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Category Archives: Inspector General

OIG Audit Looks at Security for Decommissioning Reactors

Brett M. Baker
Assistant Inspector General for Audits

An Office of the Inspector General audit of the NRC’s oversight of security at decommissioning reactors is now available here. The audit set out to determine whether NRC’s oversight of security at decommissioning reactors provides for adequate protection of radioactive structures, systems and components.

oigThe NRC regulates the decommissioning of nuclear power plants, a process during which a plant is removed from service and the residual radioactivity is reduced to a level that permits release of the property and termination of its license. The NRC has rules governing power plant decommissioning that protect workers and the public during the process, and regulations for the management of worker fatigue.

The OIG found that the agency’s oversight of security at decommissioning reactors provides for adequate protection of radioactive structures, systems, and components. However, opportunities exist for program improvement.

The audit found that NRC regulations lack clarity on which elements of fitness-for-duty decommissioning licensees must implement. In addition, the NRC lacks regulatory requirements for a fatigue management program for decommissioning licensees.

The NRC is taking steps to address the issues. Presently, there are ongoing rulemaking efforts in the area of decommissioning. Additionally, the NRC recently finalized a report to document lessons learned associated with permanent power reactor shutdowns that occurred from 2013 – 2016.

The OIG audit report makes recommendations to clarify which fitness-for-duty elements licensees must implement to meet the requirements of the insider mitigation program; and to establish requirements for a fatigue management program.

NRC management stated their general agreement with the audit findings and recommendations.

Inspector General Audit Looks at NRC’s Employee Card Access System

Stephen D. Dingbaum
Assistant Inspector General for Audit
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oigAn Office of the Inspector General audit of the NRC’s Personal Identity Verification card access system is now available. The audit set out to determine whether the NRC’s PIV card access system met its operational requirements, and to assess the effectiveness of coordination among offices with a role in securing NRC’s physical access.

The PIV card is an ID card issued by a federal agency. It contains information unique to each employee and contractor. The card’s main function is to protect and to strengthen the security of personnel information and physical access to secured areas. The NRC uses the card to control access at its headquarters and regional offices.

The OIG found that the agency’s PIV card access system met its requirements, and there is some coordination among offices with a role in securing NRC’s physical access.  However, opportunities exist to strengthen processes to ensure more PIV cards are retrieved when employees leave service. Opportunities also exist to establish a uniform and effective way for security officials to be notified of changes to contractor and employee access for restricted areas.

The audit found that PIV cards for terminated contractors and employees are not always retrieved, and that retrieval procedures have not been established. The OIG identified that of 1,452 terminated PIV cards over a 22-month period (January 2014 through November 2015), about one third were not collected from the personnel. As a result, there is a risk of unauthorized physical access to NRC and other federal facilities.

In addition, the OIG found, the NRC is not always notified of changes in staff/contractor access rights for restricted areas. Consequently, the potential exists for unauthorized access into a restricted area by personnel who should no longer have access.

The report makes seven recommendations to improve the system, reduce physical security risk across the agency, and ensure continued compliance with federal regulations and guidance.

NRC management stated their general agreement with the audit findings and recommendations.

 

OIG Audits NRC’s Scientific Research Program

Stephen Dingbaum
Assistant Inspector General for Audits

An Office of the Inspector General audit regarding the NRC’s process for ensuring integrity in scientific research is now available here. The audit set out to determine if the NRC has the controls is place to oigassure that scientific research is objective, credible, and transparent.  

The NRC’s regulatory research program conducts research in the areas of nuclear reactors, nuclear materials, and radioactive waste. Scientific information that supports research includes factual inputs, data, models, analyses and technical information, or scientific assessments. This scientific information often informs NRC regulations.

The OIG found that while the NRC has controls in place, the way it manages scientific information, including information associated with scientific research, needs to be strengthened. Specifically, the NRC must improve the internal controls associated with responding to public requests to correct scientific information and for designating it as influential scientific information. Additionally, the OIG audit states the NRC must adopt required guidelines on conducting peer review of its information products associated with scientific research.

The audit also states the NRC must have effective controls in place to ensure that its information products are objective, credible, and transparent. Without effective controls, an opportunity for maximizing the quality, objectivity, utility, and integrity of NRC scientific information is being missed and may result in compromising stakeholder confidence in NRC’s ability to regulate in an unbiased, trustworthy, and open manner.

The report makes five recommendations specific to the way the NRC handles scientific information, to ensure that the NRC adopts federal requirements on peer review, and to ensure that internal guidance that may be impacted by new or revised federal guidance is regularly reviewed to determine if revisions are necessary.

NRC management stated their general agreement with the audit findings and recommendations.

 

Inspector General Report on Spent Fuel Pools Makes Recommendations To Improve Oversight

Stephen Dingbaum
Assistant Inspector General for Audits

oigAn Office of the Inspector General audit regarding the NRC’s oversight of spent fuel pools is now available here. The audit set out to determine if the NRC’s oversight of spent fuel pools — and the nuclear fuel they hold — provides adequate protection for public health and safety, and the environment.

The NRC is responsible for developing the regulatory framework, analytical tools, and data needed to ensure safe and secure storage, transportation, and disposal of spent nuclear fuel. In the U.S. today, there are 93 spent fuel pools currently storing spent fuel. Recent NRC staff studies demonstrating the safety of spent fuel pools and the safety of continued storage of spent fuel at reactor sites highlight the need to make sure the pools operate safely for longer periods than originally envisioned.

The OIG found the NRC does provide adequate oversight of spent fuel pools and the fuel they contain, but opportunities exist for improvement. Specifically, we found that regulatory uncertainty exists in the NRC’s evaluation of the analytical methods used to prevent a chain reaction in the spent fuel pools. In addition, there are gaps in NRC’s spent fuel pool inspection program as inspections of spent fuel pools greatly vary between licensee sites and are limited in scope.

As part of its mission, the NRC must inspect and assess licensee operations and facilities to ensure compliance with its regulatory requirements. The NRC should also regulate in a manner that clearly communicates requirements and ensures regulations are consistently applied and practical. The OIG believes an absence of effective spent fuel pool guidance for both licensees and NRC staff may reduce program efficiency and effectiveness.

The report makes four specific recommendations to improve NRC oversight, including developing and issuing new guidance for licensees and developing new NRC inspection procedures. NRC management stated their general agreement with the findings and recommendations.

 

OIG Report: Yucca Mountain Records Retention

Stephen Dingbaum
Assistant Inspector General for Audits

 

oigAn Office of the Inspector General audit that looked at the NRC’s policy and procedures on document management related to the high level waste repository at Yucca Mountain is now available.

The audit set out to determine if agency policy and procedures on document management are compliant with federal requirements and provide reasonable assurance that documentation related to the review of the Yucca Mountain facility has been appropriately managed and retained.

In 2008, DOE submitted a license application to the NRC to build the repository at Yucca Mountain, in Nevada. DOE later filed a motion to withdraw the application in March 2010. NRC staff was subsequently directed to prepare the orderly closeout of their technical review.

The OIG audit report indicates that all records were retained; however, NRC was out of compliance with the agency’s records management policy during the period that the licensing process was suspended. OIG notes the NRC has recently become compliant with its records management policy; therefore, OIG makes no recommendations.

The NRC’s OIG is an independent, objective office tasked with auditing NRC programs and operations with a focus on — among other things — detecting fraud, waste, abuse and mismanagement.

 

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