NRC Open Gov Plan

U.S. Nuclear Regulatory
Commission

Open Government
Plan

Revision 1.1
June 7, 2010

Message from the Chairman

I am pleased to present the first Open Government Plan for
the U.S. Nuclear Regulatory Commission. Our agency has a
long history of, and commitment to, openness with the public
and transparency in its regulatory process. We welcome the
opportunity to support President Obama’s Open Government
Initiative and to implement the Directive issued by the Office
of Management and Budget on December 8, 2009.

As you will read in our plan, we are committed to continuing to
improve transparency and more fully integrating public
participation and collaboration into our activities.

New technologies provide the means for the NRC to take our
practices to the next level. Web-based technologies have the
potential to transform the way we interact with the public and
our many stakeholders. From increased use of Webcasting and Web conferencing, to the
introduction of Web-based tools to engage our stakeholders in public dialogue, the NRC is fully
committed to using technology to help the public better understand and participate in our work.

Please join me in helping the NRC, and the Federal government as a whole, advance the
principles of open government. I encourage you to review our Open Government Plan and
continue to share your ideas with us. Our goal is to incorporate your feedback to help us
continue to improve the way we regulate nuclear materials to protect people and the
environment. We will be sure to keep you up-to-date with our progress.

Chairman, Gregory B. Jaczko

Table of Contents
Executive Summary ................................................................................................................... 1
I. Introduction ............................................................................................................................ 2
II. Leadership, Governance, and Change Management ............................................................ 3
A. History of Openness at the NRC ....................................................................................... 3
1. Principles of Good Regulation ....................................................................................... 3
2. Strategic Plan ................................................................................................................ 3
3. Organizational Values ................................................................................................... 4
4. Open, Collaborative Working Environment .................................................................... 4
B. Taking Openness to the Next Level .................................................................................. 4
1. Leadership and Governance .......................................................................................... 4
2. Change Management ..................................................................................................... 5
III. Transparency ....................................................................................................................... 6
A. What We’re Doing Now ..................................................................................................... 6
1. Policies, Performance Measures, and Management Controls........................................ 6
2. The NRC’s Key Information Dissemination Channels .................................................... 7
3. Participation in Federal Transparency Initiatives...........................................................11
B. Action Plan for Improving Transparency ..........................................................................13
1. High-Value Datasets.....................................................................................................13
2. Policy Changes ............................................................................................................15
3. Expansion of Webstreaming .........................................................................................15
4. Public Communications ................................................................................................15
5. Improvements to ADAMS .............................................................................................15
6. Improvements to the NRC Public Web Site ..................................................................16
IV. Participation ........................................................................................................................16
A. What We’re Doing Now ....................................................................................................17
1. Public Meetings and Outreach......................................................................................17
2. Hearings .......................................................................................................................17
3. Conferences, Symposia, and Workshops .....................................................................18
4. NRC Web Sites Promoting Public Participation ............................................................19
B. Action Plan for Improving Participation.............................................................................19
1. Public Meetings ............................................................................................................19
2. New Communications Tools for the ADAMS User Group .............................................20
V. Collaboration ........................................................................................................................21
A. What We’re Doing Now ....................................................................................................21
1. Federal Regulatory Partnerships ..................................................................................21
2. States and Native American Tribal Governments .........................................................24
3. International Activities...................................................................................................26
4. Nonprofit and Private Entities .......................................................................................27
B. Action Plan for Improving Collaboration ...........................................................................28
1. Using Technology Platforms to Improve Collaboration .................................................28
2. Innovative Methods To Increase External Collaboration ...............................................30
VI. Flagship Initiative— Enhancing Stakeholder Engagement ...................................................31
A. Overview of the Initiative ..................................................................................................31
B. Engagement of the Public and Interested Parties ............................................................34
C. Collaboration with External Partners ................................................................................35
D. Measuring Improved Transparency, Participation, and Collaboration ..............................35
E. Sustaining the Initiative and Allowing for Continued Improvement ...................................36

i

VII. Public and Agency Involvement .........................................................................................36
A. Public Involvement ...........................................................................................................36
B. Employee Involvement .....................................................................................................37
C. How the NRC Will Use the Ideas .....................................................................................37
Appendix A: The NRC’s Key Web Pages Supporting Open Government .................................38
Appendix B: Compliance with Legal Requirements for Information Dissemination ...................45
Appendix C: High-Value Datasets ............................................................................................47
Appendix D: NRC Open Government Milestone Table .............................................................52
Appendix E: List of Web Addresses for Hyperlinks Used in the Plan ........................................53
Appendix F: Summary of Public Comments .............................................................................56

ii

Executive Summary
On December 8, 2009, Peter R. Orszag, Director of the Office of Management and Budget
(OMB), sent a memorandum to the heads of executive departments and agencies directing
them to take specific actions to implement the principles of transparency, participation, and
collaboration set forth in the President’s Memorandum on Transparency and Open Government,
dated January 21, 2009. Because of its long history of openness, the U.S. Nuclear Regulatory
Commission (NRC) welcomes this opportunity and plans to participate fully in the President’s
Open Government Initiative.

One of the actions identified by OMB was the development and publication of Open Government
Plans describing how each agency will “improve transparency and integrate public participation
and collaboration into its activities.” 1 In response, the U.S. Nuclear Regulatory Commission
(NRC) has developed this plan and published it on its NRC Open Government Web page.

The plan has seven sections: an introduction; a section on the leadership, governance, and
change management; one section each on transparency, participation, and collaboration; a
section describing the agency’s flagship initiative for open government; and a section describing
how the NRC has engaged and will continue to engage the public and agency employees to
achieve continuous improvement of the plan. Six appendices cover the NRC’s key Web pages
supporting open government, how the agency complies with the information dissemination
requirements of the Paperwork Reduction Act, current and planned publication of high-value
datasets, the key milestones in the NRC’s Open Government Plan, the list of Web addresses for
hyperlinks used in the plan, and a summary of public comments as of March 19, 2010, the
closing date of the Federal pilot of the citizen-engagement tool, IdeaScale.

Since its creation in 1975, the NRC has viewed openness as a critical element for achieving the
agency’s mission to regulate the Nation’s civilian use of radioactive materials and thereby
protect people and the environment. As a result, the agency has built a strong foundation of
openness policies and practices that guide its regulatory activities. New technologies now
provide the means for the NRC to take these practices to the next level. While still in the early
stages of this evolution, the NRC recognizes the potential of these Web-based technologies to
transform the way it interacts with the public and its many stakeholders to advance the
principles of open government.

1
Open Government Directive, Section 3a, page 4.

1

I. Introduction
On December 8, 2009, Peter R. Orszag, Director of the Office of Management and Budget
(OMB), sent a memorandum to the heads of executive departments and agencies directing
them to take certain actions to implement the principles of transparency, participation, and
collaboration set forth in the President’s Memorandum on Transparency and Open Government
dated January 21, 2009. Although independent agencies are not strictly bound by the OMB
Open Government Directive, the President’s January 21 memorandum states that “independent
agencies should comply” with it. Because of its long history of openness, the U.S. Nuclear
Regulatory Commission (NRC) welcomes this opportunity and plans to participate fully in the
President’s Open Government Initiative.

The Open Government Directive addresses four general subjects: (1) publishing government
information online; (2) improving the quality of government information; (3) creating and
institutionalizing a culture of open government; and (4) creating a policy framework to better
enable open government. To create and institutionalize a culture of open government (item 3
above), the memorandum states that “within 120 days [April 7, 2010] each agency shall develop
an Open Government Plan that describes how the agency will improve transparency and
integrate public participation and collaboration into its activities.” Consistent with the Open
Government Directive, the NRC has developed this Open Government Plan and has made it
available on the NRC's Open Government Web page in an open format that enables the public
to download, analyze and visualize the document.

The NRC intends to build upon the foundation of this plan as it continues to enhance its levels of
transparency, participation, and collaboration with its employees, stakeholders, and the public.
In accordance with the Open Government Directive, the NRC will update this plan every 2 years.

The plan has seven sections: an introduction; a section on the leadership, governance, and
change management; one section each on transparency, participation, and collaboration; a
section describing the agency’s flagship initiative for open government; and a section describing
how the NRC has engaged and will continue to engage the public and agency employees to
achieve continuous improvement of the plan. Six appendices cover the NRC’s key Web pages
supporting open government, how the agency complies with the information dissemination
requirements of the Paperwork Reduction Act, current and planned publication of high-value
datasets, the key milestones in the NRC’s Open Government Plan, the list of Web addresses for
hyperlinks used in the plan, and a summary of public comments.

To complete the plan, the NRC created an interdisciplinary Open Government Working Group
with participants from each major office across the agency. This group included representatives
with public affairs, information technology (IT), human resources, financial, legal, and policy
expertise. To support collaboration by working group members and facilitate broader staff
involvement in developing the agency’s Open Government Plan, the working group created a
team collaboration site accessible by all NRC staff.

For more information about the NRC’s Open Government initiatives, please contact Francine
Goldberg, Senior Advisor for IT Strategy and Communications, Office of Information Services at
Francine.Goldberg@nrc.gov, or Elizabeth Hayden, Senior Advisor to the Director, Office of
Public Affairs at Elizabeth.Hayden@nrc.gov.

2

II. Leadership, Governance, and Change Management
This section covers the NRC’s history of openness and the overarching leadership, governance,
and change management framework needed to build on this foundation to take openness to the
next level.

A. History of Openness at the NRC
The Open Government Directive states: “To create an unprecedented and sustained level of
openness and accountability in every agency, senior leaders should strive to incorporate the
values of transparency, participation, and collaboration into the ongoing work of their agency.”
For the past 35 years, the NRC has demonstrated a commitment to the values underlying an
open government. This is illustrated through its emphasis on openness in its “Principles of Good
Regulation,” its Strategic Plan, its organizational values, and its overall commitment to
maintaining an open, collaborative working environment.

1. Principles of Good Regulation
In 1977, the NRC issued a document entitled “Principles of Good Regulation,” that has guided
the agency in conducting its regulatory activities. One of these principles, openness, states that
“nuclear regulation is the public's business, and it must be transacted publicly and candidly. The
public must be informed about and have the opportunity to participate in the regulatory
processes as required by law. Open channels of communication must be maintained with
Congress, other government agencies, licensees, and the public, as well as with the
international nuclear community.”

2. Strategic Plan
The following excerpt from the NRC’s Strategic Plan for Fiscal Years 2008-2013 demonstrates
the importance of open government principles in achieving the agency’s mission and strategic goals.

“The NRC views nuclear regulation as the public’s business and, as such, believes it
should be transacted as openly and candidly as possible to maintain and enhance the
public’s confidence. Ensuring appropriate openness explicitly recognizes that the public
must be informed about, and have a reasonable opportunity to participate meaningfully
in, the NRC’s regulatory processes. At the same time the NRC must also control
sensitive information so that security goals are met.”

Additionally the Strategic Plan contains five openness strategies:

• Enhance awareness of the NRC’s independent role in protecting public health and
safety, the environment, and the common defense and security;
• Provide accurate and timely information to the public about the NRC’s mission,
regulatory activities, and performance and about the uses of, and risks associated with,
radioactive materials;
• Provide for fair, timely, and meaningful stakeholder involvement in NRC decision-making
without disclosing classified, safeguards, proprietary, and sensitive unclassified information;
• Communicate about the NRC’s role, processes, activities, and decisions in plain
language that is clear and understandable to the public; and
• Initiate early communication with stakeholders on issues of substantial interest.

3

3. Organizational Values
Openness is also one of the agency’s seven organizational values. These values, adopted by
the NRC in 1995, are significant contributors to the organizational culture that has helped the
NRC to be ranked first in the “Best Places to Work in the Federal Government" 2 in each of the
past two surveys (2007 and 2009). The NRC’s openness value means that while conducting
work, agency employees are expected to be transparent and forthright in all of their actions.

4. Open, Collaborative Working Environment
A free and open discussion of differing professional views is essential to the development of
sound regulatory policy and decisions. As such, the NRC strives to establish and maintain an
open, collaborative working environment (OCWE) that encourages all employees and contractors
to promptly voice differing views without fear of retaliation. At the NRC, management
encourages trust, respect, and open communication to promote a positive work environment
that maximizes the potential of all individuals and improves regulatory decision-making.

The NRC Open Door Policy (first communicated to agency employees in 1976), the NRC
Differing Professional Opinions Program (formally established in 1980), and the NRC Non-
Concurrence Process (established in 2006) illustrate the NRC’s commitment to the free and
open discussion of professional views. These policies permit employees at all levels in all areas
to provide professional views on virtually all matters pertaining to the agency’s mission.

B. Taking Openness to the Next Level
As discussed above, the NRC has a firm foundation of openness in its regulatory processes
dating from its inception in 1975. More information about the NRC’s many accomplishments in
implementing the core principles of openness (i.e., transparency, participation, and
collaboration) are addressed throughout this plan. Today’s challenge is to modify existing
stakeholder engagement processes by effectively applying new technologies to increase
transparency, broaden participation, and strengthen collaboration. Taking openness to this next
level will require leadership, governance, and a change management process that effectively
engages both NRC employees and stakeholders.

1. Leadership and Governance
NRC has much of the governance structure in place to effect the President’s vision and will
leverage existing governance structures, councils and work units to manage and implement the
Open Government Directive and the agency’s Open Government Plan. The NRC has
designated its Deputy Executive Director for Corporate Management (DEDCM) as the agency
lead for open government and as the agency’s Senior Accountability Official. The Information
Technology Senior Advisory Council (ITSAC) will provide senior level guidance for NRC’s open
government program. The ITSAC is chaired by the DEDCM and is composed of senior
executives from the major NRC organizational components, including the programmatic areas,
the General Counsel, human resources, and financial management organizations. The ITSAC
will be periodically briefed and consulted on open government policy issues, priorities,
measures, and major initiatives.

2
Produced by the Partnership for Public Service and American University's Institute for the Study of
Public Policy Implementation (See http://data.bestplacestowork.org/bptw/index)

4

To provide operational oversight, performance assessment and progress reporting, an Open
Government Advisory Group has been established. The Open Government Advisory Group
consists of a core team with representatives from the Office of Public Affairs, the Office of the
Executive Director of Operations, and the Office of Information Services. The Advisory Group is
jointly chaired by these offices. The Advisory Group is augmented by representation from each
program and support office and the regions, as required. The Open Government Advisory
Group oversees implementation of the Agency’s Open Government Plan and Program,
including:

 Monitoring progress of the agency’s Flagship Initiative
 Monitoring plan commitments, including publication of high-value datasets
 Approving significant changes to the plan
 Planning agency response to administration guidance and directives related to Open
Government
 Providing recommendations and advice to the DEDCM on Open Government program
direction, as appropriate
 Overseeing the agency’s internal and public Open Government Web sites
 Reporting periodically on the “state-of-health” of the Agency’s Open Government Plan to
the DEDCM.
 Overseeing disposition of public and staff comments received
 Overseeing publication of agency actions on comments received

Other key infrastructure components include the agency’s Information Technology Business
Council, which reviews the business case for any new technology the agency may decide to
acquire; the NRC Communication Council, a group with expertise on both internal and external
communication; and information technology and information management resources from the
Offices of Information Services and Computer Security. These infrastructure components will
be brought to bear, as needed, on the initiatives overseen or sponsored by the Open
Government Advisory Group to achieve the goals of open government.

2. Change Management
The NRC recognizes that without a change management process, systemic change will not
happen. Although the NRC has a strong culture of openness, infusing the use of new
technologies into the agency’s existing public outreach and engagement activities will require a
concerted focus on change management. Examples of change management activities include
the following:

 implement communications plans to inform and engage the staff and the public about
the new approaches and the benefits they can bring;
 identify useful Web-based tools to enhance existing practices for achieving
transparency, participation, and collaboration;
 help the NRC program staff to pilot the new tools for use in openness processes that
support the agency’s strategic goals;
 institutionalize new policies and practices, where necessary; and
 acquire the best tools for agencywide use and provide the necessary training and
support.

5

III. Transparency
The NRC has a long-standing practice of conducting its regulatory responsibilities in an open
and transparent manner to keep the public informed of
the agency's regulatory, licensing, and oversight “Transparency promotes
activities. Section III.A describes what the NRC is accountability by providing
already doing to promote transparency in its operations, the public with information
including: (1) its policies, management controls, and about what the Government
performance measures; (2) its key information is doing.” (Open
dissemination channels; and (3) its participation in Government Directive)
Federal transparency initiatives. Section III.B provides
an action plan for improving transparency through the publication of high-value datasets, policy
changes, expansion of Web streaming, use of new tools for public communication, and
improvements to the Agencywide Documents Access and Management System (ADAMS) and
the NRC public Web site.

A. What We’re Doing Now
As part of the agency’s commitment to be an open and transparent regulator, the NRC strives to
meet both the letter and the spirit of Federal information dissemination requirements. This
commitment requires disciplined policies, performance measures and management controls,
easy-to-access information, and support of Federal initiatives promoting transparency. The
following sections address each of these areas.

1. Policies, Performance Measures, and Management Controls
The NRC values openness in its interactions with its employees, stakeholders, and the public.
To translate this commitment into action, the NRC has implemented specific policies,
management controls, and performance measures. It is NRC policy to make nonsensitive
documents public unless there is a specific reason not to do so. In addition, the agency policy
stated in NRC Management Directive 3.4, “Release of Information to the Public,” dated
February 6, 2009, requires most documents to be released to the public within 6 business days
after issuance.

The NRC is committed to ensuring that its information, most of which is in the form of
documents, is complete, accurate, and of the highest quality. One way the agency does this is
through practices that require capture of agency records in a centralized system known as
ADAMS. The agency has stringent policies and management controls to ensure that this
system captures the final record copy of internally generated documents. Once an internally
generated document has been finalized and has met all publication criteria, it is automatically
copied into the ADAMS public record library accessible from the NRC public Web site. In
addition, the vast majority of externally generated documents sent to the NRC (e.g., from
licensees and others) are entered into ADAMS through a centralized intake process. This
process provides a high degree of assurance that these documents are captured, screened for
any security or privacy issues or proprietary data, and made available to the public in a timely
manner. Furthermore, the NRC’s public Web site policy requires that, to the extent possible,
NRC document Web addresses point to the document in the ADAMS public library rather than
to a duplicate (and possibly erroneous) copy.

6

The agency’s practices for ensuring the quality and integrity of its information are consistent with
OMB and NRC-specific information quality guidelines, as required by Section 515(a) of the
Treasury and General Government Appropriations Act for Fiscal Year 2001 (Public Law 106-
554). Members of the public who believe they have found an error in NRC-published
information may use the procedures in the NRC’s Information Quality Guidelines to seek a
correction.

One of the ways the NRC holds itself accountable for ensuring transparency is by including a
composite information dissemination timeliness measure in its annual performance report to
Congress. This measure is composed of four submeasures related to the timeliness of the
agency’s Freedom of Information Act (FOIA) responses, issuance of public meeting notices,
public release of internally generated public documents, and public release of externally
generated documents. The agency improved on all four of these measures in FY 2009 and met
the agency-established targets for the first three. For additional discussion on the fourth
measure, see section III. B. 2.

2. The NRC’s Key Information Dissemination Channels
The most important NRC information dissemination channels are the agency’s public document
system (ADAMS), the NRC public Web site, Web-based access to public meetings and
hearings, the NRC’s Public Document Room, and the FOIA program. These channels are
described below.

a. The NRC’s Public Document System

The NRC was the first Federal agency to provide the public with electronic access to all of its
public documents through its groundbreaking deployment of the ADAMS Publicly Available
Records System (PARS). Since the inception of ADAMS in 1999, the agency has made public
more than 500,000 full-text documents and is currently publishing 200-300 documents daily.
To ensure that user feedback on ADAMS is received and incorporated, the NRC works with an
ADAMS User Group made up of members of the public who use ADAMS on a routine basis.
The schedule of upcoming meetings and minutes of past meetings are posted on the ADAMS
User Group Web page.

The NRC’s goal is to release most documents within 6 business days. Exceptions apply to
larger incoming documents, such as major license applications, which require more than 6 days
to complete the security review. Some internally generated NRC documents, such as FOIA
responses, fall into the exception category because they require more than 6 days to process
and assemble for release.

b. Public Web Site

The NRC makes extensive use of its public Web site to share information with stakeholders and
the public. The Web site contains information on Commission decisions, hearing transcripts,
inspection reports, enforcement actions, petitions, event reports, daily plant status, a facility
information finder, and detailed information on the performance of reactor licensees. It provides
information and links to broaden the public’s understanding of the NRC’s mission, goals, and
performance, as well as access to tools and information that help licensees and private entities
conduct business with the agency.

7

Last year, the agency added the capability for Web site users to subscribe to desired content.
On the e-subscriptions page, users can sign up to receive documents such as generic
communications, new rulemaking dockets, news releases, speeches, and reports issued by the
NRC’s Inspector General. In addition, the agency is moving to Web-based distribution of
agency correspondence related to operating reactors. Through this new distribution method,
the public can subscribe to correspondence on a facility-by-facility basis through an interactive
Web site, making it easier and faster to obtain the desired information. In a recent 30-day
period, the agency distributed more than 17,000 pieces of correspondence to recipients in 16
different countries.

On February 4th 2010, the NRC launched its Open Government Web site at www.nrc.gov/open,
including links to the NRC’s high-value datasets, quick access to key information resources,
information on the NRC’s long-standing open government philosophy, pages on transparency,
participation, and collaboration, and an on-line brainstorming tool through which the public can
provide their ideas about how the NRC can improve transparency, participation, and
collaboration. Figure 1 is a screen-shot of this page as of June 7, 2010.

To more fully describe the breadth of the NRC Web site, Appendix A provides the name, Web
address, and brief description of some of the most frequently used categories of information
published on the site, as well as of pages providing information about how the NRC performs its
regulatory activities and how to conduct business with the NRC. Appendix B outlines how the
NRC complies with the legal information dissemination requirements of the Paperwork
Reduction Act, Section 3506(d).

c. Web-Based Access to Public Meeting and Hearings

In March 2000, the NRC began providing the public with access to high-interest Commission
meetings over the Internet (Webcasting). Since then, the agency has expanded this initiative to
make other high-interest meetings, conference sessions, and more recently, adjudicatory
hearings, available for remote viewing via the Internet “live” (as they take place) or in “archived”
format (digital recordings of previously held meetings), or both.

The public meeting video archive is accessible from the NRC’s Electronic Reading Room. More
traditional meeting records are also available, as is the schedule for upcoming Webcasts.

An archived copy of a Webstreamed hearing session is available to members of the public for
90 days via the link that was provided for viewing the Webstreamed hearing session live. Also,
in accordance with Title 10 of the Code of Federal Regulations (10 CFR) Part 2, “Rules of
Practice for Domestic Licensing Proceedings and Issuance of Orders,” the NRC maintains a
transcript of the hearing in the agency’s Web-accessible Electronic Hearing Docket as the
official agency record of the proceeding.

8

Figure 1. Screen Shot of the NRC’s Open Government Web Page

9

d. The NRC’s Public Document Room

From its inception, the NRC has placed a high value on maintaining a well-staffed and effective
Public Document Room (PDR) to enhance the public’s ability to find and obtain the NRC’s
publicly available information. Most public information requests relate to the NRC's licensing
and rulemaking activities, as well as to historical files from the NRC’s predecessor agency, the
Atomic Energy Commission.

The PDR staff, comprised of skilled technical and reference librarians, works directly with the
agency’s public users - stakeholders, environmental groups, licensees, the legal community,
and concerned citizens - to provide information access and research assistance. This
assistance is often essential in helping to identify, verify, and find information needed by outside
groups or individuals. PDR staff provide direct assistance to public users in searching and
navigating through the agency’s extensive and complex electronic data, microfiche, and paper
information collections.

In addition to its current services, the PDR staff is exploring web-based services such as “live
chats” with PDR librarians and electronic “search/help forums.” As technology continues to
evolve, the PDR will continue to take advantage of new tools in support of its customer service
mission.

e. Freedom of Information Act Requests

Through its policy to make most non-sensitive documents public via ADAMS, the NRC helps
stakeholders and the public by reducing the need to submit requests under the Freedom of
Information Act (FOIA). This reduction in FOIA requests also reduces the agency’s costs for
FOIA request processing.

Although the NRC’s FOIA program has, historically, compared favorably with other agencies,
on December 27, 2006, the NRC began implementing a FOIA improvement plan, as required
by Executive Order 13392, “Improving Agency Disclosure of Information.” Through this plan,
the NRC assessed its FOIA program and identified improvements to expedite processing and
reduce response times and the backlog of requests. The NRC also developed online training
and employed information technology to help agency staff process requests more effectively.
In addition, the agency enhanced and updated its FOIA and Privacy Act Requests Web page
and related publications.

Since that time, the NRC has completed all actions identified in the FOIA improvement plan.
As a result, the agency’s backlogged cases have decreased from 13 in 2006 to 5 at the end of
FY 2009. Response times have also been reduced, and the oldest request on hand at the end
of FY 2009 was 89 days old compared to 115 at the end of FY 2008. In FY 2009, the agency
met its internal goal of responding to 75-percent of simple FOIA requests within 20 days.
The NRC posts links to frequently requested records, an index to closed requests, and its
annual FOIA reports (the latter in open format) on the FOIA page of its public Web site.

Given the NRC’s historical performance in this area, we do not anticipate further changes or
reforms to our FOIA processes at this time. For more information about the NRC’s FOIA
Program and its capacity to analyze, coordinate, and respond to FOIA requests in a timely
manner, see the Open Government Assessment of the NRC’s FOIA Process as a Key
Information Dissemination Channel, as well as our Annual Chief FOIA Officer Report.

10

3. Participation in Federal Transparency Initiatives
The NRC supports numerous governmentwide initiatives designed to promote Federal
transparency and, where applicable, fully complies with their requirements. These initiatives are
addressed below.

a. Data.gov—High-Value Datasets

The NRC is an active participant in Data.gov, a Federal Web site designed to increase public
access to high-value, machine-readable datasets generated by the executive branch. The NRC
published its first dataset in October 2009 and, in response to the Open Government Directive,
published three additional datasets in January 2010. The NRC will continue to encourage
public feedback on its high-value information and, consistent with agency policy and guidance
provided by Data.gov, will continue to add new datasets to its high-value dataset publication
plan.

Find more information…

• Appendix C to this plan (“High-Value Datasets”)
• Data.gov—Select Nuclear Regulatory Commission (NRC) from the agency list to
locate NRC datasets.

b. Regulations.gov—Rulemaking Information

The NRC develops legally binding regulations (also known as rules) in a process known as
rulemaking. The NRC announces all rulemaking actions in the Federal Register, the official
daily publication for the Federal government. Along with other Federal agencies, the NRC also
provides Web-based access to its regulations, draft and final rules, and other related documents
through Regulations.gov, the Federal e-rulemaking portal. Through this site, the public can find,
read, and comment on documents related to the NRC’s rulemaking activities.

In response to a request from several nongovernmental organizations, in 2008 the NRC
established a listserv as a way to notify subscribers of the latest NRC rulemaking dockets
opened at Regulations.gov and of other preliminary rulemaking actions available for public
review or comment, or both.

Also in 2008, the NRC migrated 10 years of historical rulemaking documents, along with all public
comments submitted, from its agency-specific online rulemaking and commenting system to
Regulations.gov, making all rulemaking-related Federal Register notices and associated public
comments available on the governmentwide portal from that point on. On January 1, 2009, the
NRC expanded its use of the Regulations.gov portal to include the posting of stakeholder comments
on nonrulemaking Federal Register notices. The NRC also posts supplemental background
information and supporting documents to dockets for high-interest agency actions.

Through Regulations.gov, the public can now access, by docket number, more than 9,000 public
comments related to almost 700 rulemaking actions conducted by the NRC from 1999 to the
present.

11


• The NRC’s main Rulemaking page
• Regulations.gov—Select Advanced Search and select NRC—NUCLEAR
REGULATORY COMMISSION from the list of agencies.
• E-Mail Notice Subscription Page—Select Rulemaking Dockets to receive the latest
information on new NRC rulemaking actions.

c. USASpending.gov—Spending on Contracts, Small Purchases, and Grants

The NRC’s Division of Contracts reports all contracts and financial assistance obligations to
USASpending.gov on a monthly basis, in accordance with OMB Memorandum 09-19,
“Guidance on Data Submission under the Federal Funding Accountability and Transparency Act
(FFATA),” dated June 1, 2009. From its internal contracts system, the NRC generates a file of
actions awarded each month and sends the information to the USASpending.gov Web site for
publication.


• USASpending.gov—Select Spending from the top navigation, and then choose one of
the following from the drop-down menu: Contracts, Purchase Cards, or Grants. Then
choose Agency from the left navigation and select NRC—NUCLEAR REGULATORY
COMMISSION from the drop-down menu.

d. IT.USASpending.gov—Spending on Information Technology

The Federal IT Dashboard provides agencies such as the NRC a public venue to share details
of their IT investments. Through the Federal IT Dashboard, the public has the ability to track the
progress of these investments over time. Within the NRC, to ensure that IT investments are
managed within budget and scope, an executive-level IT Review Board provides review and
oversight, and the agency holds its senior managers accountable for the performance of these
investments in Senior Executive Service performance plans.


• IT.USASpending.gov—Select Investments from the top navigation and then select
Nuclear Regulatory Commission from the drop-down menu.

e. Recovery.gov—Resources Provided to Agencies under the Recovery Act

The NRC has not received any funding under the Recovery Act and therefore does not
participate in this initiative.

f. Grants.gov—Availability of Grants

The NRC posts information on all of its grants on Grants.gov, the public’s source to find and
apply for Federal grants. Most of the NRC awards are for accredited institutions of higher
education for curriculum development, scholarships and fellowships, and faculty development,
as well as targeted research and conference grants.

12


• Grants.gov—Under Find Grant Opportunities, select Browse by Agency and select
NRC—NUCLEAR REGULATORY COMMISSION.

g. Federal Research In Progress Database

The NRC provides information to the National Technical Information Services on research in
progress through distribution of NUREGs, specifically NUREG 1925, “Research Activities.”
The NRC is exploring export of information on research contracts to support population of the
Federal Research In Progress (FEDRIP) database. The FEDRIP database provides access to
information about ongoing Federally funded projects in the fields of the physical sciences,
engineering, and life sciences. The ongoing research announced in the FEDRIP database is an
important component of the Nation’s technology transfer process. The uniqueness of the FEDRIP
database lies in its structure as a nonbibliographic information source on research in progress.

B. Action Plan for Improving Transparency
To set the tone for open government at the NRC, on March 24, 2010, the agency began
publishing a list of Chairman Gregory B. Jaczko’s meetings and other events that may be of
interest to the public. This list includes meetings and events that the Chairman has participated
in with various external stakeholders. The following sections address other important actions
the NRC will take to improve transparency.

1. High-Value Datasets
The Open Government Directive defines high-value information as “information that can be
used to increase agency accountability and responsiveness; improve public knowledge of the
agency and its operations; further the core mission of the agency; create economic opportunity
or respond to need and demand as identified through public consultation.” 3

As a regulatory agency whose processes and decisions are captured primarily in the form of
documents, the NRC views its documents as its highest value data and has, up until now,
focused the thrust of its public information dissemination program in this area. The agency has
made its documents available via ADAMS and elsewhere on its public Web site in the widely
used “portable document format” (PDF). As of July 1, 2008, the International Organization for
Standardization officially recognized PDF as an open standard (per ISO 3200). The NRC has
provided both a search engine for ADAMS and numerous indexes to popular document
collections in the Electronic Reading Room on its public Web site. The agency recognizes that
some of its stakeholders may be interested in accessing underlying data associated with
ADAMS documents (e.g. descriptive metadata such as docket number, document date, author
and subject). For this reason, the NRC will conduct a pilot project for publishing underlying data
associated with a specific subset of ADAMS documents -- inspection reports. (See Appendix C,
Table 3, item 2).

3
Open Government Directive, page 7.

13

In response to OMB’s request that agencies identify and publish their high-value datasets in
open format, the NRC formed a working group to collaborate on developing an inventory of its
high-value information based on several sources, including the most popular information at the
agency’s public Web site, data most frequently requested under FOIA, the agency’s systems
inventory, and its records schedules. The working group selected an initial group of high-value
datasets based on the five OMB criteria to target information that can be used to: (1) increase
accountability and responsiveness; (2) improve public knowledge of the agency and its
operations; (3) further the core mission of the agency; (4) create economic opportunity; and
(5) respond to need and demand.

Table 1 in Appendix C to this plan lists the high-value datasets that the NRC has published as of
the release date of this plan. The table includes the criteria for high value that these datasets
meet, the key audience(s) for each, and the date they were published in open format. Links to
Web pages providing access to these datasets appear on the NRC's Open Government Web
page as well as on the Data.gov Web site

Table 2 in Appendix C contains the high-value datasets the NRC plans to publish between the
release date of this plan and September 30, 2011. The agency will publish each, along with a
data dictionary, in open format on the NRC’s public Web site, and they will also be available
through Data.gov. Datasets in Table 3 of Appendix C represent first-time open-format
publication of data that underlie previously published information.

Table 4 in Appendix C contains a composite list of the datasets in Tables 1, 2, and 3, indicating
the key audiences with an interest/need for each dataset based on past input from these
audiences and input from the NRC’s Open Government Advisory Group. By October 31, 2010,
the agency will institutionalize a process for maintaining and adding to its initial inventory of
high-value data sets, taking into account the public’s input on the types of data that would be of
value. The agency would like to receive more public input on this subject so that efforts can be
directed towards publishing the most useful datasets. Suggestions for such datasets may be
submitted through the agency’s public dialogue on ways to improve open government at the NRC.

Because of the nature of the NRC’s mission and the potential use of some types of agency
information for malevolent purposes, information security screening of all datasets will be of high
importance. This will include applying administration guidance to screen for potential risks from
combining NRC information with information published by other Federal agencies. In some
cases, security concerns may limit the publication of agency information.

To foster the public’s use of NRC high-value datasets to increase public knowledge and
promote transparency, the NRC publicized the availability of its datasets at its annual
Regulatory Information Conference (RIC) on March 9–11, 2010, and will do so at other
conferences and public meetings as appropriate as well as through the NRC’s Open
Government Web page. Additionally, stakeholders may receive notification whenever the
agency adds a new dataset by subscribing to the updates section on the NRC’s Open
Government Web page (select “Subscribe to Updates” at the top right). This will result in an e-
mail notification whenever the NRC adds a new dataset or makes other changes to its Open
Government Web page.

14

2. Policy Changes
As stated above in Section III.A.1, in FY 2009, the agency met 3 out of 4 of its information
dissemination timeliness measures. For FY 2010, in an effort to improve performance on the
fourth measure, the agency has added the timely release of externally generated documents
(those sent to the NRC by licensees and others) to the set of measures for which NRC senior
managers are held accountable. In addition, the agency plans to review its treatment of certain
categories of documents that are exempt from the 6-day release policy and consider adding
separate timeliness criteria for some of them.

3. Expansion of Webstreaming
One of the ideas receiving the most support on the NRC’s public Open Government Forum is
the expansion of Webstreaming for public meetings. As of May 2010, the NRC will double the
annual number of public meetings it will broadcast "live" using Webstreaming via internet, from
50 to 100. Of these, 50 will be public Commission meetings and 50 will be other meetings that
are identified as having significant public interest. The expansion of Webstreaming will also
increase the number of meeting rooms at NRC Headquarters equipped for Webstreaming from
1 to 4, enabling up to 4 meetings to be streamed simultaneously. By utilizing the NRC video
teleconferencing system, the NRC can receive and stream information from any location that is
similarly equipped. For example, this capability enabled the NRC to Webstream key sessions
from the annual NRC Regulatory Information Conference. All Webstreamed meetings are also
available for later viewing in the NRC's public meeting video archive at its public Web site. The
NRC is evaluating further options for continued expansion of this service.

4. Public Communications
a. Podcasts

The NRC plans to pursue the use of audio files/podcasts posted on the Web, beginning with
news releases. This new content would expand the NRC’s ability to inform the public using
alternative media and may attract additional interested audiences.

b. Use of Social Media

As identified in the description of the agency’s Open Government Flagship Initiative in
Section VI, the NRC is considering the future addition of social media technologies
(e.g., Facebook, Twitter, YouTube, and blogging) to enhance the agency’s ability to engage the
public, maintain a productive dialogue, and solicit innovative ideas regarding both the agency’s
public Web site and its regulatory activities.

5. Improvements to ADAMS
Based on comments received from the public through the NRC’s Open Government Forum and
other feedback mechanisms, stakeholders have made it clear that improvements to ADAMS
should be a priority for the NRC. One frequent request has been to provide the public with a
Web browser-based interface to more easily search both of the ADAMS public libraries -- the
Publicly Available Records System (PARS) and the Public Legacy Library (PLL). Until recently,
a browser-based interface was available only for PARS. To search the PLL, users were
required to download and install special software on their personally-owned computers.

15

On February 1 2010, the NRC released a new search tool that provides browser-based access
to both PARS and the PLL, eliminates the need to download special software, and offers the
same reporting capabilities that had been praised in the old software access system.

In addition, the NRC is working to modernize the entire ADAMS system. This effort will
incorporate other suggestions from the public, including a Google search capability. See
Appendix D for the schedule.

6. Improvements to the NRC Public Web Site
a. Expanded Use of Event- and Facility-Specific Web Pages

In response to increased public interest in a specific NRC-licensed facility, either as a result of
an event response or an upcoming licensing action, the agency has sometimes established
event-specific or facility-specific Web sites, where all of the background information, documents,
contacts, and other sources of data about the event or facility are consolidated and more easily
accessible by the public. For example, the NRC established a Web page for the Nuclear Fuel
Services facility in Erwin, TN, a facility that recently was the subject of increased public interest.
The NRC is planning a more comprehensive approach that would include Web pages for all
major nuclear facilities and events with high public interest.

b. Public Web Site Redesign

Recognizing the important role of the Web in achieving openness and outreach to the public,
the NRC is now integrating innovative technologies into the redesign of its public Web site.
More information about this redesign, which the NRC has selected as one component of its
Flagship Open Government Initiative, is addressed in Section Vl.

IV. Participation
The NRC is responsible for developing, implementing, and enforcing policies that are well-informed
and effective. To do so, the agency recognizes that the
public must be informed about, and have a reasonable “Participation allows
opportunity to participate meaningfully in, its regulatory members of the public to
processes and (where appropriate) decisionmaking. contribute ideas and
expertise so that their
The NRC has received license applications for the government can make
construction and operation of a number of new nuclear policies with the benefit of
power plants and uranium recovery facilities. The NRC information that is widely
also anticipates an additional number of spent fuel storage dispersed in society.”
installation applications and applications to extend the (Open Government
licenses of operating reactors. These activities are already Directive).
generating interest from the public that is expected to
continue. The NRC will continue its practice of providing stakeholders the opportunity to participate
in the regulatory process before issuance of a license (initial or renewed), construction permit, early-
site permit, design certification, combined license or rulemaking, as appropriate. In all aspects of its
work, the agency is committed to making public participation as expansive and meaningful as
possible.

16

Section IV of this plan describes the numerous tools the NRC uses to foster citizen participation and
engagement, including public meetings, public hearings, the agency’s public Web site, and
document comment processes. It also addresses plans that the agency is making in response to
industry trends and the Open Government Directive to review its current communication practices
with the objective of using Web-based technologies to expand opportunities for public participation.


1. Public Meetings and Outreach
To communicate clearly and frequently with diverse groups of stakeholders and the public, the NRC
holds meetings both in the vicinity of existing and proposed nuclear facilities and at NRC
Headquarters and regional offices. These meetings help inform local residents and other
stakeholders about NRC activities and regulatory responsibilities, as well as provide opportunities
for questions and feedback. The agency announces these meetings through a variety of channels,
including the NRC’s public Web site, news releases, and announcements in local community
newspapers. The agency also collects feedback from attendees at every public meeting to better
understand and respond to the needs of both observers and participants.

The NRC’s public meeting schedule, meeting archives, and answers to frequently asked questions
about public meetings are accessible on the NRC’s Public Meeting Web page. An important element
of the NRC’s public meeting policy is to post public notice of staff meetings open to the public on its
Web site at least 10 calendar days in advance of the meeting date. In FY 2009, the agency was
successful in meeting this public meeting notice timeliness target 94 percent of the time, surpassing
its goal of 90 percent. For further information about NRC’s public meeting policies, see Management
Directive 3.5, Attendance at NRC Staff Sponsored Meetings. This directive discusses the agency’s
policy for holding both public (open) and non-public (closed meetings) with NRC staff.

In addition to public meetings, the NRC has expanded its outreach efforts to non-governmental
organizations (NGOs) interested in the agency's work. In early March 2010, NRC staff met with
Mothers for Peace of San Luis Obispo and also recently met with other NGOs including
International Brotherhood of Electrical Workers and the National Mining Association. These
meetings are designed to improve communication regarding the agency's regulatory role and
current activities. Reaching out to interested groups for individual meetings helps
representatives from NGOs personalize their participation with the agency. In addition, the NRC
responds to requests for information from NGOs on a variety of issues of interest.

2. Hearings
NRC hearings afford individuals or entities with an interest in an NRC licensing or enforcement
action the opportunity to participate in the regulatory process by raising issues before a three-
member Licensing Board composed of administrative judges from the NRC’s Atomic Safety and
Licensing Board Panel (ASLBP), an independent component of the NRC. A Licensing Board conducts
the hearing and makes decisions based on the information presented by the hearing participants.

Over the past several years, the NRC has made many improvements to technology supporting
the hearing process to make participation more efficient and effective for both the Licensing
Boards and the hearing participants. Key examples are the Digital Data Management System,
the Electronic Hearing Docket, and the agency’s electronic filing system.

17

The Digital Data Management System (DDMS), which combines audio/video and computer
technology to manage the exhibits and other adjudicatory materials, can be used by hearing
participants and ASLBP personnel to locate and view electronic text and images of exhibits and
other adjudicatory record materials and to perform legal research on the Internet. DDMS
audio/video capabilities include a voice-activated digital video recording system with cameras and
monitors and a tele/videoconferencing system to allow parties and witnesses to participate from
multiple remote locations. A video record of the hearing is available to the parties and ASLBP
personnel via the Internet shortly after the day's session. Also, as part of the access process for
each Webstreamed adjudicatory event, the NRC provides stakeholders with an opportunity to
provide comments on their experience using this technology and makes an archived copy of the
video available to the public for 90 days.

In addition, the Electronic Hearing Docket provides Web access to searchable electronic copies
of all public filings in hearing proceedings and the agency’s E-Filing system allows those
wishing to participate in agency hearings to submit and serve electronic copies of filings via the
Web, as required by NRC regulations, 24 hours a day. More information about public
involvement in NRC in hearings is available on the NRC’s public Web site.

3. Conferences, Symposia, and Workshops
Among the many conferences, symposia, and workshops that the NRC staff hosts or
participates in each year, the annual Regulatory Information Conference (RIC) is the most
prominent. The RIC brings together more than 2,500 people, representatives from more than
25 countries, members of Congress, nuclear plant owners, nuclear materials users, and other
important stakeholders and informs them of significant regulatory activities, including research
findings, rulemaking, regulatory and safety issues, generic issues, regulatory process and
procedure improvements, and other items of particular interest such as license renewal. The
annual conference serves as a communication vehicle to allow informal open dialogue among
the attendees. RIC attendees gain knowledge of planned and current NRC activities that may
have an impact on them. They also discuss issues both in the panel sessions and during the
public comment periods that are an integral part of each session so that the NRC staff can
evaluate stakeholder input, incorporate suggestions, and address concerns that are raised.

The most recent RIC conference (March, 2010) included Webstreaming of key events, including
the opening, Chairman and Commissioner plenaries, and the general plenary session.
Additionally, each year, all RIC presentations are available through the NRC public Web site,
and Commissioner plenary sessions and responses to questions that were unanswered at the
conference are posted on the Web site and archived.

The NRC makes use of other conferences, symposia, and workshops on more specific
regulatory topics to engage its stakeholders and the public in the regulatory process. Examples
include the following:

• In September 2008, the NRC sponsored a public workshop on cesium that discussed
using alternative forms of cesium, alternative technologies, phaseout and transportation
issues, additional security, and potential future requirements for use of the material.
More than 200 people attended the forum.

18

• In September 2009, the NRC held a series of public workshops to solicit early input on
major issues associated with the potential rulemaking for land disposal of depleted
uranium. The participants included industry representatives, academics, State
regulators, public interest groups, other Federal agencies, and the general public. The
NRC created a dedicated public Web page to facilitate ongoing communication with the
public on the rulemaking.

• The NRC annually hosts and sponsors the Fuel Cycle Information Exchange
Conference, where NRC staff, industry representatives, and other stakeholders discuss
regulatory issues related to the nuclear fuel cycle.

4. NRC Web Sites Promoting Public Participation
To enhance participation in the regulatory process, the NRC’s public Web site has included a Public
Meetings and Involvement page since 2002. This page contains links to numerous other pages
where the public can learn about public meetings, comment on proposed rules and draft
documents, understand how to petition the agency to take an enforcement action, participate in
hearings, or ask the NRC to consider changing or establishing a regulation. Table 3 in Appendix A
to this plan contains a list and description of these key Web sites promoting public participation.

B. Action Plan for Improving Participation
The NRC is continually exploring the use of new media and tools for enhancing public
participation. Several examples and plans for the future are outlined below.

1. Public Meetings
The NRC conducts public meetings in many locations across the country to engage a variety of
stakeholders in the regulatory process. The agency is now taking steps to improve participation
at these meetings, including broadening participation through the use of Web conferencing,
implementing a new meeting facilitation program, and using Web technology to interact with
participants before, during, and after the meetings.

a. Web Conferencing

In FY 2009, the NRC successfully piloted the use of Web conferencing at several meetings so
that remote stakeholders could participate. A recently released 2-minute video, available at the
White House Open Government Innovations Web site, explains how the NRC used this
technology to more broadly share information about possible changes to emergency
preparedness regulations.

As part of the agency’s outreach efforts to communicate these potential regulatory changes, the
NRC held public meetings in venues throughout the country. For each meeting, anyone with a
computer could log on to an Internet-based conference center and participate from any location
by listening to content, seeing speakers and presentations, asking questions, and providing
comments. This approach allowed the NRC to minimize the cost to stakeholders while also
increasing opportunities for public participation in the regulatory process.

19

The NRC recently established a cross-agency working group to drive the effective expansion of
agency capabilities for both Web conferencing and Webstreaming (See Section III.B.3 for more
about the expansion of Webstreaming) to support diverse business needs for conducting
meetings and fostering communication within and outside the agency. This effort will help
expand IT services that support agency efforts to increase participation in public meetings as
well as increase efficiency and effectiveness. Lessons learned and feedback from pilot
activities will be used to implement the appropriate services for agency use. By implementing
common solutions across the agency, the NRC will achieve economies of scale and will be
better able to provide training and other support services to help the staff use the technology
effectively.

As the Web conferencing pilot program expands, the NRC will use a continuous feedback
process to help drive improvements that increase efficiency and effectiveness and ensure a
positive user experience.

b. Meeting Facilitation Program

Through the NRC’s new In-House Meeting Facilitator & Advisor Program, several employees
are being trained as facilitation specialists. These specialists will aid other NRC staff in fulfilling
the agency’s commitment to openness by ensuring that NRC public meetings and outreach
activities are effective, inclusive, and fair, and they will further bolster the agency’s capacity to
collaborate and address issues with external stakeholders. Facilitators will be trained to use
technology tools such as Web conferencing to help meet these objectives.

c. Meeting Feedback

The NRC is working to improve all aspects of the public meeting and outreach process,
beginning with improved collaboration with stakeholders before a meeting so that the NRC staff
is better prepared to address stakeholder questions and concerns. In addition, the NRC is
working to ensure that NRC information presented at these meetings can be more easily
understood by the public.

Although the agency has had much success receiving feedback from the public after public
meetings via hard copy forms, a team of NRC communicators and technology specialists is
exploring various options for updating this process. One option that the agency is considering is
to enable the public to post comments through the public Web site, thereby allowing members
of the public to submit information from anywhere they have Internet access.

2. New Communications Tools for the ADAMS User Group
The agency has a standing public user group to guide enhancements to its publicly available
electronic documents system. Communication with this group is currently handled through an
e-mail distribution list, regular semi-annual meetings, and direct communication with the PDR
staff. The NRC plans to explore other approaches such as Webinars to enhance and broaden
interaction with ADAMS users.

20

V. Collaboration “Collaboration improves the
effectiveness of Government
In the coming years, the NRC will confront a variety by encouraging partnerships
of challenges, including ensuring the safety and and cooperation within the
security of existing and proposed nuclear power Federal Government, across
plants and other licensed facilities and materials, levels of government, and
emergency preparedness, and the storage and between the Government and
disposal of high-level radioactive waste. The NRC private institutions.” (Open
recognizes that meeting these challenges will call for Government Directive)
the highest levels of collaboration among its own
employees and cooperation and partnership with other Federal and non-Federal governmental
agencies and with nonprofit and other private entities.

Nevertheless, as a regulatory agency, the NRC is mindful of the need to preserve its
independence, and it must therefore enter into collaborative activities only where appropriate.

As the NRC began categorizing its open government activities, some fell into a gray area that
might be considered either participation or collaboration. Based on the definition of
collaboration provided in the Open Government Directive (see text box above), an activity was
included in this section only if it demonstrated a true partnership among the participants. Those
participation activities that solicit ideas or feedback without a full partnership were covered in
Section IV.

This section addresses what the NRC is currently doing to promote collaboration internally and
externally and the planned actions designed to enhance collaborative relationships critical to
ensuring that the agency achieves its core mission goals. Existing and emerging technologies
that provide the means to broaden and strengthen collaborative activities will play a key role in
supporting these efforts.

The NRC’s key collaborative partners include State, Federal, and non-Federal governmental
agencies, nonprofit and private entities, and the international nuclear regulatory community. In
addition to the summaries below, Table 4 in Appendix A provides a comprehensive list of links
to Web sites with detailed information about the NRC’s collaborative partnerships and activities.

1. Federal Regulatory Partnerships
a. Transportation of Nuclear Materials and Radioactive Waste

About 3 million packages of radioactive materials are shipped each year in the United States,
either by highway, rail, air, or water. Regulating the safety of these shipments is the joint
responsibility of the NRC and the U.S. Department of Transportation (DOT). The NRC
establishes requirements for the design and manufacture of Type B and fissile material
packages for radioactive materials, and DOT regulates Type A and lesser quantity packages, as
well as shipments while they are in transit, and sets standards for labeling and placarding. To
ensure regulatory consistency, the NRC and DOT coordinate transportation-related rulemaking
efforts and associated regulatory processes.

21

b. Emergency Preparedness and Response

The NRC is the coordinating agency for radiological accidents and incidents occurring at NRC-
licensed facilities and for radioactive materials licensed either by the NRC or under the agency’s
Agreement State Program. As coordinating agency, the NRC exercises technical leadership for
the Federal Government’s response to the event. If the severity of an event rises to the level of
a general emergency or if it is a terrorist-related event, the U.S. Department of Homeland
Security (DHS) takes on the role of coordinating the overall Federal response, with the NRC
retaining its technical leadership role.

In the event of an emergency, the NRC is prepared to share information and coordinate action
with DHS and the full spectrum of Federal agencies that might respond to an event at an NRC-
licensed facility or involving NRC-licensed material—the Federal Emergency Management
Agency (FEMA), DOE, the U.S. Environmental Protection Agency (EPA), the U.S. Department
of Agriculture, the U.S. Department of Health and Human Services, the National Oceanic and
Atmospheric Administration, and the U.S. Department of State. The NRC’s Operations Center,
the command center for radiological event response, is outfitted with state-of-the-art
communications and computing capabilities designed to support swift and effective cross-
agency, intergovernmental, and public and private coordination of action.

The NRC participates in numerous working groups, including the Federal Senior Leadership
Council, a decisionmaking body of Federal principals that meets to discuss national-level critical
infrastructure policies; the Nuclear Security Working Group, a group composed of NRC
managers, representatives of the Nuclear Energy Institute, and licensee security managers who
discuss current security issues; and the Federal Radiological Preparedness Coordinating
Committee, comprising representatives from Federal departments and agencies, which
coordinates various aspects of radiological emergency preparedness, response, and recovery.

To ensure a timely and effective local response, the NRC and FEMA collaborate on emergency
planning guidance for State and local governments and run joint emergency preparedness
exercises at licensee facilities every 2 years. In addition, the NRC and FEMA maintain regular
communications on emerging incident response issues and cooperate to ensure that the
Federal Government maintains a robust and agile radiological emergency response capability.

c. Radiation Source Protection

The Radiation Source Protection and Security Task Force, established by the Energy Policy Act
of 2005 (Public Law 109-58), is one of the primary vehicles for advancing issues related to
security of radiation sources from potential terrorist threats. The Task Force, under the lead of
the NRC, is mandated to evaluate and provide recommendations to the President and Congress
relating to the security of radiation sources in the U.S. from potential terrorist threats, including
acts of sabotage, theft, or use of a radiation source in a radiological dispersal device. The Act
named 12 Federal agencies to the Task Force and the NRC also invited the Department of
Health and Human Services and the Office of Science and Technology Policy to participate on
the Task Force. A representative from the Organization of Agreement States/Conference of
Radiation Control Program Directors (OAS/CRCPD) was also asked to participate as a non-
voting member.

22

The Task Force is to submit to the President and Congress reports providing recommendations,
including possible regulatory and legislative changes on several specific topics related to the
protection and security of radiation sources. The Task Force provided its first report to the
President and Congress in August 2006. The Task Force is developing its second report to be
submitted in August 2010.

d. Homeland Security

The NRC works closely with other Federal agencies, including the Federal Bureau of
Investigation, Department of Homeland Security (DHS), the Defense Threat Reduction Agency,
DOE, and various State and local law enforcement agencies to coordinate and enhance
integrated response activities. The NRC is actively working to identify and develop key IT
investments that will further enhance the storage, handling, and communication of sensitive
security information and the communication of this information to NRC licensees and Federal,
State, and local partners.

e. Protecting the Environment

The NRC establishes and maintains effective communications about environmental policy with
EPA, the Council on Environmental Quality, and the U.S. Department of the Interior (DOI). The
National Environmental Policy Act (NEPA) requires the NRC to communicate its environmental
impact analyses and comments on matters related to NEPA procedures and implementation to
the Council on Environmental Quality and to coordinate with those agencies on matters such as
environmental justice.

The NRC collaborates closely with EPA and DOI to protect public and private land affected by
activities such as uranium recovery and radioactive waste disposal. In November 2009, the
NRC signed a memorandum of understanding (MOU) with DOI’s Bureau of Land Management
(BLM), that defines the cooperative working relationship to be used to support common goals
that guide the preparation of each agency’s NEPA reviews related to the extraction of uranium
and thorium on BLM-administered public lands. This MOU will improve interagency
communications, facilitate the sharing of special expertise and information, and help coordinate
the preparation of studies, reports, and NEPA documents.

The National Historic Preservation Act of 1966, as amended, mandates the NRC to maintain
communication with officials at the National Park Service and the Advisory Council on Historic
Preservation and to contribute to the Secretary of the Interior’s Annual Report to Congress on
Federal Archeological Activities.


• Transportation of nuclear materials
• Emergency preparedness and response
• Emergency preparedness and response—Federal, State, and local responsibilities
• Emergency preparedness in response to terrorism
• MOU Between NRC and BLM

23

2. States and Native American Tribal Governments
The NRC recognizes that fulfilling its core mission requires broad cooperation with local, State,
and Tribal governments that have a stake in the safe, secure, and environmentally friendly use
of radioactive materials for beneficial civilian purposes. The NRC and its non-Federal partners
maintain a comprehensive, consistent regulatory infrastructure that best serves the public
interest.

a. Agreement States

Under Section 274 of the Atomic Energy Act of 1954, as amended, the NRC may relinquish to
State regulators portions of its authority to license and regulate byproduct materials
(radioisotopes), source materials (uranium and thorium), and certain quantities of special
nuclear materials. Regulatory authority in these areas is transferred to an “Agreement State”
via an agreement signed by the Governor of the State and the Chairman of the NRC. The NRC
regulates about 15-percent of the more than 20,000 active source, byproduct, and special
nuclear materials licenses currently in place; the 37 Agreement States regulate the rest.

To ensure regulatory consistency and support Federal/State collaboration, the NRC conducts
training courses and workshops for Agreement State regulators, evaluates technical licensing
and inspection issues identified by Agreement States, evaluates State rule changes,
participates in activities conducted by the Conference of Radiation Control Program Directors,
and ensures early and substantive State involvement in NRC rulemaking and other regulatory
efforts.

NRC management periodically meets with Agreement State leaders from the Conference of
Radiation Control Program Directors and the Organization of Agreement States to prioritize
regulatory issues, exchange information, or undertake tasks of common interest. The NRC and
Agreement States regularly form working groups to address specific issues and promulgate best
practices in the regulation, use, and safeguarding of radioactive materials. A significant
cooperative effort that began in 2009 is the revision of all radioactive materials licensing
documents to incorporate security enhancements made through legally binding requirements
such as orders and regulations.

Other examples of NRC/Agreement State cooperation include the following:

• The Integrated Materials Performance Evaluation Program (IMPEP) review process is
used to evaluate the technical adequacy and consistency of Agreement State and NRC
programs. A technical team composed of NRC and Agreement State personnel
performs these collaborative, performance-based reviews. The IMPEP won the Harvard
University Award for Excellence in Government and serves as a model of cooperation
between the Federal and State governments.

• The NRC’s Nuclear Materials Events Database (NMED) contains records of events
involving nuclear material reported by NRC licensees, Agreement States, and
nonlicensees. Idaho National Laboratory, a research arm of DOE, maintains the
database. NMED data are accessible to NRC staff, Agreement State regulators, and
other users authorized by the NRC. The general public has access to the aggregated
event information via a link to NMED on the NRC’s public Web site.

24

• The National Source Tracking System (NSTS) is a secure, Web-based database that
tracks the movement, storage, and transfer of radioactive sources regulated by the NRC
and the Agreement States. The NSTS was developed through close cooperation with
other Federal and State agencies and allows the tracking of nuclear materials
throughout the life cycle of the source—from manufacture through shipment, receipt,
decay, and burial. The NSTS enhances the ability of the NRC and Agreement States
to conduct inspections and investigations, communicate information to other government
agencies, and verify legitimate ownership and use of nationally tracked sources.
Implementation of the NSTS, along with complementary efforts by the NRC to develop
Web-based licensing and a license verification system, is improving the control and
management of radioactive sources by the NRC and its regulatory partners.


• Agreement State directory
• Audit of the NRC's Agreement State Program
• NRC/Agreement State working groups
• IMPEP toolbox
• NMED
• NSTS

b. State and Tribal Governments

Through the Federal, State, and Tribal Liaison Programs, the NRC works in cooperation with
Federal, State, and local governments, interstate organizations, and Native American Tribal
Governments to ensure that the NRC maintains effective relations and communications with
these organizations and promotes greater awareness and mutual understanding of the policies,
activities, and concerns of all parties involved as they relate to radiological safety at NRC-
licensed facilities.

The NRC consults regularly with Governor-appointed State Liaison Officers and maintains
contact with representatives of State public utility commissions, the National Governors
Association, the National Conference of State Legislatures, and the National Association of
Regulatory Utility Commissioners to identify NRC regulatory initiatives that affect States and to
keep the NRC apprised of those organizations’ activities.

Tribal Government interest in nuclear-related activities provides for case-by-case exchanges of
information on specific issues related to the NRC’s policy and regulatory authority, primarily in
the areas of uranium recovery, high- and low-level radioactive waste storage, transportation,
disposal, and reclamation. The NRC maintains a cooperative relationship with the National
Congress of American Indians.

This open exchange of information supports the NRC’s efforts to enforce proper control and
disposal of radioactive materials, protect the environment, promote emergency preparedness,
and ensure a rapid and effective response to radiological emergencies.


• State and Tribal Liaison Programs

25

3. International Activities
The NRC performs certain legislatively mandated international duties, including licensing the
export and import of nuclear materials and equipment, and participating in activities supporting
U.S. Government compliance with legally-binding international treaties and conventions. All
license applications received and licenses issued by the NRC for exports and imports of nuclear
materials and equipment are made available to the public. The NRC's regulations (10 CFR
§110.81) expressly encourage written comments from the public regarding export and import
license applications.

With the understanding that nuclear power is now a global enterprise and that all nations have
an abiding interest in seeing that the use of nuclear power and radioactive sources is
accomplished with a focus on safety and security, the NRC also collaborates with the world
community in developing programs that leverage the knowledge and experience accumulated
by states with mature nuclear programs and provide cooperation and assistance to other
countries.

The NRC actively participates in international working groups and provides advice and
assistance to international organizations and foreign countries to develop effective regulatory
organizations, develop safety and security consensus guidance, and control the export and
import of nuclear and radioactive materials and equipment. The NRC engages in cooperative
activities bilaterally with other countries and by participating in programs managed by the
International Atomic Energy Agency (IAEA) and the Nuclear Energy Agency (NEA) and through
other international bodies such as the International Commission on Radiological Protection.

The following are examples of the NRC’s international cooperative efforts:

• The NRC has technical information exchange and cooperation agreements with 38
countries and Taiwan. The NRC also collaborates directly with counterpart agencies in
other countries under individual regulatory and research cooperation agreements.
Cooperation with countries with mature nuclear programs ensures the timely exchange
of applicable nuclear safety and security information and operating experience. The
NRC's international assistance activities help to develop and improve national regulatory
programs (for both nuclear reactor and radioactive material safety and security) through
training, workshops, peer review of regulatory documents, working group meetings,
technical information and specialist exchanges.

• The NRC’s foreign assignee program provides on-the-job experience for qualified
candidates nominated by their governments to work at the NRC. During FY 2009, the
NRC hosted eight assignees from France, Germany, Iraq, Japan, Lithuania, the
Republic of Korea, and Vietnam.

• The NRC staff recently participated in the first meeting of the 28-nation Forum of Nuclear
Regulatory Bodies in Africa. The members of the forum requested cooperation and
support from the NRC in the areas of regulatory oversight of uranium mining and milling
and for new nuclear power plants. They also expressed interest in the NRC’s ongoing or
planned radioactive source-related assistance efforts, especially assistance to develop
national registries of radioactive sources.

26

• The NRC has a leadership role in IAEA's wide range of technical and consultants
meetings, standards committees, safeguards initiatives, workshops and other IAEA-led
assessment and assistance missions. One such example is that the agency is a key
member of IAEA’s International Nuclear and Radiological Event Scale effort for the
prompt communication of events of safety significance at nuclear and radiological
facilities to the international public.

• In October 2010, the NRC will host in an Integrated Regulatory Review Service mission.
This mission is part of an IAEA-led initiative for Member States to review each other’s
regulatory standards and assess the regulatory infrastructure against international safety
standards and good practices. The outcome of this effort will be an objective review of
the NRC’s regulatory practices for operating reactors and an assessment of whether
NRC standards meet international standards. The final report will provide the NRC with
recommendations and suggestions for improvements, while also providing reviewers
from Member States and the IAEA staff with opportunities for mutual learning. It will also
provide real opportunities for IAEA staff to obtain direct feedback on the application of
international standards.

• The NRC has a leadership role in the work of the NEA, which works primarily with states
with mature nuclear programs. One example of recent activity is the Multinational
Design Evaluation Program (MDEP) with nine other participating countries. The MDEP
is an international collaborative effort that seeks to leverage the experience and
knowledge of regulators around the world in the licensing of new reactor designs while
serving as a catalyst to enable the convergence of applicable codes, standards, and
regulations. The MDEP has made significant progress toward these goals, including an
unprecedented level of international cooperation on vendor and construction inspections,
digital instrumentation and control, and codes and standards.


• The NRC’s international activities

4. Nonprofit and Private Entities
a. Development of Consensus Standards

The NRC works with independent standards organizations to develop consensus standards
(technical requirements and best practices) associated with systems, equipment, or materials
used by the nuclear industry. For example, the Institute of Electrical and Electronics Engineers
develops standards associated with electrical equipment, the American Concrete Institute
develops standards associated with concrete products, and the American Society of Mechanical
Engineers develops standardized codes for mechanical engineering. These standards
development organizations coordinate public and private efforts to develop technical standards
acceptable to Government, industry, research institutions, and members of the public. By
participating in the development of consensus standards, the NRC promotes realism,
effectiveness, and efficiency in the regulatory process.

27

b. Cooperative Research Efforts

In addition to leading the agency’s initiative for cooperative research with Federal agencies such
as DOE and the NRC’s international partners, the NRC leads collaborative research efforts with
the domestic nuclear industry and U.S. universities. NRC staff members participate in domestic
and international committees and conferences that support information sharing and the
establishment of global cooperation in the regulation and control of nuclear facilities, nuclear
materials, and radioactive waste.

c. Cooperative Security Activities

The NRC understands that safeguarding nuclear facilities and materials requires cooperation
between Federal regulators and licensees in private industry. The NRC works continuously to
ensure that the agency and its licensees maintain a current awareness of potential threats to
licensed facilities and activities. NRC managers and staff cooperate with industry on security
matters, making available information on these interactions when appropriate.

d. Collaboration with Industry on Technical Guidance

Besides providing guidance to nuclear power plant operators on acceptable methods for
implementing agency regulations, the NRC also reviews and endorses additional implementation
methods outlined in industry-generated documents that are consistent with NRC guidance.


• NRC participation in standards development

B. Action Plan for Improving Collaboration
The NRC is examining its key existing internal and external collaborative activities to assess
how it can enhance them to better support the goals of open government, particularly through
the use of new and emerging technologies.

1. Using Technology Platforms to Improve Collaboration
In July 2009, the NRC hosted an internal IT summit to establish priorities for future IT
investments. “Working with Anyone” was one of the themes that was chosen as a top priority.
This theme focused on technologies that would better enable groups of NRC staff to collaborate
effectively, both within the agency and with stakeholders and representatives of other Federal
agencies, academia, industry, and the general public. The results of the summit fueled agency
efforts to accelerate the use of, and support for, collaborative tools and services.

Examples of collaboration technologies currently in use inside the agency are tools for virtual
meetings, team and collaboration sites, communities of practice based on subject matter, wiki
Web sites, and teleconferencing. The NRC has hundreds of internal collaboration sites and
communities of practice that enable collaborative activities and knowledge sharing. For
example, soon after OMB issued the Open Government Directive, the NRC launched a team
collaboration site that was used to help develop this Open Government Plan and share ideas on
open government across the agency. These experiences help to reinforce the NRC’s culture of
openness and increase the staff’s receptiveness to using collaborative technologies in their day-
to-day work.

28

a. Virtual Meeting Services

Beginning in 2008, the NRC introduced the use of virtual meeting (GoToMeeting) technology
within the agency. In keeping with the Open Government goal of fostering collaboration and
engaging the public, the NRC is expanding the use of virtual meeting services to a much wider
audience in an effort to make public work sessions more accessible, interactive and
participatory. On May 12, 2010 and May 17, 2010, the agency held facilitated sessions to
obtain input from its domestic and international stakeholders on the next version of the NRC
Strategic Plan. Participants were given the option of attending the meeting electronically via
GoToMeeting and many of them chose to do so, enabling wider participation than would
otherwise have been possible. The participating stakeholders included other regulatory
agencies, licensees, industry groups, public interest groups, Congress, Agreement States, and
international agencies such as the European-based International Atomic Energy Agency (IAEA)
and the Nuclear Energy Agency (NEA). The NRC will continue to expand the use of virtual
meetings to larger internal and external audiences.

b. Social Media Technologies

The NRC recognizes the increasing popularity of social media tools and services. These tools
employ Web 2.0 technologies to redefine how people access information over the internet. The
NRC also recognizes the effectiveness of these tools and services in:

• Disseminating information to people electronically where information comes to people
rather than the traditional approach of people looking for information.
• Establishing connection with diverse stakeholders over the internet.
• Promoting collaboration with diverse stakeholders.

According to one study conducted by the Pew Research Center, 54% of the United States
population used the internet on any typical day in 2009. The study also stated that 74% of
internet users are adults over 18 years old. Up to 47% of the internet users engaged in social
media activities and up to 59% of the internet users visited local, state or federal government
websites. The NRC may leverage social media tools and services that align with the agency’s
business needs to improve public and NRC stakeholder collaboration and participation in the
agency’s regulatory activities by:

• Establishing website pages representing the NRC with social networking services.
• Establishing new mass communication channels such as blogging and micro-blogging
services.
• Increasing the use of multimedia to deliver information to wider audiences.
• Increasing the use of the NRC public website by sharing valuable site links or
bookmarks with other users.

As part of NRC’s flagship initiative, the agency is using a methodical approach to implementing
social media capabilities that ensure the agency’s legal obligations and security requirements
are met. The approach will first assess the proper use of social media to add value to the NRC
and Open Government mission. The NRC will also assess and implement policies and
guidance on the use of social media tools and services to ensure the agency’s security posture
and legal commitments are not compromised.

29

NRC Open Gov Plan

More Related Content

NRC Open Gov Plan