa

protection or safety measures, wherever such failure

lead to serious public or national security conseque

Licensee Responsibility embodies the principle th

although NRC is responsible for developing and enf

the standards governing the use of nuclear installa

and materials, it is the licensee who bears the prim

responsibility for conducting those activities safely.

Safety Culture recognizes each licensee’s responsib

establish and maintain a set of attitudes and opera

principles to ensure that safety issues get the attent

warrant. A safety culture encourages a questioning 

learning attitude toward safety issues and discoura

complacency.

Regulatory Effectiveness emphasizes the approac

because safety is paramount in the Commission’s re

program, certain standards and practices to ensure 

2
and above that baseline, additional safety upgrade

required only if their benefits justify the added cost

Regulatory Effectiveness also involves the ongoing e

tion of NRC regulations, internal procedures, and o

activities, to ensure consistency, fairness, ease of im

tation, and compatibility with the overall NRC mis

program.

Accountability to the Public dictates that, just a

licensees are accountable to the NRC, the NRC is a

able to the American people and to their elected rep

tives. This accountability entails being candid abo

activities and their results, acknowledging the publ

est and right-to-know about safety issues, and ensu

the public has sound, complete, up-to-date informa

which to base their judgments.

To accomplish NRC’s mission, the staff administer

regulatory programs. The programs encompass power, 

test, and training reactors; fuel cycle facilities; the use 

radionuclides in medicine, research, and industry; and 

and high-level radioactive waste facilities. Each of thes

regulatory programs was developed in response to legis

mandate.
4
2 LEGISLATIVE MANDATE

2.1 Atomic Energy Act of 1954 as Amended

In the United States, the commercial use of nuclea

came about with the passage of the Atomic Energy Act 

1954. At that time, NRC did not yet exist. The U.S. A

Energy Commission (AEC), created in 1946, had the re

bility of both promoting the growth of nuclear power an

regulating its use. Section 1 of the AEA states,

“...Atomic energy is capable of application of peacef

well as military purposes. It is therefore declared t

policy of the United States that —

a. the development, use, and control of atomic 

shall be directed so as to make the maximum 

bution to the general welfare, subject at all ti

the paramount objective of making the maxim

tribution to the common defense and security

b. the development, use, and control of atomic en

shall be directed so as to promote world peace, 

the general welfare, increase the standard of li

and strengthen free competition in private ente

The basic legal standards for the process that NRC 

today were set by the AEA of 1954. Specifically, that st

gave the public right to a hearing on certain agency act

including applications for permits to construct and to o

nuclear power plants. Hearings were thought to be just

because the issuance of this type of license was a very 

cant action and, therefore, the public ought to be heard

case of construction permits, hearings were mandatory 

no one asked for a hearing.) Also, hearings both inform

public and built public acceptance of the final decision.

Those were procedural requirements and were set 

U.S. Congress. On many issues, including the central 

of “how safe is safe enough,” the Atomic Energy Act di
laying a foundation for regulating a technology that did 

exist. The statutory mandate was extremely general: 

health and safety,” “minimize danger to life or property

“provide adequate protection.” Not unreasonably, the U.

Congress left it to the Commission, the AEC and its succ

NRC, to apply those terms and to give them practical me

Over the decades, the NRC’s approach to safety an

guards has developed and matured: through regulation

dicatory decisions, and a variety of policies and practic

this has taken place under the eye of the U.S. Congres

oversees the activities of Government agencies. In add

periodic court decisions have shaped the NRC’s interpr

of its responsibilities.

2.2 Government Reorganization

Over the years, as nuclear power changed from an 

mental technology to an established source of electric p

production, concern grew about the potential for conflic

interest when promotion and regulation were assigned 

same agency. In the 1960’s and early 1970’s, the rapid 

in the number of nuclear power plants also increased publ

cern over nuclear safety, waste disposal, and other rela

issues. Ultimately, there was a consensus that the nucl

power industry had outgrown the existing Government

tures for its regulation.

By the early 1970’s, public concern over the declini

ty of the environment reached its peak. As a result, Co

took several actions. First, Reorganization Plan No

1970 was passed, which established the U.S. Environm

Protection Agency (EPA). Next, Congress passed the 

Reorganization Act of 1974 (PL 93-438) that split th

AEC into the Energy Research and Development

Administration (ERDA) [later to be renamed the U.S

Department of Energy (DOE)] and the NRC. ERDA’s 

was to perform research and development activities in 

6
sion was to have the regulatory authority of the AEC a

licensing authority over certain ERDA facilities, includ

demonstration reactors and waste facilities. Finally, th

required NRC to report abnormal occurrences (i.e., uns

incidents or events that NRC determines to be significa

the standpoint of public health or safety) to Congress. 

recently, the Federal Reports Elimination and Sun

of 1995 (PL 104-66) requires that abnormal occurrence

reported to Congress on an annual basis.

2.3 Radioactive Waste Legislation

After nearly 35 years of uranium mining in the Un

States, Congress noted in the Uranium Mill Tailings

Radiation Control Act (UMTRCA) of 1978 (PL 95-60

amended, that

“...[U]ranium mill tailings located at active and ina

mill operations may pose a potential and significan

tion health hazard to the public, and that the prote

the public health, safety, and welfare and the regul

interstate commerce require that every reasonable e

made to provide for the stabilization....of such tailin

order to prevent or minimize radon diffusion into th

ronment and to prevent or minimize other environm

hazards from such tailings.”

By the 1980’s, nuclear waste became a critical conc

the public and to the industries utilizing radioactive m

In 1982, Congress passed the Nuclear Waste Policy A

(NWPA) (PL 97-425). This Act established the first of m

schedules for siting and completing a repository for the 

disposal of high-level radioactive waste. The Low-Leve

Radioactive Waste Policy Amendments Act of 1985 

PA) (PL 99-240) gave States the responsibility to dispos

LLRW generated within their borders and allowed them 

form compacts to locate facilities to serve a group of St
Since 1990, NRC has been required to recover app

mately 100 percent of its budget by assessing fees. Con

currently considering an extension to this requirement

Additionally, in recent Appropriations Acts, Congress h

mitted NRC to perform certain limited activities that a

subject to fee recovery.

The NRC assesses two types of fees to recover its b

First, NRC bills licensees and applicants for services re

to an individual licensee or applicant. These services in

things like inspections and review of applications for th

issuance of licenses (new, amended, or renewal). Second

fees for each category of licensee are established every 

recover generic and other regulatory costs not recovere

through fees for services.

2.5 Administrative Procedure Act

The Administrative Procedure Act (APA) establi

cedures that all regulatory agencies must follow to impl

their regulatory programs. In addition to rules, statem

policy, and agency decisions, NRC must describe its org

and the general method by which functions are carried 

NRC currently maintains dozens of information system

defined in the APA, for which there are specific requirem

such as the occupational exposures database. The APA 

establishes record requirements for licensees.

The APA specifies the process for publication of pro

and final rules in the Federal Register. But in addition 

rules themselves, agencies such as NRC are also requir

make available to the public any documents developed t

describe how compliance with those regulations will be 

ed by the staff. These guidance documents include regu

guides, standard review plans, branch technical position

in some cases, technical NRC or contractor documents. 

of these, the APA specifies that they must be published 

in the Federal Register as proposed documents for publi

ment. With rare exception, after addressing all substan

8
document. If an agency decides not to follow this proce

must notify Congress and justify the action. In addition

U.S. Department of Justice notifies Congress of every

instance in which an agency rule has been challenged i

and the outcome of the challenge, if known.

The APA also establishes the requirements to hold 

ings with the public. NRC publishes a notice of any pl

public meeting in the Federal Register. The meeting m

transcribed. With very few exceptions, any meeting of 

ty of Commissioners must also be open to the public. 

any meeting held by either of the two Advisory Comm

the Commission (the Advisory Committee on Nuclear 

or the Advisory Committee on Reactor Safeguards) is 

open to the public and noticed in the Federal Register

Finally, the APA describes adjudication procedures 

encourages agencies to use mediation and arbitration w

practical to settle disputes.

2.6 National Environmental Policy Act

The National Environmental Policy Act of 1969 

(PL 91-190) established a national policy which 

“...encourages productive and enjoyable harmony be

man and his environment; to promote efforts which 

vent or eliminate damage to the environment and b

and stimulate the health and welfare of man; to enr

understanding of the ecological systems and natura

resources important to the Nation; and to establish 

Council on Environmental Quality (CEQ).”

NEPA requires agencies to use a multidisciplinary a

to decision making and to consider all types of risks and 

to both people and to the environment. The environmen

impacts of agency decisions must always be considered a

documented. This act requires that agencies with overla

responsibility, such as NRC, DOE, and EPA, consult wit

another before establishing possible requirements in tho
10

President, and confirmed by the Senate, who as a resul

training and experience, are exceptionally well-qualifie

analyze and interpret environmental information and F

activities. The CEQ advises the President on environm

issues, gathers information on trends, reviews agency a

in support of environmental quality, develops and recom

National policies to the President, and conducts resear

and reports on the environmental quality of the United 

and the world.

Part 51 in Title 10 of the Code of Federal Regulation

lines NRC’s environmental protection regulations for im

ing Section 102(2) of NEPA, as amended, that are applic

NRC’s domestic licensing and related regulatory functio
3 NRC’S PRIMARY FUNCTIONS

NRC has three primary mechanisms for protecting 

lic’s health, safety, and the environment from the use o

licensed radioactive materials: licensing, inspection, an

enforcement. The licensing process allows individuals, 

panies, to use licensed material in accordance with NR

and policies. After analyzing the applicant’s plan for co

ing its licensed operations and determining that they a

quately safe and in accordance with NRC requirements

issues a license to conduct specific operations utilizing 

tive materials. NRC then verifies that operations are 

conducted in accordance with the application and any l

conditions through a program of periodic inspections. I

inspection shows areas of noncompliance, enforcement 

can be implemented through fines, orders, or license te

tion. Finally, NRC provides Congress with annual repo

containing information on abnormal occurrences, signif

events, fees collected, agency expenditures, projected b

needs, and amendments to rules and policies.

The NRC is the Federal agency given the task of p

public health and safety and the environment with reg

the safe use of nuclear materials and adheres to the fol

Principles of Good Regulation:

Independence. Nothing but the highest possible s

of ethical performance and professionalism should 

regulation. All available facts and opinions must b

openly from licensees and other interested members 

public. The many and possibly conflicting public in

involved must be based on an objective, unbiased a

ment of all information, and must be documented w

reasons explicitly stated.

Openness. Nuclear regulation is the public’s busin

it must be transacted publicly and candidly. The p

must be informed about and have the opportunity t

pate in the regulatory process as required by law. O
Congress, other government agencies, licensees, and 

lic, as well as with the international nuclear commu

Efficiency. The American taxpayer, the rate-payin

sumer, and licensees are entitled to the best possibl

agement and administration of regulatory activitie

highest technical and managerial competence is req

and must be a constant agency goal. NRC must es

means to evaluate and continually upgrade its regu

capabilities. Regulatory activities should be consis

the degree of risk reduction they achieve. When sev

effective alternatives are available, the option which 

mizes the use of resources should be adopted. Regu

decisions should be made without undue delay.

Clarity. Regulations should be coherent, logical, a

practical. There should be a clear nexus between re

tions and agency goals and objectives whether expl

implicitly stated. Agency positions should be readi

understood and easily applied.

Reliability. Regulations should be based on the b

able knowledge from research and operational expe

Systems interaction, technological uncertainties, an

diversity of licensees and regulatory activities must 

taken into account so that risks are maintained at 

acceptably low level. Once established, regulation s

perceived to be reliable and not unjustifiably in a s

transition. Regulatory actions should always be fu

sistent with written regulations and should be prom

fairly, and decisively administered so as to lend sta

the nuclear operational and planning processes.

12
and Program Offices

The NRC is headed by five Commissioners appoi

the President and confirmed by the Senate for 5-year t

One of them is designated by the President to be Chai

serving as the principal executive officer and official sp

son of the Commission. The Executive Director for

Operations is the chief operational and administrativ

and carries out the policies and decisions made by the

Commission. The NRC’s offices are—

• Nuclear Reactor Regulation

• Nuclear Material Safety and Safeguards

• Nuclear Regulatory Research

• Regional Offices

• State and Tribal Programs

• Enforcement

• Incident Response Organization

NRC has authority over source, byproduct, and spe

nuclear material. Title 10 of the Code of Federal

Regulations (10 CFR) defines these terms as follows:

Source Material means (1) uranium and/or thori

any physical or chemical form; or (2) ores that cont

weight, one-twentieth of 1 percent (0.05 percent), or 

uranium and/or thorium, or any combination of ur

and thorium. Source material does not include spe

nuclear material.

Special Nuclear Material means (1) plutonium, 

um-233 (U-233), uranium enriched in the isotope 2

235, and any other material that the Commission, 

suant to the provisions of Section 51 of the Act, det

to be special nuclear material, but does not include 

material or (2) any material artificially enriched b

the forgoing but does not include source material.
14

(except special nuclear material) yielded in, or mad

radioactive, by exposure to radiation incident to the 

of producing or utilizing special nuclear material; a

the tailings or wastes produced by the extraction or 

tration of uranium or thorium from ore processed p

for its source material content, including discrete s

wastes resulting from uranium solution extraction 

es. Underground ore bodies depleted by these solut

extraction operations do not constitute “byproduct m

within this definition.

Appendix A provides a listing of each of the Parts o

10 of the CFR that are applicable to the NRC. 
NY

PA

OH

VA

WV

MI

IN

KY

NC

TN

IL

SC GA AL

FL

MS

MO

AR

TX

OK

KS

LA

IA NE

WI

MN

ND

SD

WY

MT

CO

NM AZ

CA

NV

UT

ID

OR

WA

Licensed to Operate (103)

Note: There are no commercial reactors in Alaska or Hawaii.

Source: Nuclear Regulatory Commission

Figure 1. U.S. Commercial Nuclear Power Reac

4 REACTOR OVERSIGHT PROGRAM

The NRC’s Office of Nuclear Reactor Regulati

(NRR) oversees the licensing and inspection of the Na

nuclear power and research reactors. There are curre

103 commercial nuclear power reactors licensed to ope

32 States (see Figure 1). The NRC does not regulate r

operated by the DOE that furnish fissionable materia

use in nuclear weapons.
regional offices and assesses them to ensure those prog

uniform and effective. NRR also performs reviews, cer

tion, and licensing of future nuclear reactor facilities an

amendment to, or renewal of, current power reactor op

licenses. In the course of these activities, NRR identifi

tions and licensee performance that may adversely affe

health and safety, the environment, or the safeguardin

nuclear facilities. When such conditions exist, includin

dents and accidents, NRR coordinates with the respons

regional offices and takes action. In addition, NRR ass

licensing issues and regulatory policies concerning reac

ators (including the initial licensing examination and r

cation examinations); emergency preparedness (includi

ticipation in emergency drills with Federal, State, and 

agencies); radiation protection; facility security and saf

(including fitness for duty); and inspection of nuclear c

nent supplier facilities.

4.1 Nuclear Reactor Licensing Process

As mentioned earlier, NRC is responsible for, amon

things, regulating the licensing and operation of nuclea

plants. In the past, nuclear power plants were licensed 

two-step licensing process under 10 CFR Part 50. This 

requires both a construction permit and an operating li

The new 10 CFR Part 52 provides an alternative licens

cess that combines a construction permit and an opera

license, with conditions, into one license. In either pro

before a nuclear power plant can be built and operated

approval must be obtained from the NRC.

In order to receive NRC approval to construct or op

nuclear power plant, an applicant must submit a Safet

Analysis Report (SAR). The SAR presents the design 

and design information for the proposed reactor and in

comprehensive data on the proposed site. The SAR als

cusses various hypothetical accident situations and the 

features that are provided to prevent accidents or, in th

unlikely event that they do occur, to mitigate their effe

both the public and the facility’s employees. In additio

16
Report evaluating the environmental impact of the pro

plant. Further, information must be submitted on the 

aspects of the proposed plant.

When an application to construct a nuclear power 

received, the NRC staff determines whether it contain

cient information to satisfy the Commission requireme

detailed technical review. After the application is accep

review, the NRC staff holds a general introductory mee

the area of the proposed site in order to familiarize the 

with the safety and environmental aspects of the propo

application, including the planned location, the type of 

proposed, and the provisions for public participation in 

licensing process. Numerous public meetings of this ty

held during the course of the reactor licensing process. 

press release announcing receipt of the application is is

NRC and copies are sent to Federal, State, and local of

and, usually, the local news media indicating that a no

receipt of the application is published in the Federal Re

The NRC staff reviews the application based upon 

presented in standard review plans to determine wheth

plant design meets the Commission’s regulations (10 C

20, 50, 73, and 100). The NRC staff’s review includes, 

the characteristics of the site, including its surrounding 

tion, seismology, meteorology, geology and hydrology; th

ar plant design; the anticipated response of the plant t

lated accidents; the plant operations, including the app

technical qualifications to operate the plant; radiologica

es; and emergency planning. When the staff completes 

review and evaluation, a Safety Evaluation Report (

prepared. This report summarizes the staff’s review re

the anticipated effect of the proposed facility on public h

and safety.

The Advisory Committee on Reactor Safeguard

(ACRS), an independent statutory committee establish

provide advice to the NRC on reactor safety, reviews ea

cation to construct or operate a nuclear power plant. T

ACRS is kept informed of the review process. Historica

ACRS review begins early in the licensing process by s
with the applicant and the NRC staff. When the Comm

has completed its review, its report is submitted to the

Commission by a letter to the Chairman of the NRC.

Also, an environmental review is performed by the 

staff in accordance with the National Environmenta

Act (NEPA) to evaluate the potential environmental im

and benefits of the proposed plant (see 10 CFR Part 5

completion of this review, a Draft Environmental Im

Statement (DEIS) is issued for comment by the appro

Federal, State, and local agencies as well as by the pu

Then a Final Environmental Impact Statement (F

issued and made public. All comments that are receiv

addressed in the document.

NRC requires that a public hearing be held before 

struction permit, early site permit, or a combined licen

be issued for a nuclear power plant. The public hearin

ducted by the Atomic Safety and Licensing Board (

The ASLB is composed of one lawyer, who acts as chair

and two technically qualified persons. Members of the 

may submit written or oral statements to the licensing 

be entered into the hearing record or they may petition 

leave to intervene as full parties in the hearing.

At some point after a construction permit is issued 

10 CFR Part 50, the applicant must, if not part of the o

application, submit the Final Safety Analysis Repor

in support of an application for an operating license. T

FSAR describes the details on the final design of the fa

The FSAR also provides plans for operation and emerg

preparedness. 

Again the staff reviews the information in detail.

Amendments to the application and reports may be sub

periodically. The staff prepares a Final Safety Evalu

Report for the operating license and, as during the con

tion permit stage, the ACRS makes an independent eva

and presents its advice to the Commission. A public he

the operating license is not mandatory or automatic. H

soon after accepting the operating license application, t

18
The notice provides that any person whose interest mig

affected by the proceeding may petition the NRC for a 

If a public hearing is held, the same decision process d

for the construction permit hearing applies.

A combined license, issued under Subpart C of 10 C

52, authorizes construction of the facility in a manner s

to a construction permit under 10 CFR Part 50. Howev

combined license specifies the inspections, tests, and an

that the licensee must perform as well as the acceptan

ria that, if met, are necessary and sufficient to provide 

able assurance that the facility has been constructed an

be operated in conformance with the license and the ap

regulations. After issuing the combined license, the

Commission verifies that the required inspections, test

analyses were performed and, before operation of the fa

finds that the acceptance criteria were met. Periodical

ing construction, the NRC staff will publish notices of t

cessful completion of inspections, tests, and analyses in 

Federal Register. A notice of intended operation of the 

is published in the Federal Register at least 180 days b

the date scheduled for initial loading of fuel. There is a

tunity for hearing following construction, but petitions 

hearing will only be considered if the petitioner demon

that the acceptance criteria have not been met. Before 

plant can operate, the Commission must determine tha

acceptance criteria were met.

In both licensing processes (10 CFR Parts 50 and 5

NRC monitors construction and initial operation of a fa

ensure compliance with the Commission’s regulations f

protection of public health and safety and the environm

The licensing process under 10 CFR Part 52 also provid

Early Site Permits (Subpart A), and Standard Desig

Certifications (Subpart B).

An early site permit provides for resolution of sit

environmental protection, and emergency preparednes

independent of a specific nuclear plant review. The ear

permit application must address the safety and environ

characteristics of the site and evaluate potential physic
staff’s findings on site safety characteristics and emerg

planning are documented in an SER and on environme

tection issues in draft and final environmental stateme

After the NRC staff and the ACRS complete their safet

reviews, the NRC issues a notice for a mandatory public 

The early site permit is valid for no less than 10 and n

than 20 years and can be renewed for 10 to 20 years.

A standard plant design may be certified and ap

by the NRC through a rulemaking, without a specific s

mind. The design certification is valid for 15 years. Th

that are resolved in a design certification have a more 

tive backfit requirement than issues that are resolved 

other licenses. That is, a certified design cannot be mo

the NRC unless the modification is necessary to meet t

cable regulations in effect at the time of the design cert

or to ensure adequate protection of the public health an

An application for a combined license under 10 CFR Pa

can incorporate by reference a design certification and/

early site permit. The advantage of this approach is th

issues resolved by the design certification rulemaking p

and those resolved during the early site permit hearing 

cannot be re-visited at the combined license stage. Cur

NRC has certified, through rulemaking, three new adv

designs: the General Electric Advanced Boiling Water R

the Asea Brown Boveri-Combustion Engineering Syste

and the Westinghouse AP600.

4.2 Inspecting the Nuclear Power Plant

The primary safety consideration in the operation 

nuclear reactor is to control and contain radioactive ma

under both normal and accident conditions. Numerous 

and barriers are installed in reactors to protect worker

public from the effects of radiation. Both the industry 

NRC provide these protections and ensure that they ar

tained. The NRC establishes regulations and guides fo

construction and operation of nuclear reactors. Organi

licensed by the NRC must abide by these regulations a

20
operating their facilities in a safe manner.

The NRC inspection program verifies, through scru

carefully selected samples, that activities are properly c

and equipment properly maintained to ensure safe oper

The staff determines which items to sample, as well as 

ple sizes and inspection frequencies, based on the impo

the activity or system to overall safety. The inspection p

monitors the licensee’s activities and provides feedback 

licensee’s management for appropriate corrective action

However, the NRC inspection program does not replace 

licensee’s programs or reduce its responsibilities.

Inspections are performed on power reactors unde

struction, in test conditions, and in operation. The ins

are conducted primarily by region-based and residen

inspectors. An onsite resident inspector provides a co

inspection and regulatory presence, and direct contact 

NRC management and the licensee. The activity of th

dent inspector is supplemented by the work of enginee

specialists from the Regional Office who perform inspe

a wide variety of engineering and scientific disciplines

from civil and structural engineering to health physics 

reactor core physics. Region-based inspectors operate 

four Regional Offices located in or near Philadelphia, A

Chicago, and Dallas (see Figure 2). These programs ar

mented by personnel from NRC Headquarters. Inspec

a vital part of the NRC’s review of applications for lice

issuance of construction permits and operating license

Inspections continue throughout the operating lifecycle 

nuclear facility.

About six months before the operating license is i

the licensee begins a startup phase to prepare for fuel 

and “power ascension.” After issuance of the operatin

fuel is loaded into the reactor, and the startup test pro

begins. As in pre-operational testing, NRC inspection

size test procedures and results. Inspectors appraise t

licensee’s management system for startup testing, ana

procedures, witness tests, and review licensee evaluat
test results. Thereafter, the NRC continues its inspect

gram for the remainder of the operating life of the plan

The NRC Inspection Manual defines the frequen

scope, and depth of the inspection program for operatin

tors and provides instructions and guidance for NRC in

tors. The program is structured to ensure that the reso

available for inspection are used efficiently and effectiv

particular attention accorded to those plants where pas

mance indicates the need to improve the levels of prote

and safety-consciousness. NRC’s inspection program is

22

Note: There are no commercial reactors in Alaska or Hawaii.

Source: Nuclear Regulatory Commission

N

VT

NY

PA 

OH

VA

WV

MI

IN

KY

NC TN

IL

SC

AL GA

FL

MS

MO

AR

TX

OK

KS

LA

IA

NE

WI

MN

ND

SD

WY

MT

CO

AZ NM

CA

NV

UT

ID

OR

WA

D

REGION IV REGION III

REGION I

REGI

Regional Office (4)

Technical Training Center (1)

Headquarters (1)

gue C egos
and operated safely and that they comply with regulato

requirements. When a safety problem or a failure to co

with requirements is discovered, the NRC requires tha

corrective action by the licensee be confirmed.

The NRC periodically assesses its inspection program 

uate its effectiveness in achieving its regulatory objective

April 2000 implemented a revised reactor oversite progra

4.3 License Renewal

In accordance with the Atomic Energy Act, the Nucl

Regulatory Commission (NRC) issues licenses for comm

power reactors to operate for up to 40 years. These licen

be renewed for up to 20 additional years. A 40-year licen

was selected on the basis of economic and antitrust cons

tions—not by technical limitations. However, individual 

designs may have been engineered on the basis of an ex

40-year service life.

The NRC has established a timely license renewal p

and clear requirements that are needed to ensure safe p

operation for extended plant life. Renewal of licenses un

ly will affect whether nuclear power will remain part of 

energy supply mix for the nation during the first half of 

21st century.

In 1991, the NRC published the license renewal rul

CFR Part 54. In 1995, the NRC amended the license ren

rule. The amended Part 54 established a regulatory proc

is simpler, more stable, and more predictable than the p

license renewal rule. In particular, Part 54 was clarified 

on managing the adverse effects of aging rather than ide

tion of all aging mechanisms.

The license renewal process proceeds along two trac

technical review of safety issues and an environmental r

The applicant has to provide NRC an evaluation that ad

the technical aspects of plant aging and describes the wa

effects will be managed. It must also prepare an evaluat
environment if it operates for another 20 years. The NR

reviews the application and verifies the safety evaluatio

through inspections.

A nuclear power plant licensee may apply to the NR

renew its license as early as 20 years or as late as 5 yea

expiration of its current license. License renewal is expe

take less than 3 years, including the time to conduct an 

tory hearing, if necessary. The license renewal process p

along two tracks—a technical review of safety issues and 

environmental review. As previously described, the requ

for these reviews are contained in NRC regulations, 10 C

Parts 54 and 51, respectively. The applicant has to provi

an evaluation that addresses the technical aspects of pla

and describes the ways those effects will be managed. It 

also prepare an evaluation of the potential impact the pl

might have on the surrounding environment if it operat

another 20 years. The NRC reviews the application and 

the safety evaluations through inspections.

Public participation is an important part of the licen

renewal process. There are several opportunities for mem

the public to raise questions regarding whether effects o

will be adequately managed for the period of extended o

Information provided by the licensee is made available t

public. Several public meetings are held, and NRC evalu

findings, and recommendations are published when com

Concerns may be litigated in a formal adjudicatory hear

any party that would be adversely affected requests a he

addition, members of the public may petition the Comm

consideration of issues other than the management of th

of aging during the period of extended operation of the p

In 1996, the NRC developed a draft regulatory guid

format and content of the safety aspects of a license rene

application. This guide proposes to endorse an implemen

guideline prepared by the Nuclear Energy Institute (NE

acceptable method of implementing the license renewal 

NRC prepared a draft standard review plan for the safe

which was made available in the Public Document Room 

24
with the draft standard review plan to assess technical i

reports involved in license renewal as submitted by indu

groups. As experience is gained, NRC will improve the s

review plan and clarify regulatory guidance.

4.4 Nuclear Power Plant Decommissioning

Throughout 1995 and 1996, the NRC staff revised r

tions to make them clearer and changed the decommissi

policy for permanently shutdown reactors. July 20, 199

Commission issued a “Notice of Proposed Rulemaking on

Decommissioning of Nuclear Power Plants.” On July 2, 

the Commission approved the final rule. The rule was p

in the Federal Register on July 29 and became effective 

August 28, 1996. The final rule —

• redefines the decommissioning process,

• defines terminology related to decommissionin

• requires licensees to provide the NRC with ear

notification of planned decommissioning activi

their facilities, and

• establishes explicit requirements for permanen

shutdown reactors.

The Commission believes the amendments improv

ciency and uniformity in the decommissioning process 

ar power reactors. The amendments allow for public p

tion in the decommissioning process and provide the pu

with a better understanding of the process as the react

ty transitions from an operating to a decommissioning 

When NRC receives a confirmation from a licensee

authority to operate the reactor or to load fuel into the 

vessel will be withdrawn by amending the license. Thi

sure entitles the licensee to an annual fee reduction an

eliminate the obligation to adhere to certain requireme

apply only during reactor operation. Within 2 years af

mitting the certification of permanent cessation of oper
activities report (PSDAR) to the NRC. This report 

provides a description of the licensee’s planned decomm

ing activities, a schedule for accomplishing them, and t

estimated costs.

In the PSDAR, the licensee also discusses the reas

concluding that environmental impacts associated with 

site-specific decommissioning activities have already be

considered in previous reports. If not previously consid

the licensee would have to request a license amendmen

approval of the activities and submit an environmental 

on the additional impacts.

After receiving a PSDAR, the NRC publishes a not

receipt, makes the PSDAR available for public review a

ment, and holds a public meeting in the vicinity of the 

discuss the licensee’s intentions. Ninety days after the 

receives the PSDAR, and generally 30 days after the pu

meeting, the licensee could begin to perform major deco

sioning activities without specific NRC approval. Thes

ties could include permanent removal of major compon

such as the reactor vessel, steam generators, large pipi

systems, pumps, and valves.

The final regulations state that decommissioning a

conducted without specific prior NRC approval must no

• foreclose release of the site for possible unrestr

use,

• result in there being no reasonable assurance 

quate funds will be available for decommission

• cause any significant environmental impact no

previously reviewed.

If any decommissioning activity could not meet the

terms, the licensee is required to submit a license amen

request, which provides an opportunity for a public hea

26
5 MATERIALS OVERSIGHT PROGRAM

The NRC’s Office of Nuclear Material Safety an

Safeguards (NMSS) and the four Regional Offices reg

the safe use of nuclear materials under several broad 

programs: (1) industrial and medical material safety; (

cycle safety and safeguards; (3) waste management; an

spent fuel storage, transportation, and disposal. Licen

may apply for any one of several different types of NR

licenses, depending on the type and application of the 

of radioactive material:

Exempt Licenses. Any person may possess, use, r

transfer, own or acquire byproduct material in indi

quantities each of which does not exceed the applica

quantity (i.e., exempt quantity) in 10 CFR 30.71, Sc

B. Examples of exempt licenses are for smoke detec

sights, and watches that use small quantities of rad

material to power or illuminate a device. 

General Licenses. Part 31 of title 10 of the CFR 

information about generally licensed devices. Comm

and industrial firms, research, educational and me

institutions, individuals, or Federal, State or local 

ment agencies may acquire, receive, possess, or tran

erally licensed devices. Such devices are designed a

ufactured for detecting, measuring, gauging or cont

thicknesses, densities, levels, radiation leakage, or c

composition. Any person who acquires, receives, po

uses, or transfers a generally licensed device must m

labels; perform required leak tests; ensure that labe

instructions are followed; maintain records of comp

with these requirements; notify the manufacturer a

or the Agreement State of any device failure, damag

or theft; not abandon or export the device; and tran

device only in accordance with specific restrictions.

Specific Licenses may include a license for any de

taining radioactive material that is not generally li
rial. That could be because the device does not mee

requirements for a generally licensed device, contai

unsealed sources, or just because the manufacturer 

request that the device be reviewed for applicability 

eral license provisions. Types of specific licenses can 

issued to individuals, manufacturers, or for broad-

applications such as academic or research instituti

The NRC Regional Offices administer almost all 

materials licenses with the exception of exempt distrib

licenses, sealed source and device reviews, and licenses 

panies that extract other metals from ores and slags co

uranium and thorium. These licenses, along with the f

licensing are handled at NRC Headquarters located in

Rockville, Maryland. NRC issues approximately 3,000 

renewal, or license amendments for material licenses a

ducts approximately 1,500 health and safety inspection

nuclear material licenses annually. 

Approximately 21,000 licenses are in place in the U

States for medical, academic, and industrial uses of nu

material. Of these, 5,300 licenses are administered by N

whereas the rest are administered by the 31 Agreemen

An Agreement State is one that has signed an agreeme

the NRC to assume authority to regulate the use of byp

radioactive material (byproduct radioactive material th

results from the production or the use of plutonium or 

um). When a State decides to enter into such an agreem

with NRC, they must demonstrate that its program is 

to protect public health and safety and that it is compa

with the NRC materials program. The NRC reviews th

proposed regulations to determine if they meet NRC re

ments. NRC also periodically reviews Agreement State 

and procedures. NRC works closely with the State to e

that regulations, staffing, training, and experience requ

ments for State staff are appropriate and that funding 

program is adequate. Four additional States, Oklahom

Minnesota, Wisconsin, and Pennsylvania, are actively w

toward becoming Agreement States. Figure 3 identifie

States that are currently Agreement States.

28
5.1 Medical Uses

Medical uses of radioactive materials fall broadly i

categories: diagnostic and therapeutic. Diagnostic pr

using radiation are classified as either radiology (sourc

external to the body) or nuclear medicine (sources inte

the body). Both involve the use of relatively small amo

radioactive materials to facilitate imaging of a suspecte

cal problem. For the most part, radiology is the use of 

machines regulated by the States. Two examples of nu

Note: Data as of 7/99 Alaska and Hawaii are not Agreement States.

Source: Nuclear Regulatory Commission

Agreement State (31)

NY

OH

VA WV

MI

IN

KY

NC

TN

IL

SC

AL GA

FL

MS

MO

AR

TX

KS

LA

IA NE

ND

SD

WY

MT

CO

AZ NM

CA

NV

UT

ID

OR

WA

States working toward becoming Agreement States (4)

PA

OK

WI

MN
bone or heart organ problems and radioactive iodine in 

of the thyroid gland. Both allow physicians to locate an

fy tumors, size anomalies, or other problems. 

Therapeutic uses of radioactive materials include

teletherapy, brachytherapy, and therapeutic nuclear me

The purpose of all three is to kill cancerous tissue, redu

size of a tumor, or reduce pain. In teletherapy, an inten

of radiation is focused on the tissue. An example of tel

is the use of the Gamma Knife, which uses a collimatin

to focus gamma rays from cobalt-60 sources to a specifi

tion deep within brain tissue. In brachytherapy, a smal

source is placed close to, or within, cancerous tissue wh

tumor is easily accessible, such as in breast, prostate, o

cal cancers. In therapeutic nuclear medicine, high dose

radioactive isotopes are injected into, or ingested by, th

patient. One example is the use of radioactive iodine, w

accumulates in the thyroid gland, sufficient to destroy 

a diseased thyroid.

Regulatory authority over the uses of ionizing rad

medicine is shared among several government agencie

Federal, State, and local levels. An estimated 10 milli

al diagnostic and therapeutic clinical procedures use r

tive material, of which approximately 250,000 are ther

NRC (or the Agreement State) has regulatory authorit

the use of byproduct materials in medicine. The Food 

Drug Administration (FDA) oversees the approval o

tion-producing machines and radiopharmaceuticals. T

States administer the use of radiation-producing mach

such as x-ray machines and accelerators. 

The NRC oversees medical uses through licensing, 

tion, investigation, and enforcement programs. The NR

issues licenses to facilities, authorizes physician users, 

appropriate regulations and guidance for use by license

maintains a committee of medical experts to obtain adv

the uses of byproduct materials in medicine. The Advi

Committee on the Medical Uses of Isotopes meets t

year to be briefed by, and provide advice to, the staff on 

30
mittee consists of physicians specializing in all areas o

nostic and therapeutic medical uses of byproduct mate

nuclear pharmacist, a medical physicist, a patient advo

health care administrator, and a radiation safety office

5.2 Industrial Uses

NRC regulates many different types of industrial a

tions, only a few of which will be mentioned here. 

5.2.1 Sealed Sources and Devices. Manufactur

distributors of radiation sources and devices containing 

tion sources are required to submit safety information 

their products and their quality assurance (QA) progra

the NRC or to the Agreement State by which they are 

The regulatory agency evaluates the information provi

ensure that each product is adequately designed to pro

lic health and safety and to meet all applicable radiati

requirements. The agency then issues a registration 

cate to the vendor of the device. The registration certi

used by the NRC or the Agreement State to issue speci

licenses to users of the products.

The NRC maintains a nationwide registry of NRC 

Agreement State registration certificates. The registry 

of a hard-copy file system of all registration certificates

database systems that contain the information common

on the first page of the registration certificate, and bac

files for the registration certificates generated by the N

NRC also tracks this information for administrative pu

The NRC examines products containing radioactiv

al for which safety evaluations have been performed. A

ed, NRC has contracts to test products to see if they pe

intended and are adequate to protect public health and 

In addition, the contractor inspects products for known 

pected design defects. Information from these contract

has been used to support incident investigations and r

ing for NRC and for Agreement States.
32

of radiation to produce an image of internal features on 

graphic film. The principal components of a gamma rad

system are the radioactive source assembly, the radiogr

exposure device, and the control unit. The radioactive m

used as the source of radiation in a gamma radiography 

is usually iridium-192 or cobalt-60 encased in a source c

The source capsule is made from stainless steel and is w

form a hermetic (airtight, liquid tight) seal. This contai

prevents the dispersion of radioactive contamination.

Current requirements in 10 CFR Part 34 for indus

radiography, revised in October 1996, require two radio

personnel to be present when performing industrial rad

phy at temporary job sites. In addition, radiographers 

required to be certified. Certified radiographers and ra

phy assistants must complete specific training requirem

5.2.3 Irradiators. An irradiator is a device or a f

that exposes products to radiation to sterilize them. Ex

of products sterilized in an irradiator include spices, m

tainers, and hospital supplies. Since the 1950s, irradia

been used for medicine, industry, and research. NRC r

the use of sealed gamma sources in irradiators used to 

objects or materials. Electron irradiators (such as line

erators) are currently regulated by the States. The reg

in 10 CFR Part 36 apply to panoramic irradiators that 

either dry or wet storage of the radioactive sealed sour

to underwater irradiators in which both the sources an

product being irradiated are under water. 

5.2.4 Well-Logging. Well logging is a valuable te

used in several industries today. Well logging uses a p

laboratory, truck-mounted for land use and permanent

mounted on an offshore drilling platform. Well loggers 

device called a logging tool into the oil or gas well to m

the properties of the formation through which they pas

cating the presence or absence of oil or gas. 

NRC and the Agreement States regulate the use of 

tive materials, including sealed sources, radioactive tra

radioactive markers, and uranium sinker bars in well l
ty requirements as well as specific licensing requireme

persons using licensed materials in these operations.

5.2.5 Gauging Devices. Radioisotopes in gauges 

used to monitor and control the thickness of sheet met

tiles, paper napkins, newspaper, plastics, and photogra

as they are manufactured. Portable gauges are typical

to test the structural integrity of roads and bridges, wh

fixed gauges, for example, are used to measure amount

uids in canned beverages, air whipped into ice cream, o

co packaged into a cigarette. NRC and the Agreement 

also regulate the use of fixed and portable gauging dev

use of these gauges is widespread in industries such as 

ture and construction. 

5.3 Fuel Cycle Safety and Safeguards

NRC licenses and inspects all commercial nuclear 

facilities (with the exception of certain mining operatio

involved in the recovery, processing, and fabrication of 

ore into reactor fuel. Ten major fuel cycle facilities are 

to operate in nine States (see Figure 4). The uranium 

cycle includes obtaining, purifying, enriching, and fabr

uranium fuel for reactors; the use of uranium fuel in re

and the storage, reprocessing, transportation, and disp

spent fuel. This section covers only the “front end” of t

cycle, that is those steps involving fabricating new fuel 

in reactors. The “back end” of the fuel cycle, spent fuel 

transportation, and disposal, is covered in Section 5.4 a

“Spent Fuel Programs” and “ Waste Management.”

There are four types of potential hazards at fuel cy

ities: (1) criticality; (2) chemical; (3) radiological; and (4

explosion. NRC requirements address each of these ha

from the various fuel cycle operations.

5.3.1 Uranium Mining. The major domestic dep

uranium ores are found in the western United States.

Historically, most uranium ore has been mined in Arizo

Colorado, New Mexico, Texas, Utah, Washington, and
34

Note: There are no fuel cycle facilities in Alaska and Hawaii.

Source: Nuclear Regulatory Commission

Uranium Fuel Fabrication Facility (7)

Uranium Conversion Facility (1)

Gaseous Diffusion Enrichment Facility (2)

N

PA

OH

VA

WV

MI

IN

KY

NC

TN

IL

SC GA AL

FL

MS

MO

AR

TX

OK

KS

LA

IA NE

WI

MN

ND

SD

WY

MT

CO

AZ NM

CA

NV

UT

ID

OR

WA

Figure 4. Major U.S. Fuel Cycle Facility Sites

Wyoming. Smaller quantities have been produced in C

Idaho, Montana, Nebraska, Nevada, North Dakota, Or

and South Dakota. Until 1975, import restrictions ess

prevented the importation of uranium from outside the 

States. These restrictions were gradually removed bet

1975 and 1985, resulting in a steady increase in uraniu

imports from countries having higher-grade uranium d

By 1986, imports provided about 44 percent of the U.S

ment for uranium. The principal sources have been Ca
uranium (HEU) from Russian imports and U.S. disarm

activities have been significant sources of uranium.

There are basically four types of uranium mines: o

room and pillar mines; vein structure mines; and brecc

mines. In situ leaching (ISL) facilities are another m

extracting uranium from underground. All but the ISL 

ties are regulated by the Department of the Interior an

States. ISL’s involve excavating huge quantities of uran

rich ores suitable for uranium extraction. ISL mining 

to recover uranium from low grade ores that may not b

nomically recoverable by other methods. In this proces

leaching agent is injected through wells into the ore bo

solve the uranium. The leach solution is pumped from 

mation, and ion exchange is used to separate the urani

the solution for reuse.

5.3.2 Uranium Milling. Uranium mills extract 

from ores and recover it in a concentrated form. Gener

to 95 percent of the uranium is extracted from the ore, 

ing in a purified form of uranium concentrate called ye

Mills are typically located in areas of low population de

and they process ores from mines within about 50 kilom

(30 miles) of the mill.

The NRC requirements at uranium mills control i

hazards and address waste and decommissioning conc

Because this mined material is not enriched, no critica

ard and very little fire or explosive hazard exists. Rad

hazards are minimal at these facilities as uranium bea

has little penetrating radiation and only moderate non

trating radiation. The chemical toxicity of the uranium 

greater concern.

The hazards associated with milling are similar to 

mining, that is, chemical toxicity. The primary radiolo

hazard associated with milling is due to the presence o

in the uranium decay chains and the production of rad

radon daughters. The mill tailings, which contain mo

progeny of uranium, are a significant source of radon a

daughter releases to the environment.
36

duced at the mill, the next step is conversion into pure 

um hexafluoride (UF6) gas suitable for use in enrichm

operations. UF6 is the only uranium compound that ex

gas at a suitable temperature.

One conversion plant is operating in the United St

Allied-Signal Inc., which is located in Metropolis, Illin

Other countries that have conversion plants are Canad

France, the United Kingdom, and the New Independen

of the Former Soviet Union.

As with mining and milling, the primary risks asso

with conversion are chemical and radiological. Strong 

and alkalis are used in the conversion process, which in

converting the ore to very soluble forms, leading to pos

intakes of uranium. In addition, conversion produces e

caustic chemicals which could cause fire and explosion 

5.3.4 Uranium Enrichment. NRC regulates bot

gaseous diffusion enrichment facilities in the Unit

States. They are leased by the United States Enrichm

Corporation from DOE as sites that have been designe

constructed to DOE specifications. NRC does not licens

plants, but issues a certificate of compliance. NRC pro

ed regulations for the gaseous diffusion plants in 10 CF

76 in September 1994. The two plants, located in Padu

Kentucky, and Portsmouth, Ohio, came under NRC reg

on March 4, 1997. 

Gaseous diffusion is used to enrich uranium to a co

tion suitable for use as reactor fuel. Heated UF6 is fed 

series of thousands of diffusion stages. In each stage, p

ized UF6 gas is pushed through a diffusion membrane t

mits slightly more U-235 than U-238 to pass through t

brane. A fractional increase in U-235 enrichment is ac

each stage. Hazards in enrichment facilities include al

chemical and radiological issues of conversion facilities

the potential for a criticality accident. 

NRC staff perform numerous safety and safeguard

ments at these plants every year. Pursuant to the Ene
compliance if the plants meet those standards. NRC re

findings to Congress annually. 

5.3.5 Fuel Fabrication. This step involves the c

sion of the gaseous UF6, at the appropriate enrichment

nium dioxide (UO2) powder. This powder is then conv

ceramic pellets, loaded into zircaloy tubes, and constru

fuel assemblies. Fuel fabrication facilities licensed by N

include the Framatome Cogema and BWX Technologies 

Lynchburg, Virginia; ABB Combustion Engineering in

Hematite, Missouri; General Electric in Wilmington, N

Carolina; Nuclear Fuel Services in Erwin, Tennessee;

Westinghouse Electric in Columbia, South Carolina; an

Siemens Nuclear Power Corporation in Richland, Wash

Chemical and radiological hazards at fuel fabricati

ties are similar to enrichment plants. In addition, criti

a primary concern.

5.4 Spent Fuel Programs

NRC regulates, licenses, and inspects the storage o

ar reactor spent fuel and the domestic and internationa

portation of radioactive materials. In 1990, the NRC a

its regulations to store spent fuel at reactor sites in NR

approved storage casks. Current operating independen

fuel storage installation (ISFSI) sites are shown in Figu

5.4.1 Spent Fuel Storage. Spent fuel may be sto

several ways. Under 10 CFR Part 50, reactor licensees 

spent fuel in on-site pools. These licensees are issued a 

Part 72 license under which spent fuel can be stored in 

provided that certain conditions are met. ISFSIs can b

or off site and use dry storage casks or pools to contain 

Typically, however, ISFSIs are on site, and they use dry 

casks. At nuclear reactors across the country, spent fue

on site, above ground, in systems similar to the ones sho

Figure 6. The hazard involved in transporting such waste

offsite location cannot generally be justified in terms of co

fit. Also, the advantage of dry storage over pool (wet) st
38

(#)

VIRGINIA

Surry 1, 2 (37)

North Anna 1,2 

V

NY

PA

OH

VA

WV

MI

IN

KY

NC

TN

IL

SC GA

AL

FL

MS

MO

AR

TX

OK

KS

LA

IA

NE

WI

MN

ND

SD

WY

MT

CO

NM

AZ

CA

NV

UT

ID

OR

WA

Site-Specific License

General License

No. of Loaded Casks

ARKANSAS

Arkansas Nuclear 1, 2 (13)

COLORADO

Fort St. Vrain (244)

IDAHO

DOE: TMI-2 Fuel Debris (26)

MARYLAND

Calvert Cliffs 1, 2 (24)

MINNESOTA

Prairie Island 1, 2 (7)

OHIO

Davis-Besse (3)

SOUTH CAROLINA

Oconee (44)

H.B. Robinson (8

WISCONSIN

Point Beach (8)

* Data as of July, 2000

**Licensed but none loaded yet

Source: Nuclear Regulatory Commission

MICHIGAN

Palisades (18)

ILLINOIS

GE Morris (Wet Storage)

OREGON

Trojan (**)

gue 5Opeag depedeSpeueSoage s
Nuclear reactors are poweredby enriched uranium-235 fuel.Fission generates heat, whichproduces steam, which turnsturbines to produce electricity. A reactor rated at severalhundred megawatts maycontain 100 or more tons of fuelin the form of bullet-sized pelletsloaded into long rods.

After about six years, spent fuelassemblies—typically 14 feet longand containing nearly 200 fuelrods—are removed from the reactorand allowed to cool in storagepools for a few years. At this point,th

900

d 

bli

t

i

Fuelrods

Nuclear

reactor

Coolant Fuel

rod

Uraniumfuel pellets

At nuclear reactors across the country, high-level radioactive waste iskept on site, above ground, in systems basically similar to the one shownhere. On-site storage is supposed to be temporary, however, and manyplants have already reached capacity.

Fuelassembly

Once the spent fuel has cooledsomewhat, it is loaded into specialcanisters, each of which isdesigned to hold about two dozenassemblies. Water and air areremoved. The canister is filled withinert gas, welded shut andrigorously tested for leaks. It maythen be placed in a “cask” forstorage or transportation.

The canisters can also be stored inabove-ground concrete bunkers,each of which is about the size ofa one-car garage. Eventually theymay be transported elsewhere forstorage.

1

2

3

4

Bundle ofused fuelassemblies

Canister

Storagecask

Figure 6. Storage of Spent Fuel
40

Dry storage is far less expensive than comparable pool s

and is significantly safer as there is no risk of accidenta

cooling or shielding.

NRC performs in-depth safety evaluations of propo

designs, provides certificates of compliance for approve

designs, licenses facilities, monitors cask performance, 

inspections of ISFSI loading and off-loading, and works 

the DOE on development of dual-purpose and multi-pu

casks.

5.4.2 Nuclear Materials Transportation and

Safeguards. While the U.S. Department of Transp

(DOT) regulates the shipment of radioactive materials

reviews and certifies the design of containers used to tr

radioactive materials; conducts transport-related safety 

tions; conducts QA inspections of designers, fabricators

suppliers of approved transportation containers; and p

safeguards inspections of nuclear material licensees. N

establishes regulations that implement DOT requireme

certifies shipping packages (see 10 CFR Part 71). 

In addition, both the NRC and DOE jointly operat

national database and information support system to t

movement of domestic and foreign nuclear material un

safeguards control.

5.5 Waste Management 

NRC is responsible for the regulation of low-level 

(LLW), decommissioning, uranium recovery, and the D

level waste repository program. In this capacity NRC—

• reviews applications for the approval or denial 

requests to dispose of radioactive waste at site

than LLW sites (waste sent to a licensed LLW 

not require NRC approval),

• serves as the point of contact for interactions with 

• implements the Site Decommissioning

Management Plan (SDMP), which includes s
difficult or complicated,

• conducts environmental and safety assessmen

• manages power reactor decommissioning after 

spent fuel has been removed, 

• interfaces regularly with Federal Agencies, Sta

Agencies, and Indian tribes to promote unders

of LLW and decommissioning programs,

• coordinates the uranium recovery licensing pr

and activities under the Uranium Mill Tailing

Radiation Control Act, including interface with 

and

• develops the high-level waste repository progr

cooperation with DOE.

Low-level waste (LLW) comprises the radioactive 

ucts of NRC-licensed, or DOE-permitted activities that 

HLW, that do not contain elements with an atomic num

higher than uranium, or that are the tailings from the 

of uranium or thorium.

Low-level waste disposal facilities must be licensed 

either NRC or Agreement States in accordance with he

safety requirements. The facilities are to be designed, 

structed, and operated to meet safety standards. NRC

requirements place restrictions on the types of waste th

be disposed. The LLRWPA authorized the formation of 

compacts; nine compacts are now active (see Figure 7). 

High-level waste (HLW) is reactor fuel that has b

used in a reactor, liquid products of used reactor fuel re

ing, or the solids into which such liquids have been con

HLW is generated by DOE and NRC reactor licensees, 

are able to safely store the material. There is no license

itory for disposal of HLW.

Although NRC is responsible for licensing any repo

for spent fuel and HLW disposal, it is DOE that has be

ordered by Congress to develop such a repository. Effo
42

Source: Nuclear Regulatory Commission

Active Disposal Site (3)

Disposal Site Under License Review (3)

Licensed Disposal Site – Operations

Conditioned on Site Ownership (Under

Litigation) (1)

Approved Compact (9)

Unaffiliated State (11)

Note: Data as of September 1996.

Alaska and Hawaii belong to the

Northwest Compact. Puerto Rico is

an unaffiliated State. Texas, Maine,

and Vermont Compact awaiting

Congressional consent.

UT

MA

CT

RI

ME NH

VT

NY

PA

NJ

OH

MD

DE

VA

WV

MI

IN

KY

NC

TN

IL

GA SC AL

FL

MS

MO

AR

TX

OK

KS

LA

IA

NE

WI

MN

ND

SD

WY

MT

CO

NM

AZ

CA

NV

ID

OR

WA

DC

CENTRAL

MIDWEST

APPALACHIAN

NORTHEAS

SOUTHEAST

CENTRAL

INTERSTATE

SOUTHWESTERN

ROCKY

MOUNTAIN

NORTHWEST MIDWEST

Figure 7. U.S. LowLevel Waste Compacts

date have focused on the proposed Yucca Mountain site 

Nevada (see Figure 8). NRC works closely with DOE to 

that the license application, when submitted, will addre

safety issues of potential concern to NRC. The current N

approach to the pre-licensing program for Yucca Mounta

focuses on 10 key technical issues: 
Source: Department of Energy and the Nuclear Energy Institute

Processing

site

Ramp to

tunnels

Storag

Conta

er

Tunnel: 25

feet

W

1 Canisters of

waste, sealed in

special casks, are

shipped to the site

by truck or train.

2 Shipping casks are

removed, and the

inner tube with the

waste is placed in a

steel, multilayered

storage container.

3 An automated

system sends

storage containers

underground to

the tunnels.

4 Containers are

stored along the

tunnels, either on

their side, as shown

here, or standing

upright in holes.

Cross-section o

tunnels

Yucca Mountain

Figure 8. The Yucca Mountain Storage Plan

1. Igneous activity

2. Structural deformation and seismicity

3. Evolution of the near-field environment

4. Container life and source term

5. Thermal effects on flow

6. Repository design and thermal-mechanical eff
44

8. Activities related to development of the EPA Yucc

Mountain standard

9. Unsaturated and saturated flow under isotherm

ditions

10. Radionuclide transport

In order to avoid any conflict of interest, NRC has 

lished and uses the Southwest Research Institute as a

Federally Funded Research and Development Center in 

of NRC’s research in this area. Because DOE is develo

site, and will ultimately be the licensee, it would be ina

ate for NRC to contract with a DOE-managed National

Laboratory to perform this research. 
6 RESEARCH PROGRAM

The Office of Nuclear Regulatory Research (R

conducts the NRC research program. RES is responsib

resolution of generic safety issues at nuclear power pla

other facilities regulated by NRC. Research efforts can 

broadly categorized as either anticipatory or confirmat

NRC’s exploratory research program is limited. Some 

anticipatory research include code development, proba

risk assessment, and generic reactor issues such as em

ment and aging. Safety analyses submitted by license

be the subject of confirmatory research. The majority 

research is carried out by contractors that the NRC sta

sees. The results from the NRC research program help 

resolve important safety issues, evaluate industry initi

enhance understanding of new technologies, identify n

enhancements to NRC regulations, and contribute to a 

risk-informed, performance-based regulatory framewor
46
7 INTERNATIONAL PROGRAMS

The Office of International Programs provides 

assistance and recommendations to the Chairman, the

Commission, and the NRC staff on international issues

office provides overall coordination of NRC’s internation

activities, including nuclear exports and imports, intern

safeguards, international physical security, nonprolifera

matters, and international cooperation and assistance i

nuclear safety and radiation protection. 

The NRC participates in a broad program of intern

cooperation related to nuclear safety and safeguards an

33 arrangement/letters of agreement signed with regul

organizations. These arrangements/letters of agreeme

• Provide for bilateral cooperation on nuclear sa

safeguards, waste management, and radiologi

protection with the following countries:

Argentina, Belgium, Brazil, Canada, China, C

Republic, Egypt, Finland, France, Germany, G

Hungary, Indonesia, Israel, Italy, Japan, Kaza

Korea, Lithuania, Mexico, Netherlands, Peru,

Phillippines, Russia, Slovak Republic, Sloveni

Africa, Spain, Sweden, Switzerland, Taiwan, U

and the United Kingdom.

• Ensure prompt notification of these countries 

problems that warrant action or investigation

NRC also participates in the programs of the

International Atomic Energy Agency (IAEA) and th

Organization for Economic Cooperation and

Development’s Nuclear Energy Agency (OECD/NEA

are concerned with the physical protection of nuclear m

reactor safety research and regulatory matters, radiati

tection, risk assessment, waste management, transpor

safeguards, training, and technical assistance.
48
8 HOW’D THEY DO THAT?

NRC uses many mechanisms for implementing its 

tory programs. The following section briefly describes 

the more important ones.

8.1 Rules and Regulations

NRC provides licensees with requirements that, if 

result in adequate protection of workers, the public, an

environment. The impetus of a proposed rule could be 

requirement issued by the Commission, a petition for r

ing by a member of the public, or research results that 

a need for a rule change. The proposed rule is publishe

Federal Register along with background information 

the proposed rule, to whom comments should be addres

when comments should be received in order to ensure c

ation by the staff, why the rule change is thought to be 

and the proposed text to be changed. Usually, the publi

given 75 to 90 days to provide written comments. Once 

public comment period has closed, the staff analyzes th

ments, makes any needed changes, and forwards the F

Rule to the NRC Commissioners for approval. Once ap

the final rule is published in the Federal Register and u

becomes effective 30 days later. 

For especially important or controversial rules, the 

may publish an Advanced Notice of Proposed Rulem

(ANPR) or conduct one or more public meetings. The A

solicits comment well in advance of the proposed rulem

stage. The need for some action is described but only b

concepts are discussed for a proposed action.

The Agreement States are consulted at several add

stages to ensure that any proposed rulemaking reflects 

State concerns. Most rulemakings associated with the m

(non-reactor) program are discussed at the annual AllAgreement States meeting and at the Conference of

Radiation Control Program Directors meeting. On
change their own regulatory programs. In some cases, 

rules adopted by the Agreement States must be very cl

the NRC requirements. In other cases, States may be f

developing their own requirements to achieve the same 

fundamental objectives.

Proposed rulemakings are presented by technical s

professional meetings held around the country. In 1997

electronic Technical Conference Forum was developed b

to make early draft guidance documents and rulemakin

available for public discussion and comment. The Tech

Conference Forum is located at the web address 

<http://techconf.LLNL.gov/>. 

8.2 Licensing Guidance

Standard Review Plans (SRPs) are developed by 

staff to describe how a license application is to be revie

the NRC staff. An SRP is published as a draft for publ

ment before it is issued to seek licensee input. Final S

available to assist licensees in developing a license app

8.3 Consolidated Guidance

NRC is consolidating and updating numerous guid

documents into a single, comprehensive repository, call

Consolidated Guidance documents, and publishing them 

volumes in NUREG-1556. The volumes are intended to 

by applicants, licensees, and NRC staff to address issu

preparing license applications, administering a program

reviewing an application, and issuing a license, These d

ments take a risk-informed, performance-based approa

different types of licensees and radioactive material us

8.4 Enforcement and Legal Opinions

The basic enforcement sanctions available to the N

Notices of Violation, civil penalties, and orders of vario

50
ing one or more violations of a legally binding 

ment. The NOV normally requires the recipie

provide a written statement describing (1) the 

for the violation or, if contested, the basis for d

the violation; (2) corrective steps that have bee

and the results achieved; (3) corrective steps th

be taken to prevent recurrence; and (4) the da

full compliance will be achieved. The NOV is 

common method for formalizing a violation.

• A civil penalty is a monetary penalty that ma

imposed for violation of (1) certain specified lic

provisions of the Atomic Energy Act or supplem

NRC rules or orders; (2) any requirement for w

license may be revoked; or (3) reporting requir

under Section 206 of the Energy Reorganizatio

Civil penalties are designed to deter future vio

both by the involved licensee as well as by oth

licensees conducting similar activities and to e

size the need for licensees to identify violation

take prompt corrective action. Violations that 

most significant are assigned a Severity Level 

Severity Level IV violations are the least signi

Severity Level I and II violations are always a

civil penalty, whereas Severity Level III violat

result in a fine. Licensees are not fined for Sev

Level IV violations.

• An order is a written NRC directive to modify

pend, or revoke a license; to cease and desist f

given practice or activity; or to take such other 

as may be proper (see 10 CFR Section 2.202). 

may also be issued in lieu of, or in addition to 

penalties, as appropriate, for Severity Level I, 

violations. Orders are usually issued following 

NOV to require timely corrective actions. 

• A non-cited violation is a minor violation for w

licensee is not cited, but rather less formally n
52

approves or issues all escalated enforcement actions (S

Level I-III) to reactor Licensees, including orders and c

penalties. In addition, the Deputy Executive Directo

Materials, Research and State Programs is author

approve or issue all other escalated matters.

Legal opinions and interpretations of NRC regulat

policies are issued only by the Office of the General C

(see 10 CFR Part 8). Any opinion given by staff, even s

staff, is not binding on the Commission. 

8.5 Memoranda of Understanding 

NRC has entered into Memoranda of Understandi

(MOUs) with several agencies to avoid duplication of e

where regulatory authority overlaps. MOUs have been 

with the following agencies: 

• Occupational Safety and Health Adminis

(OSHA), which allows NRC inspectors to ident

tions of OSHA requirements at NRC-licensed 

• DOT, which allows NRC to inspect and enforce 

ments for shipping containers used to transpo

radioactive materials in the United States.

• EPA, which allows NRC to inspect and enforce

radionuclide air emissions (previously under E

Clean Air Act Standards) at NRC-licensed faci

8.6 Regulatory Guides

Regulatory Guides describe methods to impleme

ic parts of the Commission’s regulations, techniques us

staff to evaluate specific problems or postulated accide

data needed by the staff in its review of applications fo

or licenses. The guides are available to the public and 

ed into ten divisions: 

1. Power Reactors

2. Research and Test Reactors
4. Environmental and Siting

5. Materials and Plant Protection

6. Products 

7. Transportation 

8. Occupational Health 

9. Antitrust and Financial Review 

10. General 

Regulatory guides provide licensees with methods 

demonstrate compliance with NRC requirements that a

acceptable to staff. Usually, one or more regulatory gu

written for every new major rule. Draft regulatory gui

issued for public comment in the early stages of develo

and are distributed to all potentially affected licensees 

other interested parties. They have not received compl

review and do not present an official NRC staff position

a comment period of typically 30 to 90 days, the staff w

review the comments received, revise the guide accordi

and issue a final guide.

Regulatory guides may be withdrawn when they a

superseded by the Commission’s regulations, when equ

recommendations have been incorporated in applicable

approved codes and standards, or when obsolete. The 

withdrawal of a guide does not alter any prior or existi

licensing commitments. 

Single copies of draft and final regulatory guides, m

be obtained free of charge by writing to the Office of th

Chief Information Officer, Reproduction and Distributi

Services Section, U.S. Nuclear Regulatory Commission

Mail Stop OP1-33, Washington, DC 20555-0001, or by 

sending a facsimile to 301-415-2289 or an e-mail messa

<distribution@nrc.gov>. Requests for draft guides w

filled as long as supplies last. A request for placement 

automatic distribution list should be sent to this addre
Technical Information Service (NTIS) on a standing ord

Details on this service may be obtained by writing to N

5285 Port Royal Road, Springfield, VA 22161. Regulato

can also be viewed or downloaded at NRC Web site add

<www.nrc.gov/NRC/RG/index.html#Active>.

8.7 Inspection Guidance

When new rules or regulatory guides are developed

staff revises related inspection guidance so that all insp

are aware of the new or revised requirements. This ens

that inspection actions across the regions remain consi

These modules describe what the inspector should look 

how to document findings, and what actions are to be t

Licensees and members of the public can review the 

inspection modules at NRC’s web site address,

<www.nrc.gov/NRC/IM/index.html>, request copies 

inspection guidance, or provide comments at any time.

8.8 Generic Communications

When an issue arises that might suggest a safety c

for many individual licensees, NRC issues one of four t

generic communications: (1) regulatory issue summarie

information notice, (3) a bulletin, or (4) a generic letter

communications are also sent to manufacturers, suppli

service groups, and regulatory organizations to commu

safety information that may be relevant to their activit

• Regulatory Issue Summaries are used when 

response or action is requested and are used to

a. document NRC endorsement of the resoluti

issues addressed by industry-sponsored init

b. solicit voluntary license participation in 

staff-sponsored pilot programs,

c. inform licensees of opportunities for regula

relief, and

54
ly communicated to industry or not broadly un

• Information Notice. This is issued to inform

addressees of significant, recently identified op

experience. Addressees are expected to review 

information for applicability to their operation

consider actions, as appropriate, to avoid simil

lems. An information notice does not impose o

new requirements, or interpret regulations, an

not require specific actions. Therefore, an add

response to NRC is not required. In some case

staff may also issue a bulletin or generic letter 

topic addressed in an information notice.

• Bulletin. This informs addressees of recently 

fied “urgent” safety issues and may request in

tion or action or both and requires a response 

oath or affirmation, in keeping with its urgent 

Written responses are in accordance with Sect

Atomic Energy Act of 1954, as amended. Bulle

request action will be reviewed in accordance w

efit requirements. If a bulletin states a new st

tion not previously communicated or broadly u

stood, the staff will so inform the Commission

• Generic Letter. A type of generic communica

issued to address safety issues such as —

a. requesting that analyses be performed or p

corrective actions submitted regarding mat

safety, safeguards, or environmental signifi

The addressees may be asked to accomplish 

actions and report their completion by lette

without prior NRC approval. Information re

these analyses may be requested on a volunt

or required in accordance with Section 182a, 

Energy Act of 1954, as amended. This type 

ic letter may request new or revised license

mitments or other continuing actions.
tion that NRC needs to perform its function

information may be requested on a volunta

or required in accordance with Section 182

Energy Act of 1954, as amended.

c. requesting or providing the opportunity to

addressees to submit proposed changes to t

specifications or license commitments.

d. providing staff technical or policy positions 

viously communicated or broadly understoo

e. soliciting voluntary participation in technic

programs.

If a generic letter states a new staff position or req

new licensee commitments, the staff will so inform the

Commission before (if practicable) or immediately after 

generic letter is issued. 

8.9 Codes and Standards

NRC staff participates in the development of indus

standards and codes so that the resulting standard or 

will be acceptable for use by licensees in demonstrating 

ance with requirements. In some cases, NRC will endo

standard or code in a regulatory guide.

8.10 NRC Reports

NRC also publishes reports and brochures that prov

useful information to licensees, identified by an alpha n

designator in the NUREG series (NUREG-XXXX for a r

NUREG/BR-XXXX for a brochure, or NUREG/CR-XXXX 

contractor report). NUREG-series publications contain o

unclassified information. These publications can presen

result of research performed by NRC or its contractors, 

a compilation of data collected by NRC, or provide techn

information such as that found in a text book. They do n

tain any legally binding regulatory requirements althou

56
ance documents. Some publications are available on the 

at <http://www.nrc.gov/NRC/NUREGS/indexnum.h

In addition, the public may buy these publications from

The Superintendent of Documents

U.S. Government Printing Office

P.O. Box 37082

Washington D.C. 20402-9328

<http://www.access.gpo.gov/su_docs/>

202-512-1800

The National Technical Information Service

Springfield, VA 22161-0002

<http://www.fedworld.gov/onow/>

703-487-4560
58
9 EXPECTATIONS OF LICENSEES

The NRC and its licensees share a common respon

to protect public health and safety. Federal regulation

NRC regulatory program are important elements in th

tion of the public. NRC licensees, however, are primar

responsible for safely using nuclear materials. NRC’s s

philosophy explains that “although the NRC develops a

enforces the standards governing the use of nuclear ins

tions and materials, it is the licensee who bears the pri

responsibility for conducting those activities safely.” N

is not to monitor all nuclear operator activities, but rat

oversee and audit licensees, registrants, or certificate h

that the NRC can focus its activities where the regulat

is greatest.

This safety philosophy is intended to clarify, beyon

possibility of misunderstanding, that the primary resp

ty never shifts from the licensee. If a licensee’s activit

not in accordance with its license, or with the NRC’s re

tions, the licensee is responsible and accountable—wh

not the NRC could or should have detected the noncom

and required corrective action. A licensee should perfo

assessments, audits, and periodic reviews regularly to 

that its program is functioning effectively.

Risk Informed Regulation

Whether at a reactor or in a nuclear medicine labo

NRC requires that licensees manage the risks associat

the use of radioactive materials. Further, NRC require

licensees manage risk under normal circumstances as w

during postulated accidents or actual events.

As mentioned earlier, the NRC has established its 

tory requirements to ensure that a licensed facility is d

constructed, operated, maintained, and modified in a m

that will not result in undue risk to public health and s

NRC requirements have been based largely on enginee
judgements of subject matter experts. These criteria ar

establish safety margins through the use of multiple ba

and the “defense-in-depth” philosophy. 

Of all the tools available, Probabilistic Risk Asse

(PRA) methods offer the most potential to sharpen the 

and to improve the effectiveness of NRC requirements. 

ters better decision-making by concentrating on those a

a facility most important to safety, thereby better utiliz

resources and reducing unnecessary burden. PRA insig

information have been applied successfully in numerou

tory activities and have proven to be a valuable comple

deterministic engineering approaches. NRC risk asses

activities for nuclear power plant licensees are included 

preparation of draft Regulatory Guides and Standard R

Plans, development of the Commission Safety Goals, in

of pilot applications in specific areas, and review of lice

Individual Plant Examinations.

NRC provides guidance on using PRA to support a

ate plant-specific changes to the licensing basis. The “l

basis” refers to that set of regulations, license condition

nical specifications, and commitments that define the d

and operating envelope within which a licensee must m

and operate its facility. 

When using risk assessment insights to support plant

changes to the licensing basis, a licensee must adhere to th

damental safety principles:

1. The licensee must meet existing regulations or 

an appropriate change or exemption.

2. The licensee must maintain defense-in-depth.

3. The licensee must maintain sufficient safety 

margins–which means that, where limits hav

established through regulation, or through com

ment to codes, standards, or Regulatory Guide

limits should be observed, unless a change is p

and approved.

60
(including the cumulative effect of all proposed 

es) should be small and should not cause the N

Safety Goals to be exceeded.

5. The licensee must use performance-based imp

tion and monitoring strategies that address un

ties in the analysis models and data and provi

timely feedback and corrective action. Perform

based implementation and monitoring is a me

checking key PRA analysis assumptions by obs

actual equipment or system performance. If p

mance is not consistent with the assumptions 

analysis, then feedback and corrective action s

taken to revise the proposed change or to impr

equipment or system performance. In effect, i

way to reduce uncertainty and ensure PRA val

These five principles ensure that traditional NRC

approaches to safety regulation are maintained and tha

insights from risk assessment are used to focus the rev

on the most important safety-significant issues.
62
10 IS YOUR VOICE BEING HEARD?

Individuals can have their opinions considered by 

number of ways. Probably the most important way to h

say in how NRC implements its program is through wr

comment on proposed rules, regulatory guides, SRPs an

published documents. To be really effective, comments 

be concise, specific, and well-reasoned. That is, a lengt

cussion of a certain issue is sometimes less useful than 

or two-page comment that includes suggested alternati

a concise rationale for the proposed alternative. Some 

ways in which you can obtain information or voice your 

are provided in the following sections. 

10.1 The Freedom of Information Act 

Under the Freedom of Information Act (FOIA), any 

ber of the public can request virtually any information 

government agency (see 10 CFR Section 9.23, “Request

Records”). The request must be in writing and must c

state on the envelope and in the letter that it is a “Free

Information Act request.” The request must describe th

records sought in sufficient detail to permit the NRC to 

the requested agency records. Where possible, the requ

should specify dates, NRC license number, licensee doc

number, or other information that may help identify th

agency records. 

For any FOIA request, a requestor may be charged 

the time to search for and review records and for the n

pages copied. Requests for NRC agency records should 

addressed to the Freedom of Information and Privacy A

Officer, Office of the Chief Information Officer, U.S. Nu

Regulatory Commission, Washington, DC 20555-0001. 

may also be made directly from the Freedom of Inform

and Privacy Act Program Homepage at web address

<http://www.nrc.gov/NRC/FOIA/foia.html/>.
NRC has a Web site containing a variety of inform

such as the full text of press releases, significant speec

summaries of proposed and final rules, the full text of s

Federal Register notices, generic communications to lic

inspection manual chapters, and much more. To learn 

about this capability, visit the NRC web site <www.nr

From there, you can find information on virtually every 

discussed in this brochure.

10.3 For More Information...

The NRC offers a variety of programs to make age

licensee, and nuclear industry information available to 

public. The agency maintains a Public Document Ro

(PDR) that includes a comprehensive collection of over 

publicly released documents related to NRC licensing p

ings, rulemaking activities, and of policy issues for nuc

regulation in the United States. The PDR can provide 

these documents anywhere in this country or overseas 

ous electronic systems, including an online search and 

capability and a bulletin board for selected meeting an

ments. Members of the public can obtain documents su

to NRC, unless they contain proprietary information, a

documents produced by NRC. There is a modest charg

postage and copying. For further information, telephon

202-634-3273, or toll free, 800-397-4209; internet e-mai

sage to <pdr@nrc.gov>; telefacsimile to 202-634-3343

to the PDR, U.S. Nuclear Regulatory Commission, Was

D.C. 20555-0001.

In January 2000, NRC began using its new Agency

Document Access and Management System (ADAMS) f

ing public documents available through the new “Publi

Electronic Reading Room” on the NRC Web site at

<http://www.nrc.gov/NRC/ADAMS/index.html>.

64
will be able to order them for a fee from the Public Doc

Room by mail, electronic mail, telefacsimile, toll-free te

or on-line directly from the NRC Public Electronic Rea

Room. Bibliographic descriptions of the older document

also be searchable via this Web site. Paper copies of ne

records may be obtained by downloading and printing t

directly from the Internet.

Making documents available through ADAMS will 

number of benefits:

• Post-ADAMS records will be available electron

full text and image, which has not normally be

case.

• ADAMS will provide full-text search capability 

will make it easier to identify records that mee

search criteria.

• Newly received and generated records will be 

to the public within days instead of weeks.

• Through the Internet, a great many more mem

the public will have ready access to NRC docu
66
Federal Reports Elimination and Sunset Act of 1995, P

No. 104-66.

U.S. Nuclear Regulatory Commission, Office of the Gen

Counsel. Nuclear Regulatory Legislation, 103d Congr

(NUREG-0980, Vols.1 and 2, No. 4), December 1997.

U.S. Nuclear Regulatory Commission. Technical Train

Center Manual, “Fuel Cycle Technology.” November 1

U.S. Nuclear Regulatory Commission. NRC Annual Re

(NUREG-1145, Vol. 13), 1996.

U.S. Nuclear Regulatory Commission. The Regulation 

Use of Radioisotopes in Today’s World (NUREG/BR-0

July 1996.

U.S. Code of Federal Regulations, Parts 0-199, Title 10

“Energy,” 1999.

U.S. Nuclear Regulatory Commission. Citizen’s Guide t

Nuclear Regulatory Commission Information; (NURE

0010, Rev 3), 1998.

U.S. Nuclear Regulatory Commission. NRC’s Informat

Digest; (NUREG-1350, Vol. 11), 1999.

U.S. Nuclear Regulatory Commission, Office of Personn

Nuclear Regulatory Commission Organizational Cha

Functional Statements (NUREG-0325, Rev. 22), Nove

1997.

U.S. Nuclear Regulatory Commission. NRC’s Strategic 

1997-2002 (NUREG-1614, Vol. 1), 1997.

U.S. Nuclear Regulatory Commission. NRC, Regulator

Nuclear Safety (NUREG/BR-0164, Rev. 3)
68
Part Title

0 Conduct of Employees

1 Statement of organization and general information

2 Rules of practice for domestic licensing proceedings and issuance 

4 Nondiscrimination in Federally assisted Commission programs

7 Advisory Committees

8 Interpretations

9 Public Records

10 Criteria and procedures for determining eligibility for access to r

data or national security information or an employment clearan

11 Criteria and procedures for determining eligibility for access to o

over special nuclear material

12 Implementation of the Equal Access to Justice Act in agency pro

13 Program fraud civil remedies

14 Administrative claims under Federal Tort Claims Act

15 Debt collection procedures

16 Salary offset procedures for collecting debts owed by federal emp

the General government

19 Notices, instructions and reports to workers: inspection and inve

20 Standards for protection against radiation

21 Reporting of defects and noncompliance

25 Access authorization for licensee personnel

26 Fitness for duty programs

30 Rules of general applicability to domestic licensing of byproduct 

31 General domestic licenses for byproduct material

32 Specific domestic licenses to manufacture or transfer certain item

containing byproduct material

33 Specific domestic licenses of broad scope for byproduct material

34 Licenses for radiography and radiation safety requirements for r

graphic operations

35 Medical use of byproduct material

36 Licenses and radiation safety requirements for irradiators

39 Licenses and radiation safety requirements for well logging

Title 10 of the Code of Federal Regulation
70

40 Domestic licensing of source material

50 Domestic licensing of production and utilization facilities

51 Environmental protection regulations for domestic licensing and 

regulatory functions

52 Early site permits; standard design certification; and combined l

nuclear power stations

54 Requirements for renewal of operating licenses for nuclear powe

55 Operators’ licenses

60 Disposal of high-level radioactive wastes in geologic repositories

61 Licensing requirements for land disposal of radioactive waste fa

62 Criteria and procedures for emergency access to non-federal and 

low-level waste facilities

70 Domestic licensing of special nuclear material

71 Packaging and transportation of radioactive material

72 Licensing requirements for the independent storage of spent nuc

and high-level radioactive waste

73 Physical protection of plants and materials

74 Material control and accounting of special nuclear material

75 Safeguards on nuclear material — implementation of US/IAEA a

76 Certification of gaseous diffusion plants

81 Standard specifications for the granting of patent licenses

95 Security facility approval and safeguarding of national security 

tion and restricted data

100 Reactor site criteria

110 Export and import of nuclear equipment and material

140 Financial protection requirements and indemnity agreements

150 Exemptions and continued regulatory authority in Agreement S

in offshore waters under section 274

160 Trespassing on Commission property

170 Fees for facilities, materials, import and export licenses, and oth

tory services under the Atomic Energy Act of 1954, as amended

171 Annual fees for reactor operating licenses, and fuel cycle license

materials licenses, including holders of certificates of complianc

tions, and quality assurance program approvals and governmen

licensed by NRC.


The U.S. Nuclear Regulatory Commission

and How It Works NUREG/BR-0256 August 2000