United States Nuclear Regulatory Commission

abstract

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The Strategic Plan Fiscal Years 2008 - 2013 describes the U.S. Nuclear 

Regulatory Commission’s mission and defines the strategic goals 

and outcomes the agency intends to pursue.

NRC Headquarters
strategic plan fiscal years 2008-2013 ii

Table of contents

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

About the NRC. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Future Challenges. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Organization of the Strategic Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

THE PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Mission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

NRC Organizational Values. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Principles of Good Regulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Strategic Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Federal Priority Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Strategic Outcomes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Discussion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Safety Goal Implementation Strategies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Programs That Support Safety Implementation Strategies. . . . . . . . . . . . . . . . . . . . . . . 10

Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Strategic Outcomes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Discussion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Security Goal Implementation Strategies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Programs That Support Security Implementation Strategies. . . . . . . . . . . . . . . . . . . . . 16

Organizational Excellence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Openness Strategy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Effectiveness Strategy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Operational Excellence Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Appendix A: Key External Factors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 

Appendix B: Planned Program Evaluations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Appendix C: Glossary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Bibli ographi c Data Shee t . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

availabili ty of reference materials in

nrc publi cations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

strategic plan fiscal years 2008-2013 iv

Chairman’s mess age

I present to you the U.S. Nuclear Regulatory Commission’s (NRC’s) Strategic 

Plan for Fiscal Years (FYs) 2008–2013. The mission of the NRC is to license 

and regulate the Nation’s civilian use of nuclear materials to protect the public 

health and safety, promote the common defense and security, and protect the 

environment. The NRC’s Strategic Plan defines the agency’s strategic goals and 

identifies the processes, skills, technologies, and resources that will be used to 

achieve these goals. 

During the time period identified in the Strategic Plan, the agency expects 

to meet new and unanticipated challenges. I am confident that the NRC will 

continue to ensure the safe and secure operation of the existing licensed facilities 

and the safe and secure use of nuclear materials. 

Additionally, the agency will respond to lessons learned from the Fukushima 

Dai-ichi accident. In 2011, the NRC formed a Near-Term Task Force, comprised 

of some of the agency’s most senior staff and experts, to conduct a thorough 

review of all available information and to develop a comprehensive set of 

recommendations for strengthening nuclear safety. Implementation of the 

recommendations is underway, and will continue through the period of 

performance of this Strategic Plan. 

In developing our Strategic Plan, the Commission benefited from input from 

the agency staff and external stakeholders, including members of the public, the 

Congress, and the nuclear industry. I thank all of the stakeholders who shaped 

the Strategic Plan, as well as the NRC staff who worked diligently to produce a 

Plan that the Commission believes is comprehensive and clear. The Strategic 

Plan for Fiscal Years 2008–2013 will serve as a guide for how the NRC fulfills its 

important safety responsibilities to the American people. 

Gregory B. Jaczko

Chairman
United States Nuclear Regulatory Commission

NRC regions

Nuclear Power Plants

•	Each regional office oversees the plants in its region except the Grand Gulf plant in

Mississippi and the Callaway plant in Missouri, which Region IV oversees.

Material Licensees

•	Region I oversees licensees and Federal facilities located

geographically in Region I and Region II.

•	Region III oversees licensees and Federal facilities located geographically in Region III.

•	Region IV oversees licensees and Federal facilities located geographically in Region IV.

Nuclear Fuel Processing Facilities

•	Region II oversees all the fuel processing facilities in the region and those in Illinois,

New Mexico, and Washington.

•	In addition, Region II handles all construction inspectors’ activities for

new nuclear power plants and fuel cycle facilities in all regions.

Source: U.S. Nuclear Regulatory Commission
strategic plan fiscal years 2008-2013 1

introduction

About the NRC

The U.S. Nuclear Regulatory Commission (NRC or 

agency) is an independent agency that was established 

by the Energy Reorganization Act of 1974 and 

began operations in 1975. Congress established the 

NRC to regulate the Nation’s civilian commercial, 

industrial, academic, and medical uses of nuclear 

materials. The agency’s mission is to protect public 

health and safety, promote the common defense 

and security, and protect the environment. The 

NRC is headed by five Commissioners appointed 

by the President of the United States, with the 

advice and consent of the U.S. Senate, to serve 

staggered 5-year terms. The President designates 

one of the Commissioners to serve as Chairman. 

The NRC’s scope of responsibility includes the 

regulation of commercial nuclear power plants; 

research and test reactors; nuclear fuel cycle 

facilities; medical, academic, and industrial uses 

of radioactive materials; the decommissioning of 

these facilities and sites; and the transport, storage, 

and disposal of radioactive materials and wastes. 

The NRC’s regulations are designed to protect the 

public and occupational workers from radiation 

hazards resulting from regulated activities. The 

entities regulated by the NRC are responsible for 

the safety and security of radioactive materials.

The NRC issues licenses for civilian uses of 

radioactive materials, oversees the licensees, and 

certifies standard nuclear reactor designs and spent 

fuel storage casks and transportation packages. As 

of September 2011, currently operating facilities and 

licensees include 104 commercial nuclear power 

reactors; 31 research and test reactors; approximately 

4,600 licensed reactor operators; 4 early site permits; 

4 reactor design certifications; 40 uranium recovery 

sites; 16 major fuel cycle facilities; approximately 

3,000 research, medical, industrial, government, and 

academic materials licensees; and 46 independent 

spent fuel storage installations. The NRC also 

provides consultation to the U.S. Department of 

Energy (DOE) about disposal options for waste 

incidental to reprocessing and monitors the 

Department’s disposal actions for incidental waste.

In addition, 37 States, which administer 

approximately 19,600 licenses, have signed agreements 

with the NRC under which they assume regulatory 

responsibility over the use of certain quantities of 

radioactive materials for civilian purposes in their 

respective States. The NRC works closely with these 

Agreement States to ensure that they maintain an 

adequate and compatible regulatory framework. 

The NRC also licenses the import and export of 

radioactive materials; participates in international 

nuclear activities, including multilateral and 

bilateral safety and security activities; and works 

closely with its international counterparts to 

enhance nuclear safety and security worldwide. 

Future Challenges 

The review of applications to construct and operate 

new nuclear power plants, including small modular 

reactors, while continuing to ensure the safe and 

secure operation of the existing licensed facilities, and 

addressing any national policy decisions related to the 

management of radioactive waste are major evolving 

challenges facing the NRC over the next several years.

To meet these challenges, the NRC must use its 

resources efficiently, revise the regulatory framework 

as appropriate to disposition existing or emerging 

issues, and provide adequate infrastructure to 

maintain staff competence and readiness. Even 

as the NRC works to address these challenges, the 
2

introduction

United States Nuclear Regulatory Commission

agency’s mission and values remain unchanged. 

The NRC’s priority continues to be ensuring the 

adequate protection of public health and safety, and 

promoting the common defense and security. Safety 

and security remain the agency’s core functions 

upon which the goals and strategic outcomes of this 

Strategic Plan are based. This focus on safety and 

security ensures that the NRC remains a strong, 

independent, stable, and effective regulator.

In the next two years, the NRC expects:

n To receive additional applications for new uses 

of radioactive material as well as applications 

from entities that want to build and operate both 

small and large new nuclear power plants. In 

addition, the agency will develop the regulatory 

infrastructure to support the review of anticipated 

applications for small modular reactors.

n An increase in the quantities of spent nuclear fuel 

that will be held in interim storage at reactor sites 

or possibly transported to centralized interim 

storage sites awaiting permanent disposal. 

n To coordinate with a wide array of Federal, State, 

local, and Tribal governments on matters related to 

nuclear material regulation, license renewal, new 

reactor licensing, homeland security, emergency 

planning, management of radioactive waste, 

decommissioning, and environmental protection.

n To make additional improvement in NRC’s 

regulatory system based on lessons learned 

from the nuclear accident that began with the 

events on March 11, 2011, at the Fukushima 

Dai-ichi nuclear facility in Japan.

n To increase international engagement on safety 

and security of the use of nuclear material.

The NRC recognizes that the developments noted 

above will create an even greater need for effective 

and open communication with public stakeholders 

about a variety of issues. These include emergency 

preparedness and the safety and security of 

existing and proposed nuclear power plants, 

fuel cycle facilities, as well as medical, academic, 

and industrial uses of licensed materials.

The resolution of these complex regulatory issues 

also requires effective knowledge management to 

capture, retain, and leverage institutional knowledge. 

The agency will continue to attract staff with the 

skills to conduct complex safety reviews. The agency 

also realizes that to retain these highly skilled 

and educated professionals, they need effective 

leadership, access to the tools to perform their jobs, 

and a workplace that promotes strong employee 

engagement. The NRC’s approach focuses on 

ensuring that each staff member is highly trained in 

the skills relating to his or her duties, the regulatory 

processes that govern agency actions, and the 

regulatory principles inherent in making the agency a 

strong, independent, stable, and predictable regulator. 

Being a stable and predictable regulator means 

having effective and structured regulatory processes 

in place and ensuring that these processes are 

followed. The NRC will develop regulatory 

initiatives in a manner that is open to public 

review and involvement in accordance with these 

processes. The NRC is committed to considering 

and being responsive to stakeholder input before 

implementing new regulatory initiatives.
strategic plan fiscal years 2008-2013

introduction

3

Organization of the Strategic Pla n

This Plan describes the NRC’s key strategic goals of 

safety and security. For each of these goals, the Plan 

describes the desired strategic outcomes, issues and 

significant observations, strategies, and the means to 

support the strategies during this strategic planning 

period. The Plan also describes the organizational 

excellence strategies (i.e., openness, effectiveness, 

and operational excellence) to support the strategic 

goals of safety and security. For each of the excellence 

strategies, the Plan discusses issues and actions.

Appendix A discusses key external factors 

that could affect the agency’s ability to 

effectively execute this Strategic Plan. 

Appendix B provides the schedule of planned 

program evaluations that the agency will 

use to adjust and refine its performance. 

Appendix C is a glossary of terms used in the plan.

strategic plan fiscal years 2008-2013 5

the plan

Mission

The mission of the NRC is to license and regulate the 

Nation’s civilian use of byproduct, source, and special 

nuclear materials to ensure the adequate protection 

of public health and safety, promote the common 

defense and security, and protect the environment.

NRC Organizational Values

The NRC organizational values ensure excellence 

in accomplishing the agency’s mission:

n integrity in our working relationships, 

practices, and decisions 

n service to the public and others 

who are affected by our work

n openness in communications and decision-making

n commitment to public health and safety, 

security, and the environment

n cooperation in the planning, management, 

and performance of agency work

n excellence in our individual and collective actions

n respect for individuals’ diversity, roles, 

beliefs, viewpoints, and work/life balance

Principles of Good Regula tion

The safe and secure use of radioactive materials 

and nuclear fuels for beneficial civilian 

purposes is made possible by the agency’s 

adherence to the following principles of good 

regulation: independence, openness, efficiency, 

clarity, and reliability. In addition, regulatory 

actions are effective, realistic, and timely.

Strategic Goals

Safety: Ensure adequate protection of public 

health and safety and the environment.

Security: Ensure adequate protection in the secure 

use and management of radioactive materials.

FEDERAL PRIOR ITY GOALS

The Government Performance and Results 

Act Modernization Act, 31 U.S.C. 1115(b)(10) 

requires the agency to address Federal Goals in 

its Strategic Plan and Annual Performance Plan. 

Please refer to Performance.gov for information 

on Federal Priority Goals and the agency’s 

contributions to those goals, where applicable.

strategic plan fiscal years 2008-2013 7

safety

Safety Goal

Ensure adequate protection of public health and 

safety and the environment.

Strategic Outcomes

n Prevent the occurrence of nuclear reactor accidents.

n Prevent the occurrence of inadvertent criticality 

events.

n Prevent the occurrence of acute radiation exposures 

resulting in fatalities.

n Prevent the occurrence of releases of radioactive 

materials that result in significant radiation 

exposures.

n Prevent the occurrence of releases of radioactive 

materials that cause significant adverse 

environmental impacts.

Discussi on

A primary function of the NRC is to regulate the 

safe civilian uses of radioactive materials to ensure 

adequate protection of public health and safety and 

the environment. In responding to anticipated 

developments in the nuclear reactor safety arena 

over the next several years, including the review of a 

number of applications for new nuclear reactors, the 

NRC will continue to place significant emphasis on 

strengthening the relationship among safety, security, 

and emergency preparedness. In light of the events 

in Japan on March 11, 2011, that resulted in the 

nuclear emergency at the Fukushima Dai-ichi nuclear 

power plant, the agency assessed relevant NRC 

regulatory requirements, programs, and processes 

and their implementation to determine actions that 

may be necessary to improve safety and emergency 

preparedness at the operating nuclear power plants 

in the United States and for new reactors. Further, 

as lessons learned are identified from the Fukushima 

nuclear accident that are applicable to nuclear reactor 

designs and facilities in the United States, the NRC 

will consider applying these insights to improve its 

regulatory system in an effective and efficient manner, 

while meeting the safety goal objective.

The NRC achieves its safety goal by licensing 

individuals and organizations to use radioactive 

materials for beneficial civilian purposes and then 

ensuring licensees perform at acceptable safety 

levels. In particular, the agency maintains vigilance 

over safety performance through licensing reviews, 

inspections, assessment, enforcement, investigations, 

expanded oversight (when needed), rulemaking, 

and incident response. In addition, the NRC 

continually seeks to promptly identify and resolve 

any potential safety issues, including those with 

generic implications for multiple reactors or 

licensees. When appropriate, the NRC uses 

enforcement actions to rectify deficiencies. These 

enforcement actions include issuing orders for 

corrective action, issuing shutdown orders, imposing 

civil penalties, seeking criminal prosecution, or 

suspending or revoking a license.

The agency conducts its activities using sound science, 

risk insights, the principle of defense-in-depth, and 

operating experience to ensure that licensed facilities 

have adequate safety margins. In carrying out its 

safety mission, the NRC takes appropriate actions to 

ensure that licensee performance does not fall below 

acceptable levels. 

Important current and future considerations for 

the agency include challenges related to materials 

degradation at existing nuclear power plants; 

high-level waste and spent nuclear fuel storage, 

transport, and disposal; the use of new and 

evolving technologies; and analyzing domestic 

and international operating experience and other 

events of national interest for lessons learned 

and best practices. Other considerations include 

upgrading incident response systems, employing a 

multifaceted regulatory approach, and cooperating 
8 United States Nuclear Regulatory Commission

safety

and coordinating with other domestic agencies and 

government entities. 

Virtually all of the operating nuclear power plants 

in the United States have either received 20-year 

extensions of their operating licenses, submitted an 

application that is under review, or formally indicated 

their intent to apply for license extensions in the 

future. In making license renewal decisions, materials 

degradation is the primary consideration. The aim of 

the license renewal process is to evaluate how aging 

effects will be monitored, managed, and controlled 

such that safety is ensured during the renewal period. 

The NRC staff evaluates license renewal applications 

for nuclear reactors for the robustness, longevity, 

and continued performance of nuclear power plant 

components, such as electric cabling, piping, and 

containment structures.

Nuclear facility licensees are replacing analog 

instrumentation and control equipment with digital 

equipment because analog replacement parts are 

becoming more difficult to obtain. Digital systems 

also offer potentially better performance and features 

than analog systems. New reactors are anticipated 

to use advanced digital instrumentation and control 

systems and control room operator interfaces, 

presenting regulatory and licensing challenges for the 

agency and the nuclear industry. 

The NRC is reviewing applications to construct and 

operate a new generation of nuclear plants. The 

agency conducts thorough and timely reviews of 

these applications while also ensuring that adequate 

resources are available to support the operational 

safety of the current fleet of reactors. 

With the development of new reactor designs and 

other new facilities and technologies, the NRC is 

working closely with regulators in other countries 

interested in participating in the Multinational 

Design Evaluation Program, in which several nations 

jointly cooperate in sharing information regarding the 

review of new reactor designs. These next 

generation designs require detailed evaluation of their 

vulnerability to accidents, as well as development of 

inspections, tests, analyses, and acceptance criteria 

for their construction. First-of-a-kind construction, 

startup, and operation of several nuclear power 

plants designed in the United States will continue to 

occur in other countries. A significant percentage of 

the major components both for these initial plants and 

for plants that may eventually be built in the United 

States will be manufactured outside this country. 

In response, the NRC is actively engaged with its 

counterpart regulatory authorities in other countries 

in enhancing the sharing of relevant information, 

experience, and expertise. 

The Nation will require continued safe management 

of spent nuclear fuel and high-level waste. The NRC 

regulates various options for storage, transport, and 

disposal of spent nuclear fuel and high-level waste. 

To address potential future regulatory challenges 

associated with the development of a national 

strategy for the management of spent nuclear fuel and 

high-level waste, the staff has initiated an integrated 

review of the associated regulatory programs, 

including evaluation of extended storage of spent 

fuel and the potential development of a regulatory 

framework for recycling.

Cut-away View of Dry Spent Fuel Storage Container
strategic plan fiscal years 2008-2013 9

safety

Industry interest in fuel cycle facilities is expected to 

continue, and these projects will require NRC review. 

The agency is also reviewing applications for new 

uranium enrichment, deconversion, and uranium 

recovery facilities from corporations participating in 

the domestic and international uranium market to 

support the current and new generation of nuclear 

plants. Further, the NRC is reviewing a license 

application to operate a mixed-oxide fuel facility that 

would use plutonium salvaged from decommissioned 

nuclear weapons to fabricate fuel assemblies for use 

in nuclear power plants, thus reducing the existing 

quantities of materials that could otherwise be used 

for weapons. 

The NRC employs a multifaceted regulatory approach 

to meet the continuing challenge of ensuring that 

its licensees operate nuclear facilities and use 

radioactive materials safely. Additionally, close 

cooperation between the NRC and Federal, State, 

local, and Tribal governments will lead to even more 

effective regulation. Therefore, the NRC works with 

other Federal agencies, such as the Environmental 

Protection Agency, Occupational Safety and Health 

Administration, Food and Drug Administration, and 

U.S. Departments of State, Energy, Transportation, 

Justice, and Homeland Security, as well as State and 

local authorities and Tribal governments, to ensure 

appropriate coordination for the accomplishment 

of the NRC’s mission. States that have entered into 

agreements with the Commission carry out adequate 

and compatible programs for regulating nuclear 

materials within their borders.

The NRC maintains an infrastructure of data, tools, 

and methods that make it possible to independently 

evaluate and confirm the safety analyses presented 

by licensees. This infrastructure is also essential in 

providing a strong technical basis for rulemaking 

activities. As the state-of-the-art evolves and licensees 

employ increasingly advanced analytical techniques, 

the NRC updates the agency infrastructure to keep it 

on par with current developments. Furthermore, to 

deal with emergent challenges and novel technologies, 

the agency implements long-term research 

programs that prepare the staff for time-critical new 

applications. 

Nuclear safety is a global issue and a continuing 

challenge. The NRC closely cooperates with 

its counterpart foreign regulatory bodies and 

international organizations, such as the International 

Atomic Energy Agency (IAEA) and the Organisation 

for Economic Co-operation and Development’s 

Nuclear Energy Agency (NEA), to share information, 

best practices, and lessons learned from operating 

experience and to participate in the development of 

standards and guidance.

Safety Goal imple mentation 

Strategies

1. Develop, maintain, implement, and improve 

licensing and regulatory programs for existing 

and new reactors, fuel cycle facilities, materials 

users, transportation and management of spent 

fuel, uranium recovery, waste disposal, and 

decommissioning activities to ensure the adequate 

protection of public health and safety. 

2. Oversee the safe and secure operation of existing 

facilities and uses of nuclear material.

3. Oversee the construction of new power reactors. 

4. Conduct NRC safety and security programs and 

emergency preparedness in an integrated manner.

5. Implement focused research programs to 

anticipate and support resolution of safety issues 

and address new technologies. 

6. Use sound science and state-of-the-art methods 

to establish, where appropriate, risk-informed and 

performance-based regulations. 

7. Promote awareness of the importance of a strong 

safety culture and individual accountability of 

those engaged in regulated activities.
10 United States Nuclear Regulatory Commission

safety

8. Use domestic and international operating 

experience to inform decision-making. 

9. Oversee licensee safety performance through 

inspections, investigations, enforcement, and 

performance assessment activities. 

10. Respond to events at NRC-licensed facilities and 

other events of national and international interest, 

including maintaining and enhancing the NRC’s 

emergency incident response and communication 

capabilities. 

11. Respond to future national policy decisions 

regarding high-level nuclear waste and spent 

nuclear fuel management strategies recommended 

or adopted as the Nation’s policy, and assess issues 

associated with long-term storage of spent fuel 

and high-level waste.

programs tha t Supp ort Safety 

imple mentation Strategies

The NRC conducts a number of programs and 

initiatives to ensure adequate protection of public 

health and safety and the environment. The major 

components of NRC programs include licensing, 

inspection, assessment, enforcement, rulemaking, 

incident response and emergency preparedness, 

research, domestic and international information 

exchange, and cooperation with the Agreement 

States. To support these efforts the NRC will conduct 

activities such as the following:

n Review licensing requests (e.g., new applications, 

amendments, power uprates, renewals, 

decommissioning and license termination) to 

confirm that they provide an adequate margin 

of safety consistent with the agency’s rules and 

regulations. Conduct environmental reviews 

as appropriate to comply with the National 

Environmental Policy Act of 1969. [Supports Safety 

Implementation Strategies 1, 2, and 3] 

n Implement, review, and refine the Reactor 

Oversight Process, the principal program for 

overseeing nuclear power plant operation, to better 

identify significant performance issues and to 

ensure that licensees take appropriate actions to 

maintain acceptable safety performance. [Supports 

Safety Implementation Strategies 6 and 9] 

n Implement, review, and refine materials oversight, 

which mainly involves overseeing licensed users 

of radioactive material across the country, 

conducting inspections and investigations, 

monitoring the status of activities, and taking 

enforcement actions, when necessary, to ensure 

that radioactive materials are used safely. 

[Supports Safety Implementation Strategy 9]

n Maintain qualified inspectors at nuclear power 

reactor and certain fuel cycle sites (resident 

inspectors) in the NRC’s four regional offices and 

at the agency’s Headquarters. [Supports Safety 

Implementation Strategies 1, 7, and 9] 

n Maintain qualified license reviewers in the 

NRC’s four regional offices and the agency’s 

Headquarters. [Supports Safety Implementation 

Strategies 1, 4, 6, 7, 9, and 10]

n Complete licensing decisions related to combined 

construction permit and operating licenses (COLs) 

in an effective and efficient manner. [Supports 

Safety Implementation Strategy 1] 

n Apply lessons learned after completion of the initial 

COL reviews to enhance the effectiveness and 

efficiency of subsequent COL reviews. [Supports 

Safety Implementation Strategies 1 and 3]

n Maintain the readiness and capabilities of the NRC 

Headquarters Operations Center and regional 

response centers, which coordinate and monitor 

the agency’s response to incidents and reportable 

conditions and licensees’ actions to ensure safety 

at their facilities. [Supports Safety Implementation 

Strategies 4, 6, and 10] 
strategic plan fiscal years 2008-2013 11

safety

n Participate in emergency preparedness exercises 

that involve a wide array of Federal, State, local, 

and Tribal governments and emergency response 

personnel, and use cooperative intergovernmental 

relationships to balance national response 

capabilities. [Supports Safety Implementation 

Strategies 4, 7, and 10] 

n Monitor and resolve, based on sound science and 

engineering principles, generic issues on regulatory 

matters involving design, construction, operation, 

or decommissioning applicable to several, or a 

class of, NRC licensees, certificate holders, or other 

entities regulated by or subject to the regulatory 

jurisdiction of the NRC. [Supports Safety 

Implementation Strategies 2, 3, 4, and 5] 

n Establish and maintain stable and predictable 

regulatory programs and policies. [Supports Safety 

Implementation Strategies 1, 2, 3, and 7] 

n Maintain a safety framework of rules and guidance 

documents that promotes licensee compliance 

with underlying safety principles and is consistent 

with the Principles of Good Regulation. [Supports 

Safety Implementation Strategy 9]

n Conduct research programs to identify and 

support resolution of longstanding and emergent 

safety issues, and engage in long-term research 

to understand the safety of novel technologies. 

Maintain an infrastructure of data, tools, methods, 

and expertise to support the NRC’s independent 

decision-making process. [Supports Safety 

Implementation Strategies 1, 2, 3, 4, 5, and 6] 

n Complete an integrated evaluation of the NRC 

strategies to manage the safe and secure 

disposition of spent fuel. Apply risk insights 

from experience gained to date and the spent fuel 

dry storage probabilistic risk assessment in these 

reviews and inspections in a manner consistent 

with the application of these insights in reactor 

regulation. [Supports Safety Implementation 

Strategies 1, 4, and 11] 

n Conduct periodic reviews of Agreement State 

programs to ensure that they are adequate 

to protect public health and safety and the 

environment and that they are compatible with the 

NRC’s program. [Supports Safety Implementation 

Strategies 2, 4, and 7]

n Work closely with the Agreement States to develop 

consistent, risk-informed processes to review event 

information and identify safety issues for materials 

licensees. [Supports Safety Implementation 

Strategies 2, 4, and 7] 

n Address key issues affecting the safe management 

of civilian low-level radioactive waste storage and 

waste disposal. [Supports Safety Implementation 

Strategies 1 and 7] 

n Evaluate lessons learned from the nuclear accident 

that began with the events on March 11, 2011, at 

the Fukushima Dai-ichi nuclear facility in Japan 

that are applicable to nuclear reactor designs 

and facilities in the United States to improve 

NRC’s regulatory system programs. Advance 

regulatory programs to address the most risksignificant issues based on lessons learned derived 

from the Fukushima event. [Supports Safety 

Implementation Strategy 1]

n Evaluate domestic and international operating 

events and trends for risk significance and generic 

applicability. [Supports Safety Implementation 

Strategy 8] 

n Participate in the development of consensus codes 

and standards to ensure that they are soundly 

based. [Supports Safety Implementation Strategies 

1 and 8] 

n Work with international counterparts to exchange 

information, expertise, operating experiences, 

and ongoing research to recognize and respond 

to emerging technical issues and to promote best 

practices. Participate in the development and 

evaluation of international standards to ensure that 
12 United States Nuclear Regulatory Commission

safety

they have a sound basis and determine whether 

substantial safety improvements can be identified 

and incorporated domestically. [Supports Safety 

Implementation Strategies 5, 6, and 8] 

n Implement and refine, as necessary, an enforcement 

framework that is risk-informed, emphasizes 

the compliance with regulatory requirements, 

and encourages prompt identification and 

comprehensive correction of licensee violations. 

[Supports Safety Implementation Strategy 9]

n Ensure dissemination of the Safety Culture Policy 

Statement to all of the regulated community. 

[Supports Safety Implementation Strategy 7]

n Manage new reactor preapplication activities and 

the reviews of applications for design certification, 

early site permits, and combined licenses. 

[Supports Safety Implementation Strategies 1, 2, 

and 3] 

n Develop the regulatory and programmatic support 

for the review of small and modular reactor design 

certification and license applications. [Supports 

Safety Implementation Strategies 1, 3, and 5] 

n Maintain the necessary technical and 

programmatic support for new reactor licensing 

activities, guidance development, interaction with 

stakeholders on issues pertaining to new reactors, 

and issuance of design certifications and combined 

licenses. [Supports Safety Implementation 

Strategies 1, 2, and 3]

n Maintain, and implement the environmental and 

site safety regulatory infrastructure necessary 

to support the issuance of early site permits and 

combined licenses for new reactors. [Supports 

Safety Implementation Strategies 1, 2, and 3]

n Develop and implement construction inspection 

activities to support the regulation of reactors 

under construction. [Supports Safety 

Implementation Strategies 1, 2, and 3] 

n Develop the regulatory tools, analyses, and data 

needed to evaluate and respond to future waste 

management strategies adopted as the Nation’s 

policy, and assess issues associated with the 

extended storage and transportation of spent 

nuclear fuel for more than 60 years beyond the 

licensed life for operation of a nuclear power plant. 

[Supports Safety Implementation Strategy 11]

Looking Down at a Nuclear Reactor Core in the 

Reactor Vessel During Refueling Operations
strategic plan fiscal years 2008-2013 13

safety

Final

Disposal

Fresh

UO2

Spent UO2

Fuel

UO2 Fuel

Fuel Fabrication

Fresh MOX Fuel

Plutonium

Recycling

Ultimate Waste

Natural

Uranium

Recycled

Uranium

Enriched

Uranium

Depleted

Uranium

Mixed Oxide

(MOX) Fuel

Spent MOX

Fuel

Reactor

Storage 

and

Disposal

Uranium

Recovery

Enrichment

Conversion

Concentration

Figure 1

Sche matic of the Nuclea r fuel Cycle

The MOX fuel is a blend of Plutonium Dioxide and depleted Uranium Dioxide (UO2) that is used as fuel in commercial nuclear power plants.

Source: U.S. Nuclear Regulatory Commission

strategic plan fiscal years 2008-2013 15

security

SECUR ITY Goal

Ensure adequate protection in the secure use and 

management of radioactive materials.

Strategic Outcomes

n Prevent instances where licensed radioactive 

materials are used domestically in a manner hostile 

to the United States.

n Prevent unauthorized public disclosures of 

classified or Safeguards Information through 

quality measures. 

Discussi on

The NRC must remain vigilant of the security of 

nuclear facilities and materials. The agency achieves 

its goal to protect the common defense and security 

through licensing and oversight programs for new 

and existing reactors and other facilities and for users 

of nuclear material that are similar to those programs 

employed in achieving its safety goal. The aim is 

to allow licensees to realize the benefits of nuclear 

materials through their secure use while placing only 

necessary regulatory requirements on those licensees.

Ensuring regulatory stability and predictability in 

the security environment is a continuous challenge 

for the NRC. The nature of the threat is evolving, 

requiring the constant sharing of information, but 

the agency faces challenges with sharing sensitive and 

classified information, where appropriate. To address 

this, the NRC continues to reexamine and upgrade 

its infrastructure for protecting and sharing classified 

and safeguards information, and for sharing sensitive 

information, as appropriate, with licensees, members 

of the public, and other Federal, State, local, and 

Tribal governments and international stakeholders.

The NRC also has completed the process of 

identifying potential vulnerabilities at licensed 

nuclear fuel cycle facilities and nuclear power plants 

and has developed strategies to mitigate those 

vulnerabilities. The agency is now working with 

licensees to implement those strategies. The 

design-basis threat for radiological sabotage, theft and 

diversion is used to establish the level of threat that 

nuclear power plants and certain fuel cycle facilities 

must realistically be expected to defend against with 

high assurance.

Another activity is determining how best to 

implement the authorities granted to the NRC in the 

Energy Policy Act of 2005 for enhancing the security 

of nuclear facilities and radioactive material through 

rulemaking. The NRC conducted rulemakings and 

other actions to enhance security, as well as other 

actions recommended by the multiagency Task 

Force on Radiation Source Protection and Security, 

which was established by this Act. In August 2010, 

the task force issued its second report containing 

recommendations for improving the security of 

radioactive sources, as well as reporting on the 

progress made since the last report, published in 

August 2006. The task force will publish these reports 

no less than every four years.

The NRC’s national registry of radioactive sources, 

the National Source Tracking System, is used to 

maintain an inventory of risk-significant sources. 

Commercial users of risk-significant radioactive 

sources in the United States report their source 

inventories and transactions in accordance with 

the NRC’s reporting requirements. This system 

helps ensure that the information regarding 

radioactive materials used by licensees are stored and 

maintained securely.

The NRC plays a role in international activities related 

to the security of radioactive materials and facilities, 

including (1) contributing to the formulation of 

foreign policy guidance, (2) providing international 

assistance in nuclear security, material control and 

accounting, and safeguards, (3) reviewing applications 
16 United States Nuclear Regulatory Commission

security

and issuing import and export licenses for nuclear 

materials and equipment, and (4) cooperating with 

IAEA on nuclear safeguards, nonproliferation, and 

international regulatory standards. 

Security Goal imple mentation 

Strategies

1. Conduct oversight of licensee security 

performance. 

2. Use relevant intelligence information and security 

assessments to maintain realistic and effective 

security requirements and mitigation measures. 

3. Share security information with appropriate 

stakeholders and international partners. 

4. Control the handling and storage of sensitive 

security information and the communication of 

information to licensees and Federal, State, local 

and Tribal governments. 

5. Support Federal response plans that employ an 

approach to the security of nuclear facilities and 

radioactive material that integrates the efforts 

of licensees and Federal, State, local, and Tribal 

governments. 

6. Use risk-informed approaches to inform 

regulatory controls for security. 

7. Maintain the programs for controlling the 

security of radioactive sources and strategic 

special nuclear material commensurate with their 

risk, including actions required by the Energy 

Policy Act of 2005.

8. Promote U.S. national security interests and 

nuclear nonproliferation policy objectives for 

NRC-licensed imports and exports of byproduct 

source and special nuclear materials and nuclear 

equipment. 

9. Manage the risk to information and systems to 

ensure the integrity of cyber security at regulated 

facilities.

10. Prevent instances of significant unauthorized 

public disclosures of classified or Safeguards 

Information.

programs tha t Supp ort Security 

imple mentation Strategies

To maintain the secure use and management of 

radioactive materials, the NRC conducts a number of 

programs and initiatives. The major components of 

NRC programs include licensing, oversight, rulemaking, 

incident response and emergency preparedness, research, 

domestic and international information exchange, and 

cooperation with the Agreement States. The NRC will 

conduct activities such as the following during this 

strategic planning period:

n Assess the threat environment to maintain 

an adequate regulatory framework through 

cooperation and liaison with the intelligence and 

law enforcement communities and international 

partners. [Supports Security Implementation 

Strategies 2, 4, 5, 6, and 8] 

n Conduct inspections to assess licensees’ security 

performance. Conduct follow-up reviews, 

inspections, investigations, and enforcement, as 

needed, when security problems are identified. 

[Supports Security Implementation Strategies 1, 3, 

and 6] 

n Conduct security performance evaluations at each 

applicable nuclear facility to assess each licensee’s 

protective strategy capabilities and to evaluate 

support functions provided by Federal, State, and 

local law enforcement. On a 3-year cycle, the 

agency conducts a force-on-force inspection at 

each operating power reactor and Category 1 

facility. [Supports Security Implementation 

Strategies 1, 2, 4, and 5] 

n Conduct security assessments and determine the 

consequences of a range of threats against existing 

safety, safeguards, and security requirements. Share 

the agency’s results with Federal partners to support 

an integrated national posture for the protection 
strategic plan fiscal years 2008-2013 17

security

of the Nation’s critical infrastructure. [Supports 

Security Implementation Strategies 2, 4, and 5] 

n Work with the National Security Council, the 

U.S. Department of Homeland Security, and 

the intelligence community to define, develop, 

and implement integrated security response 

plans and the National Response Framework, 

which incorporates Federal, State, local, and 

Tribal government assets. [Supports Security 

Implementation Strategies 4, 5, and 8] 

n Work with Agreement States on security measures 

related to facilities and activities they regulate. 

[Supports Security Implementation Strategies 

4 and 5] 

n Use the National Source Tracking System, a 

national registry of radioactive sources, to 

inventory risk-significant radioactive sources in 

the United States. Integrate the system with Webbased licensing and the License Verification System 

into an integrated source management system that 

will include information on NRC and Agreement 

State licensees that have risk-significant sources. 

Ensure that the controls on high-risk radioactive 

materials, required by the Energy Policy Act of 

2005 and recommended by the Task Force on 

Radiation Source Protection and Security, continue 

to prevent their harmful use. [Supports Security 

Implementation Strategies 2, 4, 6, and 7] 

n Support and participate in international security 

activities, including IAEA nonproliferation 

initiatives and bilateral physical security initiatives 

undertaken with countries that receive special 

nuclear material and equipment from the United 

States. [Supports Security Implementation 

Strategies 3, 7, and 8]

n Support U.S. government goals to secure nuclear 

materials internationally through bilateral 

agreements to support material control and 

accounting programs. [Supports Security 

Implementation Strategies 3, 7, and 8]

n Identify and obtain access to threat and security 

information maintained by other Federal agencies 

to ensure that the NRC, Agreement States, and 

licensees maintain a current awareness of potential 

threats to licensed facilities and activities. [Supports 

Security Implementation Strategies 2, 4, 9, and 10] 

n Identify and develop key information technology 

investments, including secure electronic document 

and records management capabilities that will 

enhance the storage, handling, and communication 

of sensitive security information both within 

and outside the agency. [Supports Security 

Implementation Strategies 4 and 10] 

n Engage stakeholders and other Federal partners in 

ensuring a consistent process for the evaluation and 

resolution of issues with potential implications for 

cyber security. [Supports Security Implementation 

Strategy 9] 

n Develop policies and procedures relating to the 

conduct of cyber security program evaluations 

for digital instrumentation and control systems. 

[Supports Security Implementation Strategy 9] 

n Provide training to the NRC staff that ensures the 

NRC’s ability to store, handle, and communicate 

sensitive security-related information, Safeguards 

Information and classified information, and 

to implement national directives to enhance 

consistency. [Supports Security Implementation 

Strategy 10] 

NRC Operations Center

strategic plan fiscal years 2008-2013 19

organizational excellence

This section discusses three key strategies that the 

NRC uses in carrying out its mission: openness, 

effectiveness, and operational excellence. These 

strategies will help the agency execute its programs 

and achieve its objectives efficiently and costeffectively.

ope nNess strategy

The NRC increases openness by conducting its 

business in a transparent manner, enabling 

stakeholder participation. 

Discussi on 

As an independent regulatory agency, the NRC 

conducts its regulatory activities as openly as possible 

with meaningful stakeholder involvement. Over the 

next several years, the NRC anticipates continuing 

and, in some cases, increasing activity across its 

range of regulatory responsibilities for nuclear 

power generation, use of nuclear materials, and 

management of radioactive waste. Ensuring openness 

in these activities will be essential to the agency’s 

continuing success. The NRC’s openness strategies 

take advantage of social media and other Webbased technologies, as appropriate, which offer the 

opportunity to build on the agency’s strong history of 

openness. 

Openness includes three main elements: 

n Transparency: Transparency promotes 

accountability by providing the public with 

information about the NRC’s activities. 

More specifically, this means that public 

stakeholders must have timely access to clear and 

understandable information about the NRC’s role, 

processes, activities, and decision-making. 

n Participation: Participation allows members of 

the public to contribute ideas and expertise so 

that the NRC can make regulatory decisions with 

the benefit of information from a wide range of 

stakeholders. These stakeholders must have a 

reasonable opportunity to participate meaningfully 

in the NRC’s regulatory processes. 

n Collaboration: Collaboration improves the 

effectiveness of government by encouraging 

partnerships and cooperation within the Federal 

Government, with State, local, and Tribal 

governments, and with international regulatory 

authorities.

Transparency

1. Enable stakeholders to more readily obtain the 

NRC information they need.

n Continued enhancements to the NRC’s public 

Website and Agencywide Documents Access 

and Management System.

2. Increase public access to data that are collected or 

generated in the course of NRC activities and that 

are of significant interest to the public.

n Stakeholder consultation, publication at the NRC’s 

public Website and elsewhere as appropriate

3. Provide clear, accurate, and timely information 

to members of the public about the NRC’s 

independent role, policies, decisions, programs, 

and activities and to enable them to participate in 

agency regulatory and decision-making processes.

n Content on the NRC public Website and other 

media, conducting public meetings, public 

outreach, plain language efforts.

4. Enhance public awareness about the uses of, and 

risks associated with, radioactive materials. 

n Independent risk studies, content on the NRC 

public Website and other media, public 

meetings.

Participation

1. Ensure opportunities for timely, inclusive, and 

meaningful stakeholder engagement in NRC 

decision-making. 
20 United States Nuclear Regulatory Commission

organizational excellence

n Early communication with stakeholders on 

issues of substantial interest, use of social 

media for public discussions, Web-conferencing, 

training staff on best practices for public 

meetings.

Collaboration 

1. Increase opportunities to collaborate with other 

Federal, State, local, and Tribal governments and 

international agencies that have a role in nuclear 

safety and security.

n Web-conferencing, use of collaboration tools to 

work with stakeholders in the government 

regulatory community.

Effectiveness strategy

NRC actions are of high-quality, efficient, timely, and 

realistic to better ensure the safe and beneficial uses of 

radioactive materials. 

Discussi on 

The concept of effectiveness applies to all levels of 

the agency, from individual actions to programs and 

agency-wide activities and operations. To maintain 

and enhance regulatory effectiveness, the NRC 

must respond to the changing national and global 

nuclear environment. These changes may include an 

increase in licensing activities and the NRC’s potential 

oversight of additional facilities, and the continued 

evolution of nuclear technologies that the agency may 

be called upon to license and regulate. In addition, 

the NRC may need to collaborate more extensively 

with the global nuclear community. 

To address these challenges, the NRC follows three 

strategies for effectiveness:

n Regulatory processes: This covers how well 

the agency performs its rulemaking, licensing, 

oversight, enforcement, and research activities.

n Collaboration with Federal agencies and State 

and local agencies and engagement with Tribal 

governments: This covers the effectiveness of 

the agency’s interactions with its U.S. nuclear 

regulatory partners at all levels of government.

n Collaboration with international regulatory and 

safety organizations: This covers the effectiveness 

of the NRC’s relationships with the global nuclear 

safety community.

Processes

1. Enhance the effectiveness and realism of NRC 

actions.

n Expand use of risk-informed and 

performance-based insights in NRC decision 

making; use state-of-the-art technologies to 

inform regulatory decisions.

2. Anticipate challenges and promptly evaluate and 

respond to changes in the regulatory and technical 

environments. 

n Maintain a comprehensive set of codes to be 

able to independently verify safety margins, 

engage in long-term research to address novel 

technologies, remain cognizant of external 

experimental facilities and analytical resources 

to respond to emergent safety issues.

3. Improve efficiency in carrying out regulatory 

activities that enable the safe and secure use of 

nuclear material without compromising safety or 

security. 

n Conduct program evaluations; reduce lag-time

between completion of the evaluations and the 

implementation of lessons learned.

4. Provide clear and timely guidance to applicants 

and licensees to foster the submittal of 

high-quality, timely applications and license 

amendment requests.

n Use plain language, proactively review 

regulations and guidance to clarify their 

applicability to new designs and technologies, 
strategic plan fiscal years 2008-2013 21

organizational excellence

keep regulatory guidance up to date, and 

continue to use regulatory issue summaries 

and generic letters to provide timely guidance 

to licensees.

Collaboration with Federal and State Agencies 

and Engagement with Tribal Governments

1. Ensure adequate and compatible Agreement State 

programs that are adaptable to different experience 

levels of its participants.

n Continue to provide training for the regulatory 

staff of Agreement States, leverage the unique 

capabilities of the NRC and State agencies with 

a focus on planning and coordination of key 

initiatives. 

2. Increase collaboration with Federal and State 

agencies and engagement with Tribal Governments 

to gain insights and effectively resolve issues 

and better enable the safe and beneficial use of 

radioactive materials nationwide. 

n In lieu of pursuing new legislation, use 

mechanisms such as memoranda of 

understanding to more expeditiously reduce 

regulatory or jurisdictional overlap or gaps. 

Collaboration with International Regulatory 

and Safety Organizations

1. Collaborate with international regulatory and 

safety organizations to promote global nuclear 

safety and security. 

n Participate in multinational meetings at IAEA

and NEA to develop international standards

and assist other countries, participate in 

bilateral and multilateral meetings to assist 

and cooperate with other countries to promote 

global nuclear safety and security, and 

participate actively in IAEA’s Integrated 

Regulatory Review Service to review member 

state safety regulations.

ope rational excelle nce strategy

NRC operations use effective business methods and 

solutions to achieve excellence in accomplishing the 

agency’s mission.

Discussi on

A number of factors will influence or provide 

opportunities for improving the way the 

NRC operates. Increasing public demand for 

accountability and results will drive an increased 

focus on performance management at all levels of 

the organization. The NRC will reduce its business 

support costs over the period of this Strategic Plan by 

optimizing, centralizing and standardizing processes 

in the areas of human resource management, financial 

management, contract management, and information 

technology. 

The NRC’s organizational culture is another key 

element of operational excellence. The NRC has 

increased its focus on safety culture in the regulated 

community. The agency intends to focus on the same 

underlying tenets that it has communicated externally 

by continuously improving its own safety culture to 

ensure that the agency’s mission is at the forefront of 

all work activities. 

In the area of staffing and retention, the projected 

growth in nuclear power, together with the impending 

retirement of many skilled nuclear professionals 

both at the NRC and in industry, will make it 

more important for the NRC to attract and retain a 

high-quality regulatory workforce and to use 

knowledge management to preserve and transfer 

knowledge essential for accomplishing the 

NRC’s mission.

During the period of this Strategic Plan, the agency 

will address the resultant inefficiencies that resulted 

from the agency’s significant growth over the last 

10 years. Part of this will include a Headquarters 

reconsolidation and the construction of a third 

building at its White Flint Complex. 
22 United States Nuclear Regulatory Commission

organizational excellence

The NRC is moving towards a 21st Century 

acquisition program that will transform the way 

the agency conducts its acquisition program from a 

tactical, transaction-based procurement function to 

a more integrated, disciplined, strategically planned 

process. The anticipated approach will consider 

broader agency programmatic requirements with a 

more integrated and informed planning approach 

that will leverage agency resources, programmatic 

requirements, and contract dollars. With this 

approach, the NRC plans to align the acquisition 

process more closely with the budget cycle, better 

use agency resources, and better protect the agency’s 

procurement investments. 

In addition, social media, cloud computing, 

collaboration tools, and other Web technologies will 

continue to evolve, offering potential opportunities 

for improving and streamlining agency operations 

and mission support.

Safety Culture

1. Promote an organizational culture with a strong 

emphasis on safety and an open, collaborative work 

environment where individuals are comfortable 

speaking up and sharing concerns and differing 

views without fear of negative consequences. 

n Provide training as needed and strengthen 

communication to support an organizational 

culture with a strong emphasis on safety and 

an open, collaborative work environment, 

conduct assessment and evaluation activities 

to identify areas for continuous improvement, 

and coordinate with the agency’s outwardly 

focused safety culture activities (see Safety 

Implementation Strategy 7).

Performance Management

1. Strengthen accountability for setting and achieving 

individual and organizational performance 

expectations and for providing timely and 

comprehensive feedback.

n Strengthen linkages between the NRC Strategic 

Plan, budget, operating plans, and individual 

performance plans and use effective measures 

and feedback at all levels.

Human Resources Management1 

1. Attract, develop, and retain a high-performing, 

diverse, and engaged workforce.

n Use formal development programs and 

succession planning to create a cadre of diverse 

leaders at all levels who are prepared to meet the 

agency’s future challenges; apply organizational 

development principles to monitor and foster 

employee engagement; expand communications 

on the NRC benefits program, work schedule, 

and telework flexibilities to promote 

work/life balance; streamline the hiring process 

and expand the use of NRC human capital 

strategies to hire the best talent with the critical 

competencies that are needed to achieve the 

agency’s mission requirements.

2. Foster a work environment that is free from 

discrimination and provides maximum 

opportunities for all employees to use their talents 

in a way that advances the agency’s mission.

n Conduct activities to implement the 

NRC’s Comprehensive Diversity Management 

Plan; based on demographic data, conduct a 

gap analysis to determine additional focus 

areas to support the plan’s objectives; monitor 

agency progress to help foster a work 

environment that is inclusive and free from 

discrimination; conduct diversity management 

information, communication, and team 

building sessions.

3. Sustain a learning environment that provides 

continuing improvement in performance through 

1 For additional information, see the NRC’s Strategic Human 

Capital Plan located on the NRC Website http://www.nrc.gov
strategic plan fiscal years 2008-2013 23

organizational excellence

knowledge management, performance feedback, 

training, coaching, and mentoring.

n Advance the agency’s ability to identify, capture, 

retain, and share critical knowledge possessed 

within its staff; expand the use of current 

technology to enhance employee learning to 

address future challenges.

Information Management and Information 

Technology2

1. Manage information and employ technology to 

enhance information access and strengthen agency 

performance. 

n Carry out a modernization program to 

streamline key business processes, reduce the

number of legacy systems, standardize the 

application infrastructure, improve mobile and 

remote access, and complete work enabling 

secure information technology systems 

access through the use of the Government-wide 

personal identity verification cards; enhance the 

information management program to ensure 

that information is available in a complete and 

timely manner and improve search capabilities. 

Financial Management and Procurement

1. Improve the efficiency of financial systems and 

processes and the usefulness of the resultant 

financial information for management decisionmaking. 

n Integrate and standardize financial and

acquisition systems and processes to provide 

more useful data to decision-makers.

2. Procure goods and services to achieve the best 

value for the NRC in a timely manner. 

n Leverage agency resources and align the 

acquisition process more closely with the 

budget process to achieve a more integrated, 

disciplined, and strategically planned process 

and make better use of agency resources.

Administrative Services

1. Deliver high-quality and efficient facility and 

administrative services and provide a safe, secure, 

and environmentally conscious workplace. 

n Complete the agency’s construction and space 

planning activities to reconsolidate 

Headquarters staff in a single geographic 

location, implement and continually assess 

physical and personnel security controls to 

ensure occupant safety in the workplace; 

maximize the benefits of conservation, waste 

prevention, emission reduction, recycling, 

and the purchase of environmentally preferable 

products; ensure that resources are invested 

wisely and services and operations remain 

effective in a changing climate.

2 For additional information, see the NRC Information 

Technology/Information Management Strategic Plan 

located on the NRC Website http://www.nrc.gov

strategic plan fiscal years 2008-2013 25

appendix a

Key External Factors

The ability of the U.S. Nuclear Regulatory 

Commission (NRC) to achieve its goals depends on 

a changing mix of industry operating experience, 

national priorities, legislation, market forces, and 

resource availability. The NRC will continue to 

refine and implement processes for managing 

change to ensure that the agency is ready to address 

shifting priorities in a timely manner. This appendix 

discusses significant external factors that, although 

beyond the control of the NRC, could still affect the 

agency’s ability to achieve its strategic goals.

Significant Operating Incident (Domestic or 

International)

A significant incident at a nuclear facility could 

cause the agency to reassess its safety and security 

requirements, which could change the agency’s 

focus on some initiatives related to its goals until the 

situation stabilizes. Because the NRC’s stakeholders 

(including the public) are highly sensitive to many 

issues regarding the use of radioactive materials, 

even events of relatively minor safety or security 

significance could potentially require a response that 

consumes considerable agency resources.

Significant Terrorist Incident

A significant terrorist incident anywhere in the 

United States would heighten the NRC’s oversight 

and response stance. Subsequent new or changed 

security requirements or other policy decisions might 

affect the NRC, its partners, and the industry it 

regulates. A significant terrorist incident at a nuclear 

facility or activity anywhere in the world that departs 

from the agency’s evaluation of threat parameters 

could result in impacts to the NRC’s priorities and 

potentially to U.S. policy for export activities, the 

NRC’s role in international security, and requirements 

for security at U.S. nuclear power plants and other 

licensee facilities. 

Emergency Preparedness and Incident Response

Emergency preparedness and incident response 

activities with Federal, State, and local agencies and 

Tribal governments continue to increase in scope 

and number. This affects the NRC’s priorities and 

workloads.

Legislative Initiatives

Legislative initiatives under consideration by 

Congress can have a major impact on the NRC. 

For example, initiatives concerning cybersecurity 

may have potential impacts on the NRC’s regulatory 

framework.

International Nuclear Safety Developments

The international community, often through the 

International Atomic Energy Agency (IAEA), changes 

and updates international standards that could affect 

the NRC. For instance, the IAEA could develop new 

standards or change current standards, and the NRC 

would then need to address stakeholder calls (both 

domestically and internationally) to implement the 

new standards for U.S. licensees. The NRC will 

need to actively engage with the international 

community, including the IAEA, multilaterally, 

and bilaterally. 

International Treaties and Conventions

The ratification of international instruments on 

safety and security in the sector of nuclear materials 

and facilities imposes binding provisions on the 

Nation and the corresponding governmental agencies, 

such as the NRC and the DOE. These obligations 

and the resources necessary to ensure compliance 

with them compete with all the other programs and 

activities that are within the role and responsibility of 

the NRC as the national regulatory body.
26 United States Nuclear Regulatory Commission

appendix a

National Strategy on Nuclear Waste

The development of a potential national strategy for 

the management of high-level waste and spent nuclear 

fuel will continue to present challenges in setting 

the strategic direction of the agency’s spent fuel and 

high-level waste management programs. The nation 

will need to consider the recommendations of the 

President’s Blue Ribbon Commission on America’s 

Nuclear Future, released in January 2012, in setting 

the direction of associated agency programs related 

to nuclear waste storage, transport, disposal, and 

reprocessing. 

River Bend*

ESBWR - 1 Unit Grand Gulf*

ESBWR - 1 Unit

Fermi

ESBWR - 1 Unit

Callaway*

EPR - 1 Unit

Nine Mile Point*

EPR - 1 Unit

Bell Bend

EPR - 1 Unit

PSEG - 2 Units

Calvert Clis

EPR - 1 Unit

North Anna

USAPWR - 1 Unit

South Texas

ABWR - 2 Units

ABWR

V.C. Summer

AP1000 - 2 Units

Levy County

AP1000 - 2 Units Vogtle

AP1000 - 2 Units

Bellefonte*

AP1000 - 2 Units

Harris

AP1000 - 2 Units

William Lee

AP1000 - 2 Units

Turkey Point

AP1000 - 2 Units

Comanche Peak

USAPWR - 2 Units

Victoria County**

2 Units

*Review Suspended by Applicant

** COL Application Amended by Applicant to ESP on 03/25/2010

AP1000 EPR ESBWR USAPWR Design/Units - TBA ESP

Figure 2

project locations of new nuclea r power units
strategic plan fiscal years 2008-2013 27

appendix B

Pla nned Program Eval uations

The NRC uses program evaluations to determine 

if agency programs are effective and efficient. The 

programs selected for evaluation represent key areas 

related to the agency’s mission. 

Operator Licensing Program 

Expected Completion Date: Annually.

Objective: The annual evaluation of the Operator 

Licensing Program ensures that the program 

is effective and consistently implements the 

requirements in Title 10 of the Code of Federal 

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

the guidance in NUREG–1021, “Operator Licensing 

Examination Standards for Power Reactors,” Revision 

9, issued July 2004; and other policy documents. 

Scope: The annual evaluation of the Operator 

Licensing Program involves audits of one or two 

written examinations and operating tests in each 

U.S. Nuclear Regulatory Commission (NRC) Region 

to ensure consistent quality, level of difficulty, 

administration, and grading. The evaluation also 

includes a detailed review of the operator licensing 

function in two regional offices each year, with each 

NRC Region performing a similar self-assessment 

during the alternate years. The detailed reviews assess 

seven functional areas: administrative requirements, 

written examinations, operating tests, requalification 

program oversight, regional operations, licensing 

assistant activities, and resource utilization.

Reactor Oversight Program

Expected Completion Date: Annually.

Objective: The annual Reactor Oversight Program 

evaluation has two objectives: (1) to determine 

whether the ongoing program is effective in 

supporting the achievement of the performance goals 

and the agency’s strategic goals and (2) to provide 

timely, objective information to inform program 

planning and improvements.

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

efficiency of the agency’s baseline inspection program, 

(2) the effectiveness of the significance determination 

process, (3) the usefulness of current performance 

indicators for enhancing agency planning and 

response, and (4) the effectiveness of the assessment 

program to prescribe appropriate regulatory oversight 

to those plants with performance deficiencies. 

Integrated Materials Performance Evaluation 

Program Reviews of NRC Regional Offices and 

Agreement States

Expected Completion Date: At least every 4 years.

Objective: Each program evaluation will determine 

whether the regional offices and Agreement States are 

conducting programs that meet the objectives set out 

in Management Directive 5.6, “Integrated Materials 

Performance Evaluation Program (IMPEP),” dated 

February 26, 2004. 

Scope: The evaluations include the common 

performance criteria (technical staffing and training, 

status of the Materials Inspection Program, technical 

quality of inspections, technical quality of licensing 

actions, technical quality of incidents and allegations) 

and the appropriate noncommon criteria for the 

specific Agreement States and NRC regional office 

activities and responsibilities. The evaluations are 

conducted in accordance with Management 

Directive 5.6 and the associated implementing 

procedures. The agency finalizes the findings 

and report after evaluation by the Management 

Review Board. The staff factors any 

recommendations or good practices into future 

reviews of materials programs. 
28 United States Nuclear Regulatory Commission

appendix b

Corporate Support

Expected Completion Date: Annually.

Objective: Each program evaluation will 

determine whether the corporate support services 

(e.g., administrative services, human capital 

management, financial management (including 

contract management), and information technology 

and information management) are being delivered 

consistent with the overall goals and whether 

internal and external customer needs and 

requirements are met. 

Scope: The annual questionnaire, survey, or 

checklist will determine: (1) whether the program 

area delivers the promised results, (2) the level of 

customer satisfaction, and (3) program strengths 

and weaknesses. 
strategic plan fiscal years 2008-2013 29

appendix c

Glossa ry

Agreement State: A State that has signed an 

agreement with the U.S. Nuclear Regulatory 

Commission (NRC) providing for the State to regulate 

the use of certain radioactive materials within its 

borders and discontinuing Federal authority in that 

State. The agreements do not apply to the regulation 

of operating commercial nuclear reactors.

Byproduct Material: Any radioactive material 

(except special nuclear material) yielded in, or made 

radioactive by, exposure to the radiation incident 

to the process of producing or using special nuclear 

material.

Category 1 Facility: A fuel cycle facility that 

possess more than 5,000 grams (about 11 pounds) 

of uranium-235 or more than 2,000 grams (about 

4.5 pounds) of plutonium.

Defense-in-Depth: An element of the NRC’s safety 

philosophy that employs successive compensatory 

measures to prevent accidents or lessen the effects 

of damage if a malfunction or accident occurs at 

a nuclear facility. The NRC’s safety philosophy 

ensures that the public is adequately protected and 

that emergency plans surrounding a nuclear facility 

are well conceived and will work. Moreover, the 

philosophy ensures that safety will not be wholly 

dependent on any single element of the design, 

construction, maintenance, or operation of a 

nuclear facility.

Design-Basis Threat: A profile of the type, 

composition, and capabilities of an adversary. The 

NRC and its licensees use the design-basis threat as 

a basis for designing safeguards systems to protect 

against acts of radiological sabotage and to prevent 

the theft of special nuclear material. 

Diversity Management: A practice with the goal 

to enable all employees to reach their full potential 

in pursuit of the organization’s mission. This 

includes fostering an environment where diversity is 

commonplace and enhances execution of the 

agency’s objectives. 

Effectiveness: The ability to achieve the intended 

outcome(s) of an activity, program, or process. A 

program cannot be considered effective if it is not 

meeting its objectives and achieving the intended 

outcome(s).

Efficiency: The ability to act with a minimum of 

waste, expense, or unnecessary effort. Efficiency 

embodies a combination of productivity, cost, 

timeliness, and quality. 

High-Level Waste: The highly radioactive materials 

that are produced as byproducts of the reactions that 

occur inside nuclear reactors. Such wastes take one of 

two forms, becoming either spent (used) reactor fuel 

when it is accepted for disposal or waste materials that 

remain after spent fuel is reprocessed. 

In Situ Uranium Recovery: One of the two primary 

recovery methods that are currently used to extract 

uranium from ore bodies where they are normally 

found underground, without physical excavation. 

This method is also known as “solution mining” or 

“in situ leaching.”

Low-Level Waste: Items that have become 

contaminated with radioactive material or have 

become radioactive through exposure to neutron 

radiation. This waste typically consists of 

contaminated protective shoe covers and clothing, 

wiping rags, mops, filters, reactor water treatment 

residues, equipment and tools, luminous dials, 

medical swabs, injection needles, and syringes. 

The radioactivity can range from just above the 

background levels found in nature to very high levels 

(such as parts from inside the reactor vessel in a 

nuclear power plant).

Performance-Based: An approach to regulatory 

practice that establishes performance and results as 

the primary bases for decision-making. Performancebased regulations have the following attributes: 
30 United States Nuclear Regulatory Commission

appendix c

(1) measurable, calculable, or objectively observable 

parameters exist or can be developed to monitor 

performance, (2) objective criteria exist or can be 

developed to assess performance, (3) licensees have 

flexibility to determine how to meet the established 

performance criteria in ways that will encourage and 

reward improved outcomes, and (4) a framework 

exists or can be developed in which the failure to meet 

a performance criterion, while undesirable, will not 

in and of itself constitute or result in an immediate 

safety concern.

Regulatory Framework: Involves several interrelated 

aspects, such as (1) the NRC’s mandate from 

Congress in the form of enabling legislation, (2) the 

NRC’s licenses, orders, and regulations in Title 10 

of the Code of Federal Regulations, (3) regulatory 

guides, review plans, and other documents that clarify 

and guide the application of NRC requirements and 

amplify agency regulations, (4) the licensing and 

inspection procedures used by NRC employees, and 

(5) the enforcement guidance.

Risk Assessment: A systematic method for 

addressing the following three questions as they relate 

to the performance of a particular system, including 

the human component: (1) What can go wrong? 

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

Risk-Informed: An approach to decision-making in 

which risk insights are considered along with other 

factors such as engineering judgment, safety limits, 

and redundant and/or diverse safety systems. Such an 

approach is used to establish requirements that better 

focus licensee and regulatory attention on design 

and operational issues commensurate with their 

importance to public health and safety. 

Risk Insights: Refers to the results and findings 

that come from risk assessments and may include 

improved understanding of the likelihood of 

possible outcomes, sensitivity of the results to key 

assumptions, relative importance of the various 

system components and their potential interactions, 

and the areas and magnitude of the uncertainties.

Safety Culture: The core values and behaviors 

resulting from a collective commitment by leaders and 

individuals to emphasize safety over competing goals 

to ensure protection of people and the environment.

Source Material: (1) Uranium or thorium, or any 

combination thereof, in any physical or chemical form 

or (2) ores that contain by weight one-twentieth of one 

percent (0.05%) or more of: (i) uranium, (ii) thorium 

or (iii) any combination thereof.

Special Nuclear Material: Means (1) plutonium, 

uranium-233, uranium enriched in the isotope 233 

or in the isotope 235, and any other material that the 

Commission, pursuant to the provisions of 

Section 51 of the Atomic Energy Act of 1954, determines 

to be special nuclear material but does not include 

source material or (2) any material artificially enriched 

by any of the foregoing but does not include source 

material. 

Spent Fuel: Fuel that has been withdrawn from a 

nuclear reactor following irradiation and that has 

not been chemically separated into its constituent 

elements by reprocessing. 

Stakeholders: Members of the public; Federal, 

State, and local agencies; and license applicants and 

licensees with a specific interest in a given topic. 

Standards: Technical requirements and 

recommended practices for performance of any 

device, apparatus, system, or phenomenon associated 

with a specific field. 

Waste Incidental to Reprocessing: Radioactive 

material, resulting from the reprocessing of spent 

nuclear fuel, which the DOE has distinguished from 

high-level waste, as provided under the Ronald W. 

Reagan National Defense Authorization Act for Fiscal 

Year 2005.
strategic plan fiscal years 2008-2013 31

Bibliographic data sheet

NRC FORM 335 

(9-2004) 

NRCMD 3.7

1. REPORT NUMBER (Assigned by NRC, Add Vol., Supp., Rev., 

and Addendum Numbers, if any.)

2. TITLE AND SUBTITLE 3. DATE REPORT PUBLISHED

MONTH YEAR

4. FIN OR GRANT NUMBER

5. AUTHOR(S) 6. TYPE OF REPORT

7. PERIOD COVERED

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

 provide name and mailing address)

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

 and mailing address)

10. SUPPLEMENTARY NOTES

11. ABSTRACT (200 words or less)

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

14. SECURITY CLASSIFICATION

(This Page) 

(This Report) 

15. NUMBER OF PAGES 

16. PRICE 

BIBLIOGRAPHIC DATA SHEET

(See instructions on the reverse)

02

N/A

Triennial

Fiscal Years 2008 -2013

Unlimited

NUREG—1614, Vol. 5

U.S. Nuclear Regulatory Commission

Strategic Plan

Fiscal Years 2008—2013

Strategic Plan

Fiscal Years 2008—2013

Mission

Goals

Outcomes

The Fiscal Years 2008—2013 Strategic Plan describes the NRC's mission and establishes the Commission's 

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

David Holley, et. al

Same as 8, above

NRC FORM 335 (12-2010)

2012

Division of Planning and Budget

Office of the Chief Financial Officer

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001
32 United States Nuclear Regulatory Commission

availability of Reference m aterials in nrc publications

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As of November 1999, you may electronically access 

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NRC Library at http://www.nrc.gov/reading-rm.html.

Publicly released records include, to name a few, NUREGseries publications; Federal Register notices; applicant, 

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attachments.

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may also be purchased from one of these two sources.

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U.S. Government Printing Office

Mail Stop SSOP

Washington, DC 20402-0001

Internet: bookstore.gpo.gov

Telephone: 202-512-1800

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2. The National Technical Information Service

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A single copy of each NRC draft report for comment is 

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E-mail: DISTRIBUTION@nrc.gov

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Some publications in the NUREG-series that are posted 

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doc-collections/nuregs are updated periodically and may 

differ from the last printed version. Although references 

to material found on a Website bear the date the material 

was accessed, the material available on the date cited may 

subsequently be removed from the site.

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Documents available from public and special technical 

libraries include all open literature items, such as books, 

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Such documents as theses, dissertations, foreign reports and 

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Copies of industry codes and standards used in a 

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maintained at—

The NRC Technical Library

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11545 Rockville Pike

Rockville, MD 20852-2738

These standards are available in the library for reference use 

by the public. Codes and standards are usually copyrighted 

and may be purchased from the originating organization or, 

if they are American National Standards, from—

American National Standards Institute

11 West 42nd Street

New York, NY 10036-8002

Internet: www.ansi.org

212-642-4900

Legally binding regulatory requirements are stated only 

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specifications; or orders, not in NUREG-series 

publications. The views expressed in contractor-prepared 

publications in this series are not necessarily those of 

the NRC.

The NUREG-series comprises (1) technical and 

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(NUREG–XXXX) or agency contractors 

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