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$$ 4 W l-MEMORANDUM FOR:
Ed Flack, OE John Hickey, Acting Chief, HMSS/IMNS/0B Justin Long, NMSS/IMNS/0B Donald Cool, NMSS/IMNS/0B Kathleen Black, AE0D/NAS John Buchanan, NRR/PRPB David Meyer, ARM /RPB FROM:
Anthony DiPalo, Section Leader Regulatory Analysis.Section Regulation Development Branch Division of Regulatory Applications, RES
SUBJECT:
REVISION OF 10 CFR 20.403 (NOTIFICATION OF INCIDENTS)
The attached draft proposed rule package has been prepared to clarify 10 CFR l
l20.403.
I would appreciate it if you would review the package and be prepared to discuss the proposed changes to the current rule at a meeting scheduled 1
l for.Thursdr.y, June 30, 1988 in White Flint North in room 7-B-15 at 1:30 p.m.
l The meeting is expected to last approximately one hour.
If you have any questions or wish to discuss the package prior to-the meeting, please contact Joe Mate on extension 23795.
~\\ P ToK An ony DiPalo, ection Leader l
Re tlatory Analy is Section Regulation Development Branch l
Division of Regulatory Applications, RES
Enclosure:
l As stated-l 9007060122 900626 55 19890 PDR l
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b [ D.3_ 3g MEMORANDUM FOR:
Victor Stello, Jr.
Executive Director for Operations FROM:
Eric S.
Beckjord, Director Office of Nuclear Regulatory Research
SUBJECT:
Notifications of Incidents Attached for your signature is a Federal Register Notice (Enclosure 1) amending 10 CFR 20.403, " Notifications of Incidents".
This action is being taken in response to a request for a rule change that was received from the Director of the Office of Enforcement (Enclosure 2).
The purpose of the proposed rule change is to clarify: 1) licensee reporting requirements of those events involving
" loss of operation and damage to property" and 2) to clarify the term "immediate" in the context of time.
Under 10 CFR 20.403, the NRC has established' specific parameters for licensees to report any events involving byproduct, source, or special nuclear material possessed by the licensee that may have caused or threatens to cause:
exposure to an individual beyond specific limits, the release of radiation in specific concentrations, the loss of workdays or operation of facilities, or a certain level of damage to property.
The reporting of these incidents may require immediate notification or may require notification within twenty-four hours depending on the circumstances of the incident.
Based on the staff's knowledge, it appears that many incidents are not being reported to NRC because of the lack of clarity in the existing regulations.
While sections (a) and (b) of) 20.403 are clear in terms of licensee reporting requirements for events involving exposure and release of radioactive material, these same sections are not clear regarding the loss of operation and damage to property.
This lack of clarity has caused several incidents to go unreported to NRC.
The other change in this proposed rulemaking is to define the term "immediate" in the context of time.
There are no alternatives available to NRC for clarifying these
. reporting requirements other than by rulemaking.
A Daily Staff Notes entry indicating that the EDO has signed this rule is enclosed (Enclosure 3).
Congressional committees are not being notified and a public announcement will not be issued.
Eric S. Beckjord, Director Office of Nuclear Regulatory Research
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' Approved ~for Publication The Commission has delegated to the EDO (10 CFR 1.40(c) and
-(d)).the authority to develop and promulgate rules as
' defined in the APA (5 U.S.C.
551 (4)) subject to the-limitations in:NRC Manual Chapter 0103, Organisation and-
- r Functions, Office of the Executive Director for Operations, 3
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' paragraphs 0213,1038, 039, and 0310.
.The enclosed proposed rule entitled " Notifications of Incidents" will amend 10 CFR Part 21 by revising 10 CFR
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20'.403 to clarify events involving s.he loss of-operation'and.
damage to-property.
In addition, the term "immediate" in section-(a) is defined in the context of? time.
- The proposed rule does not constitute a significant question of policy, nor does it amend regulations contained in 10 CFR Parts 7, 8, or 9 Subpart C concerning matters of policy.
I therefore find _that this rule'is within the scope.of my 3
rulemaking authority and-am proceeding to issue it.
Date Victor Stello Jr.
Executive Director for Operations
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(NCLOSURE
.s NUCLEAR REGULATORY COMMISSION 10 CFR PART 20 Notifications of Incidents AGENCY:
Nuclear Regulatory Commission ACTION:
Proposed Rule.
SUMMARY
The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations regarding Notifications of Incidents. While' sections (a) and (b) ofg 20.403 are clear in terms of licensee reporting requirements for events involving exposures and releases of radioactive materials, these' sections are not clear for events involving the loss of operation and damage to property.
Loss of operation will be clarified in terms of the use of the facility, devica, or equipment; damage to property will be clarified to include contamination cleanup.
In. addition, the term "immediate" in section 403.a will be-defined in the context of time.
This action is needed because NRC is not being notified in all cases where incidents occur involving byproduct, source, or special nuclear material possessed by the licenseo. This amendment will clarify 10 CFR 20.403 and applies to all licensees subject to 10 CFR 20.
DATE:
The comment period expires Comments received after this date will be considered if it is
L practical to do so, but the Commission is able to assure consideration only for comments received on or before this date.
e ADDRESSES:
Mail written comments to: Secretary, U.S. Nuclear Regulatory Commission, Washington D.C.
20555,-Attention:
Docketing and Service Branch.
Deliver comment's to Room 1121, 1717 H Street, N.W.,
-Washington D.C.'between 7:30 A.M. and 4:15 P.M. on Federal workdays.
FOR FURTHER INFORMATION CONTACT:
Joseph J. Mate, Division of Regulatory Applications, Office of Nuclear Regulatory Research, Nuclear Regulatory. Commission, Washington D.C.,
20555, telephone (301) 492-3795.
SUPPLEMENTARY INFORMATION:
Background
1 Proposed Action Finding of No Bignificant Environmental Impact Paperwork Reduction Act Statement Regulatory Analysis Regulatory Flexibility Certification Backfit Analysis List of Subjects l
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Background
Under 10 CFR 20.403 the Nuclear Regulatory Commission (NRC) has established specific parameters for licensees to report events involving byproduct, source, or special nuclear material.
Reporting of events is-required when such material
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may have caused or threatens to cause: the exposure beyond certain limits to an individual, the release of radiation in specific concentrations, the loss of work days or the operation of facilities, or a certain level of damage to property.
The reporting of incidents under certain conditions may require immediate notification while under other conditions, reporting of the incident-is required within twenty-four hours of discovery of the event.
It appears that many incidents'are not currently being reported because of the lack of clarity in the existing regulation.
For example in a recent escalated enforcement case, Comdustrial Roofing Contractors, Inc., there were differing opinions within the NRC staff regarding 10 CFR 20.403(b)(3) on whether or not a violation of reporting requirements should be cited.
The Office of Enforcement reports that these types of cases appear to be a recurrit.g problem.
In another recent case involving the cleanup of americium contaminated facilities at Wright Patterson Air Force Base, the licensee failed to report the incident to NRC claiming that there was no applicable reporting requirement
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r in-20.403. 1This case was the subject of a Senate Hearing in' November of 1987.-
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~ As.a' result of incidents such as.the ones cited above-
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Lthe NRC' staff?(Office of Nuclear Material Safety and y
Safeguards (NMSS), OfficeLof Enforcement,(OE), Office of i
DGe'neral Counsel,-(OGC), and the Office of Nuclear Regulatory-r c['Research.(RES))havereviewedPart20, Section 403 and have f
determined that a minor rulemaking to amend Section 403.is
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Proposed Action t
While Sections (a) and (b) of 20.403 are clear'in terms of licensee reporting requirements for events involving
'"exposuren" and " releases" of radioactive material.these
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-Sections sre not clear with respect to eveats involving " lose of operation" and " damage-to property".
The. lack of clarity
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in 'eporting requirements has' caused-many incidents involving
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- d~mageLar.d contamination of licensed material and facilities 1
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1 not'to be reported to the NRC or to be reported later than
' required by current regulations.
- l The purpose of this proposed rule change is to focus on
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-clarifying the reporting requirements of 10 CFR 20.403 involving the loss of operation and damage to property.
In addition, the term "immediate" as used in section (a) will be
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defined;in the context of time.
There are no other t
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' alternatives available to NRC for clarifying the reporting j
' requirements of Section 20.403 other than through rulemaking.
L Finding of No'Significant Environmental Impact I
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The NRC has determined that this proposed rule is the type of. action described (in categorical exclusion 10 CFR 51.22 (c)(3).. Therefore an environmental impact statement
'I and an environmental assessment are not necessary for this s
proposed rule change.
Paperwork Reduction.Act Statement-
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-t This proposed rule does not cont'in a new or amended a
information. collection requirement subject to the Paperwork-Reduction'Act'of-1980 (44 U.S.C. 3501 et' seq.)
Existing
- requirements were approved by the Office of Management a,nd-t Budget approval number 3150-L.
I Regulatory Analysis L
.A regulatory analysis was not prepared for this proposed 1^
change to 10 CFR 20.403 since this change is intended as a clarification of an existing reporting requirement already in place in the regulation.
No new reporting requirements are being generated and no added costs are anticipated.
- Hence, ithe economic impact on the licensees has not changed.
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I Regulatory Flexibility Certification H
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H As required by-the Regulatory Flexibility Act of 1980, 5 m
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U.S.C.'605 (b), the Commission' certifies t' tat this rule, if
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adopted, will not have a significant economic impact upon a h
substantial-number of.small entities.
The-proposed rule-p affects about 10,000 specific licensees under 10 CFR Parts g
30-35, 40,l50,L60, 61, 70, 71, and 72. 'The large majority of k
-these licensees could be considered to be small entities.
particularly in the area of materials licensing under Parts 30-35.- The annuel record keeping burden imposed by the proposed rule will not be increased for these licensees.
L Any small entity subject to this regulation which determines'that, because of its size, it is likely to bear a
-disproportionate adverse economic impact should notify the Commission of this in a comment that indicates the following:
(a')
The licensee's sico and how the proposed regulation would result in a significant economic burden upon the 0
licensee as compared to the economic burden on larger licensees; (b)
How the proposed regulation could be modified to
,tako into account the licensee's differing needs or capabilities.
(c)
The benefits that would accrue, or the detriments that would be avoided, if the proposed regulations were modified as suggested by the licenseo.
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(d)
How the proposed regulation, as modified,-would more closely. equalize the. impact of NRC regulations ~or create
- more equaluaccess to the benefits of Federal programs as-l
- opposed to providing special advantages to any. individual or is
- group, i
(e)
How the proposed regulation, as modified, would L
still adequately protect public' health and safety.
Backfit Analysis a
'i The NRC has' determined that the backfit rule, 10 CFR L
I 50 109,does: not apply' to this proposed rule, and therefore, 'a 4
backfit analysis'is not required for this proposed rule-because these amend'ments do not involve any provisions.which t
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- would. impose backfits as defined in 10 CFR;50.109 (a)(1).
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List of Subjects in 10 CFR Part 20 s
s Byproduct material, Licensed material, Nuclear materials.,Nuc1' ear power plants and reactors, Occupational safety and health, Packaging and containers, Penalty, i
Radiation protection,' Reporting and recordheeping requirements, Special nuclear material, Source material,
. Waste treatment and disposal.
For the reasons set out in the preamble and under the 3
authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act.of 1974, as amended, and 5 U.S.C.
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553, th~ NRC is proposing-to adopt-the following amendments to 10'CFR Part 20'.
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.i PART 20.- STANDARDS FOR PROTECTION AGAINST RADIATION 1
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The authority citation for Part 20 continues to read' as follows: Authority : Sections 53, 63, 65, 81, 103, 104,.
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'i 161, 68 Stat. 930, 933, 935,~936, 937, 948, as' amended-(42 U.S.C. 2073, 2093, 2095, 2111, 2133, 2134, 2201); secs. 201,
'as amended, 202, 206, 88 Stat. 1242, as amended,'1244,-1246
'(U;S.C. 5841. '842, 5846).
For the purposes of sec. 223, 68 Stat. 958, as amended r
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-(42 U.S.C. 2273);
20.101, 20.102 20.103(a), (b), and (f),
y 20.104 (a) and (b), 20.105 (b), 20,106~(a),-20.201, 20.202 (a),=20.205, 20.207, 20.301, 20.303, 20.304, and 20.305 are issued under sec. 16?b, 68 Stat. 948, as amended (42 U.S.C.
j 2201.(b).);'and
'20.102,.20.103 (e), 20.401-20.407, 20.408-(b) and 20.409 are issued under sec. 161o. 68 Stat. 950, as amendedE(42 U.S.C. 2201 (o)).
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2.
In 20.403, paragraphs (a) through (d) are revised to read as follows:
1 (a)
(Revised) Immediate Notification is amended as r
1follows: Immediate Notification.
Each licensee shall immediately,~andyininoicase7 1stertthannone hour:after' JdiscoveryfofitheLevent, report any event involvingolicensed b __
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material possessed by the licensee that may have caused or-
' threatens to cause:
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(Revised)
A loss of one working week or more &of +go odAL,I.
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[thof usebor operation of --any?:deviceyequipme, t4. oom uilding4 I
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"!inLwhich k:licensedimaterialfis. used. or -stored;I or 5^#
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(Itevloed)
.0Liwn===:: 'suchzt at, the sum of (i) c.c nw. rec l'A m u a M ay gl a t.
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og idamen>OnciLar.y?deviney equipment,groomp or building::,in which-
%11censedimaterial.<ismused;or. stored ande(id), required;
[decontaminatdon.L % % b pF snd dispochl:c6uld reasonably be!
f 3).pbe te/d; to Jxc. ed 3200,000.
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(1)
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(3)
(Revised)
A loss of one day or more ofsthe use,orz R
j operation (of6any-dovice,Lequipmngroom,ortbuilding,.,inwhich.
D11 censed materialiistused.or store ; or
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i Damage to eguipmentfor devices (4)
(Revised) v Toontaining licensedsmaterial that could. reasonably be j
AND T0 (expected to exceed $2,000 K require decontamination, iclean-up,uand-disposal:.:resulting from such damage that could" ireasonable be: expected to cost in excess'~of $2,000,; or
.(Added)-..Any decontamination or cleanup activity 7
(5)
Ethat.; takes more-than-12: hours to complete from theztime'the; TactivityLis initiated.L:This:. requirement does not-apply.to a' (holderFoffan. operating: license fer.:aanuelear power plant..
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(d)
(1) 1 (2) 1 Dated at Rockville, Maryland, this day of
-1988.
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l For the Nuclear Regulatory Commission.
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I Victor Stello, Jr.
Executive Director for Operations.
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