ML20024J058
| ML20024J058 | |
| Person / Time | |
|---|---|
| Issue date: | 08/04/1993 |
| From: | Grimsley D NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Keller C AFFILIATION NOT ASSIGNED |
| References | |
| FOIA-93-424 NUDOCS 9407130213 | |
| Download: ML20024J058 (6) | |
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OFFICE OF THE INSPECTOR GENERAL g
US NUCLEAR g
REGULATORY COMMISSION g
I NRC IS CONSIDERING ACTIONS TO IMPROVE INFORMATION I
ABOUT THE CONTROL OF SEALED SOURCES s.;
OIG/94A-14 June 24,1994 I
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June 24,1994 I
OFFICE OF THE INSPECTOR GENERAL i
MEMORANDUM FOR:
James M. Taylor I
Executive Director for Operations fda YY I
i FROM:
Thomas J. Barchi Assistant Inspector General for Audits I
SUBJECT:
NRC IS CONSIDERING ACTIONS TO IMPROVE l
INFORMATION ABOUT Tile CONTROL OF SEALED SOURCES I
Attached is the Office of the Inspector General's audit report entitled, "NRC is Considering Actions to improve Informa' ion About the Control of Sealed Sources." This report is the result l
of survey work we performed in the area of NRC's oversight of control and disposal of byproduct material contained in scaled sources end devices.
During our survey, we determined that current NRC activities underway could affect issues which we had initially targeted for more in-depth audit work. As a result, we decided to close out our activity in this area for the present. A briefing on the information in this report was provided I.
to the Director, Office of Nuclear Material Safety and Safeguards, and other NRC staff on May 11, 1994. Because the information provided in that briefing was essentially the same as the information provided in this report, agency comments on this report were not requested. We had I
no negative findings and made no recommendations. We are commenting on the NRC activities currently underway.
Attachment:
As stated I
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Actions to Improve Control of Scaled Sources l
REPORT SYNOPSIS I
Under the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act, as amended, the U.S. Nuclear Regulatory Commission (NRC) is responsible for ensuring that radioactive materials are handled safely and do not I
endanger users and the public. NRC's Office of Nuclear Material Safety and Safeguards issues licenses to qualified individuals, businesses, and other institutions for handling rad;oactive materials according to its regulations. The l
agency uses specific and general licenses to authorize the possession and use of byproduct, source, and special nuclear materials. Each license category requires a different degree of reguletory control to ensure public health and safety.
I In February 1994, the Office of the Inspector General initiated a survey about the control and disposal of byproduct material contain d in sealed sources and devices.
l We wanted to identify and evaluate any major problems in NRC's effectiveness to ensure that its liceasees implement needed precautions for the control of byproduct materials. In the early part of our work, we began to develop two I
issues. One issue dealt with the adequacy of NRC information about scaled sources under the control of general licensees. The other issue related to NRC's lack of complete information on events involving loss of control for byproduct I
material. However, we also learned that NRC had initiated actions to address the issues we were developing.
Because of this, we ended our survey and are reporting our observations on NRC actions that are underway. The report makes I
no recommendations.
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I Actions to improve Control of Scaled Sources TABLE OF CONTENTS IGPORT SYNOPSIS................
i INTRODUCTION...........
1 l
BACKGROUND 1
l FINDINGS.....................
2 NRC PLANS TO IMPROVE INFORMATION ABOUT
. l-SEALED SOURCES UNDER THE CONTROL OF GENERAL LICENSEES ARE ON HOLD 3
NRC LACKS COMPLETE INFORMATION ON EVENTS INVOLVING LOSS OF BYPRODUCT MATERIAL CONTROL 4
I OBSERVATIONS.......
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APPENDICES I
Objectives, Scope, and Methodology II U.S. NRC Functional Organization Chart Ill Major Contributors To This Report I
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I Actions to improve Control of Scaled Sources l
INTRODUCTION In February 1994, the Office of the Inspector General (OlG) initiated a survey I
about the control and disposal of byproduct material contained in sealed sources and devices. Our purpose was to identify and evaluate any major problems in the I
U.S. Nuclear Regulatory Commission's (NRC) effectiveness to ensure that licensees exercise necessary precautions for the control of byproduct materials.
Appendix I contains additional details about our survey's objectives, scope, and methodology.
During the initial stages of our work, we became aware of current NRC actions affecting survey issues that we were developing. Therefore, we decided to terminate our activities without conducting additional audit field work. This report provides infonnation regarding the NRC actions underway and our observations.
BACKGROUND Under the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended, the NRC is responsible for ensuring that I
radioactive materials are handled safely and do not endanger users and the public.
NRC's Office of Nuclear Material Safety and Safeguards (NMSS) issues licenses to qualified individuals, businesses, and other institutions for handling radioactive I
materials according to its regulations.
NRC authorizes the possession and use of byproduct, source, and special nuclear I
materials using two license categories: specific and general. Each license requires a different degree of regulatory control to ensure public health and safety.
Additionally, some materials and their devices are exempt from licensing.
Specific Licenses (SL) cover activities requiring an understanding of radiation protection principles and procedures for the safe possession and use of materials.
Holders of SLs must implement a radiation protection program defined by NRC regulations. NRC issues an SL only after reviewing an applicant's program and l_
personnel. States where NRC has agreed to relinquish some regulatory authority (the Agreement States) may also issue SLs to organizations or individuals.
l General Licenses (GL) cover the possession and use of sources and source-device combinations that have sufficient built-in shielding and containment features to require no special training in radiation safety protection. They generally go into I
OlG/94A-14 Page 1 1
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E Actions to improve Control of Scaled Sources effect without an application to the NRC or an Agreement State and without l
issuance of license documents.
Sources and devices that are exempt from licensing represent essentially no threat to public health and safety. There is no particular concern over the ultimate disposal of these devices. Exempt sources and devices are not subject to NRC g
regulatory control after an SL manufactures and distributes them for eventual sale 3
to the public.
NRC currently administers about 6,700 SLs for the possession and use of nuclear byproduct materials in academic, medical, and industrial applications. The 29 Agreement States administer about 15,000 SLs. In 1991, NRC estimated that it g
regulates about 35,000 GLs, while the Agreement States regulate about twice that B
number. NRC's four Regional Offices license and inspect over 95 percent of the NRC materials licenses.
NRC licensees use radioactive sources in numerous applications, including medical procedures, radiography, highway construction, and well logging. Due to the nature of the work activity, some of these sources may become dislodged from their shielding apparatus, or lost. These events potentially subject workers and the public to unnecessary radiation exposure.
l FINDINGS We found that NRC's progress toward enhancing its regulatory program over GLs g
has been slow. Since 1987, NRC staff has worked on rulemaking to address a
improving its information about and communication with GLs. However, during the fiscal year (FY) 1994 budgetary planning process, NRC redirected its resources to implement these improvements to address other safety needs. A final decision on the GL program is scheduled for August,1994.
We also found that NRC may not have adequate information on licensee events involving loss of control for byproduct material.
Office for Analysis and Evaluation of Operational Data (AEOD) Annual Reports showed a 110% increase l
in this kind of reported event from 1987 to 1992. Based on these reports, it appears that the actual number of events may be under-reported because Agreement States, with about twice the number of NRC licensees, report less l
events than NRC licensees. Additionally, the largest portion of the reported events comes from SLs, even though there are about five times as many GLs also required to make such reports. If loss of control events have been under-reported, g
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i Actions to Impmvc Control of Scaled Sources the actual amount of material lost in the past and its potential harm to the public may be unknown and unpredictable. However, AEOD has recently implemented a project to improve NRC's knowledge of material license events. Both of these I
findings are discussed in greater detail in the remainder of this report.
NRC PLANS TO !",t:*.9VF INFORMATION ABOUT SEALED SOURCES UNDER TIIE CONTROL OF GENERAL LICtRSEES ARE ON HOto in a 1987 policy issue information paper to the Commission', NRC reported the results of a study it initiated in 1984 "to determine iflicensees could account for their gauges and if they were aware of related regulatory responsibilities." As a result of this study, NRC determined that about 30% of the GLs contacted were unable to account for their generally licensed devices, and 80% were unaware of j
regulatory requirements. Such regulatory requirements include (1) proper disposal of the devices by transfer to an SL who is authorized to possess them, (2) installation, servicing, and periodic testing of the devices usually required to be performed by an SL whose training and experience with radiation have been evaluated by NRC or an Agreement State, and (3) performance of leak tests or shutter tests at prescribed time intervals.
NRC Headquarters and Regional personnel told us that some of the issues discovered in the 1984 study continue to exist today.
NRC has proposed rulemaking to address the study results, including a GL registration program and periodic GL reporting. NRC intended for the registration program to enhance NRC's information regarding GL device ownership, I
quantities, and responsible users. The reasons presented for improving the GL program were well supported. Additionally, NRC has expended a large amount of resources since 1984 in determining the need and method for improving the GL I
program. Staffinformed the Commission of these activities in 1987,1989,1990, l
and 1991. The Commission approved the proposed rulemaking in 1991.
In the June 1993 budget process for FY 1994, NRC redirected the resources l
needed to implement the proposed GL rulemaking to the medical license program
.I for the Medical Management Plan. Intemal NMSS documents show that the GL program was budgeted as part of the NMSS base budget, while the Medical Management Plan was originally budgeted as an over-ceiling (i.e., an additional unfunded) program. However, these documents also reveal that NMSS identified
'SECY-87-167, Results of the General License Study and Corrective Measures Taken Or a
Planned by the Staff, July 9,1987.
O!G/94A-14 Page 3 l
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I Actions to improve Control of Scaled Sources the GL program as one of several items in the lowest 10% of budget priority.
Additionally, when attempting to identify strategies for implementing the Medical Management Plan, NMSS listed the GL program resources as one alternative for g
funding the Medical Management Plan. After consultation with the Office of the B
Controller and the Executive Director for Operations, NMSS identified the GL program for reduction in order to satisfy Commission guidance to fund the g
Medical Management Plan.
5 NRC LACKS COMPLETE INFORMATION ON EVENTS INVOLVING LOSS OF BYPRODUCT MATERIAL CONTROL Regulations require that material licensees report to the NRC or an Agreement State when they have lost control of byproduct material. AEOD collects and reviews material event information to assess activities involving byproduct l
material. Systematic review of operational experience is essential to regulators and licensees for improving performance and protecting the health and safety of the public. NRC information indicates that many of the SLs who are inspected every l
4 or 5 years (primarily portable and fixed gauge users) are the licensees most likely to lose control of their material. Additionally, many GL devices are gauges with relatively high amounts of radioactive materials. When a licensee (SL or GL) l loses control, the material may be in either a protected or unprotected condition which could create a potential safety risk to the public.
AEOD prepares an annual report for nonreactors, which includes data and analysis about byproduct material events. Between 1987 and 1992, AEOD annual reports g
show a 110% increase in reports of sources that were lost or stolen. The vast 5
majority of these reported events come from SLs, even though there are about five times as many GLs also required to report lost events. Agreement States event E
reporting increased over 400% from 1990 through 1992. However, Agreement 5
States report less events than NRC licensees, even though the number of Agreement Stat:s licensees are about twice that of NRC licensees. Figure 1 E
illustrates event reports over the past 6-year period.2 g
AEOD information indicates that about 50% of lost source events reported by NRC licensees result in an " unknown" probable disposal of the material. AEOD 2"NRC Reports" and " Agreement State Rpts" combine to equal " Total Reports" " General Lic [NRC+AS]" reported events are included in the " Total Reports" values. General license events reported to Agreement States were clearly identified only in the 1991 AEOD Annual Report.
OlG/94A 14 Page 4 I_
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Actions to improve control or seated sources I
Lost Sources Analysis Total Reports g
Number of Reports I
200 172 161 M
150 n2 g __._._
1987 1988 1989 1990 1991 1992 Year
- Total Reports E Agreement State Rpts E NRC Reports M General Lic [NRC+ASl I
Figure 1 Source: AEOD Annual Reports, NUREG-1272, Volumes 2 to 7 (1987 to 1992), Number 2 I
reports do not indicate the potential risk associated with individual lost source events. Approximately 25% of the sources are found and much of the remainder I
are believed to have been disposed of in commercial waste, incinerators, or scrap metal facilities. Sources that have broken open or melted have contaminated incinerator or scrap metal facilities.
It has cost millions of dollars to I
decontaminate some of these sites. Figure 2 illustrates the probable disposal of Icst sources for event reports received by NRC.
NRC is working on improving lost source events information that is reported (and -
other material events such as misadministrations, overexposures, etc.), through a I
project to develop a new events database. NRC initiated a contract with the Idaho National Engineering Laboratory (INEL) to replace AEOD's databases with a new Material Events Database. INEL has created a new database structure to maintain information that is more integrated and detailed than AEOD's previous databases.
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Proaaae Disposa o" Events I
leportec to N1C (Well-Logging events not included) g Number of Lost Source Event Reports 58 120 l
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40 20 1987 1988 1989 1990 1991 1992 Year l
C NRC Reports M unknown E Found E Comm. Waste g
E Incinerator E Scrap Metal E Buried E Other Figure 2 Source: AEOD Annual Reports, NUREG-1272, Volumes 2 to 7 (1987 to 1992), Number 2 I
INEL is reviewing NRC information on past events dating from 1981, and will be responsible for updating the database with new events reported to NRC. The 3
database will include data on NRC and Agreement State license events. It may 5
also include additional information that state radiation safety agencies would like to monitor.
Page 6 OlG/94A-14 I
Actions to improve Control of Scaled Sources OlG also reviewed a report' by The International Atomic Energy Agency (IAEA)
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stating that IAEA was unable to estimate the number of spent, or lost, American sources. In 1989, the IAEA sent a questionnaire to Member States asking for information for setting up an international Waste Management Data Base.
According to the IAEA report, "No estimates at all were received from many countries, like Sweden and the USA, perhaps because they have no central register I
from which reliable numbers can easily be obtained." Additionally, the IAEA report stated that accidents involving spent scaled sources are usually recognized by chance, not by any systematic control measure. The I AEA report indicates that I
it is likely that there are other incidents in the United States that have not been recognized or reported.
I OBSERVATIONS I
During our survey about byproduct material licensee control and disposal of sealed sources and devices, we developed issues regarding NRC's information about GLs l
and events involving loss of material control. However, because of current NRC activities affecting these issues, we decided to terminate our survey without conducting additional audit field work.
Regarding the funding of the GL program, OIG recognizes that the distribution of agency resources to meet the agency's mission rests with NRC managers.
I However, for NRC to meet its mission, safety significant programs need funding.
As previously identified, NRC declared the GL program to be a safety significant area in necc' of greater attention. Therefore, the agency's re-direction of resources I
in FY 1994 appears to be inconsistent with funding the safety significant improvements in the GL program. A final agency decision on the GL program is scheduled for August,1994. At that time, we believe NRC might consider I
exploring alternative funding for improvements to the GL program. If not, we believe NRC will be implying that the safety significant need for the GL program improvements do not warrant expenditure of additional funds when compared with the safety significant needs of other programs.
1AEA-TECDOC-620, Nature and Macnitude of the Problem of Snent Radiation Sources, 3
September 1991.
OlG/94A 14 Page 7 l
_I Actions to Improve Control of Scaled Sources Additionally, information on GLs is currently maintained in a GL database system l
that was one of nine systems reviewed during a recent audit.' This audit identified that the agency has not followed Federal Information Resources g
Management Regulation,41 CFR Chapter 201, procedures in the past. We note 5
that NRC would need to perform a requirements analysis and an analysis of alternatives if the decision is made to proceed with enhancing the information m gI the GL database.
5I Based on our review of the AEOD and IAEA reports, we believe that NRC is g
likely to have incomplete information on the number of lost source events that 5
have occurred in the United States. Although reports of events have risen in the past years, it is possible that many events continue to occur and go unreported by g
NRC SLs and GLs and the Agreement States. The actual annual losses of W
byproduct material, and the potential harm to the public such material represents, is unknown and unpredictable.
NRC has initiated action to improve its information on events reported to it through the project with INEL. This new database will likely improve several problems that have been identified with AEOD's data in past audit reports by OIG and the U.S. General Accounting Office. However, in the previously mentioned audit report on NRC's information systems, OIG found that the information in one system containing event notifications and licensee event reports is essentially duplicated in three other agency systems. It would appear from this experience that the success of the new Materials Events Database will be dependent on its consistent use by all NRC offices, enhanced by the participation of Agreement States. OlG will monitor the implementation of the database and its effectiveness in providing useful information.
l We discussed the findings and observations provided in this report with NRC staff in a May 11, 1994 briefing. NRC management generally agreed with the information that we presented. As a result, this report was issued without receiving comments from NRC management. In the future, as warranted, OlG may initiate additional work in this area.
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'NRC's Information Systems Need Manacement Attention, OIG/93A-29, March 18,1994.
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' ppendix !
Actions to improve Control of.c.aled Sources I
OBJECTIVES, SCOPE, AND METHODOLOGY In February 1994, the Office of the Inspector General initiated a survey in the area of control and disposal of byproduct material contained in sealed sources and g
devices. Our purpose was to identify and evaluate any major problems in the U.S.
R Nuclear Regulatory Commission's (NRC) program management for ensuring that licensees exercise necessary precautions when using byproduct materials. In particular, we surveyed:
1.
How NRC verifies NRC material licensee compliance with the I
criteria for proper handling of byproduct material contained within sealed sources and devices; I
2.
How NRC evaluates the Agreement States' regulation of material licensees in handling byproduct material; and, l
3.
NRC data regarding material licensee incidents to become familiar with the degree of licensee adherence to material control requirements.
I To develop background information, we reviewed agency regulations, guidance documents, and staff communications to the Commission. We also reviewed l
Office for Analysis of Operational Data (AEOD) Annual Reports for Nonreactors from 1987 to 1992 and NRC budgeting documents for fiscal year 1994. We
!g interviewed staff in the Offices of Nuclear Material Safety and Safeguards 3
(NMSS), State Programs, AEOD, and Region III as part of our information gathering.
During our survey, we determined that current NRC activities underway could affect issues which we had initially targeted for more in-depth audit work. As a j
result, we decided to close out our activity in this area for the present. A briefing 5
on the information in this report was provided to the Director, NMSS and other staff on May 11, 1994. Because the information provided in that briefing was essentially the same as the information provided in this report, agency comments on this report were not requested.
Our review was conducted in accordance with generally accepted Government auditing standards. We performed our survey work from February through May 1994.
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I Appendix II I
Actions to Irnprove Control of Scaled Sources l
U.S. NRC FUNCTIONAL ORGANIZATION CHART I
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Executive Director for Operations
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Appendix 111 Actions to improve Control of Scaled Sources MAJOR CONTRIBUTORS TO THIS REPORT I
Anthony C. Lipuma, Team Leader I
Russell Irish, Senior Auditor I
Scott W. Buchan, Management Analyst I
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