ML20236K716
| ML20236K716 | |
| Person / Time | |
|---|---|
| Issue date: | 01/30/1987 |
| From: | Grace J NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II) |
| To: | Heltemes C NRC OFFICE FOR ANALYSIS & EVALUATION OF OPERATIONAL DATA (AEOD) |
| Shared Package | |
| ML20236K265 | List:
|
| References | |
| FOIA-87-377 NUDOCS 8708070230 | |
| Download: ML20236K716 (33) | |
Text
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b CM 6 50-jas Cu UNITED STATEh
[$p) 4 NUCLEAR REGULATORY COMMISSION i
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,j 101 MARIETTA STREET,N.W.
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January 30, 1987 MEMORANDUM FOR:
Clemens J. Heltemes, Jr., Director, Office for Analysis and Evaluation of Operational Data g
J. Nelson Grace, Regional Administrator FROM:
SUBJECT:
ABNORMAL OCCURRENCE REPORT TO CONGRESS FOR THIRD QUARTER CY 1986 As requested by your memorandum dated January 14, 1987, the Region II staff has reviewed the applicable sections of the Draft Third Quarter CY 1986 Abnormal l
Occurrence Report to Congress which are related to Region II licensees and we concur with the contents of this report.
I If you should have any questions, phase advise.
$e 1
V J. Nelson Grace s
l CONTACT:
K. Landis FTS:
242-5509 8708070230 87004 PDR FOIA GORDON87-377 PDR
l 2
-g A0 REPORTING MEETING DATE:
TUESDAY, NOVEMBER 18, 1986 TIME:
9:00AM-4:00PM LOCATION:
CONFERENCE ROOM 465 EAST WEST / SOUTH TOWER BUILDING 4340 EAST WEST HIGHWAY BETHESDA, MARYLAND 20814
}.
INTRODUCTORY REMARKS (JACK HELTEMES, DIRECTOR, AE0D)
A.
MEETING PRESENTATIONS BY PAUL BOBE, AEOD A0 PROJECT MANAGER, AND JACK CROOKS, CHIEF, DATA MANAGEMENT SECTION OF THE AEOD PROGRAM TECHNOLOGY BRANCH.
B.
BENEFITS FROM A0 PROGRAM 1.
COMPLIANCE WITH LAW 2.
WIDELY USED IN RESPONSE TO:
A.
CONGRESSIONAL INQUIRIES B.
PUBLIC ll.QUIRIES C.
INTERNATIONAL INQUIRIES 3.
IMPACTS:
A.
INDUSTRY ATTITUDES B.
AGENCY PERFORMANCE C.
AGENCY'S PUBLIC IMAGE 4.
PROVIDES EDO AND COMMISSION FEEDBACK
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II.
MEETING PUT30SES
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\\
A.
REVIEW PROGRAM OPERATIONS TO:
t i
1.
IMPROVE CONSISTENCY OF REPpRTIN6' c(
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2.
IMPROVE IIMELINESS AND QUALITY OF REPORTING 3.
REDUCE RESOURCES ggg 4.
DISCUSS QUESTIONS CONCERNING THE PROGRAM B.
NEED FOR THO.ABOVE:
1.
PROGRAM IS INTO ITS 12TH YEAR A
2.
LARGE TURNOVER IN A0 COORDINATORS
\\
i 3.
OCCASIONAL DISPUTES REGARDiNG THE THRESHOLD FOR REPORTING CERTAIN EVENis 4.
LONG TIMES ENCOUNTERED li.! IDENTIFYING POTENTIAL AOS AMD PROCESSING THEM i
5.
UNEVEN QUALITY (CONTENT) 0F EVENT WRITEUPS 6.
PERSONNEL RESOURCES EXPENDED ARE SIGNIFICANT
{. A0 REPORTING Hi, STORY A. B$CKGROUND
- 1.
PRIOR T0_2/75 (AEC) 1 A. ALL EVENTS, NOW KNOWN AS LICENSEE EVENT \\ REPORTS (LERS), WERE THEN CALLED ABNORMAL ' OCCURRENCES. c g L --
I (1) THOUSANDS Oc EVENTS WERE REPORTED, I BUT ONLY A SMALL PERCENTAGE WERE SIGNIFICANT TO PUBLIC HEALTH OR l
- SAFETY, B.
CONGRESS PASSED ENERGY REORGANIZATION ACT OF 1974. { (1) FORMED THE NRC. (2) SECTION 208 0F THE ACT: i (A) REQUIRED QUARTERLY REPORT OF ABNORMAL OCCURRENCES (AOS) TO I BE SUBMITTED TO CONGRESS. { l (B) DEFINED AN A0 AS AN UNSCHEDULED INCIDENT OR EVENT l?HICH THE COMMISSION DETERMINES IS l SIGNIFICANT FROM THE STANDPOINT j OF PUBLIC HEALTH OR SAFETY. l l (C) REQUIRED WIDE PUBLIC DISSEMINATION OF CUCH AOS. C. LEGISLATIVE HISTORY OF SECTION 208 (1) HOUSE (2) SENATE (3) CONFERENCE
2. 1975 AND AFTER (NRC) A. AS A RESULT OF SECTION 208, IT WAS NECESSARY TO: (1) INFORM LICENSEES TO NO LONGER USE THE TERM " ABNORMAL OCCURRENCES" FOR REPORTS TO BE SUBMITTED TO THE NRC. l l (2) DEVELOP CRITERIA TO DETERMINE WHICH EVENTS SHOULD BE DESIGNATED AS AOS. 1 (3) DEVELOP PROCEDURES FOR PROCESSING AOS AND DISSEMINATING THEM TO THE PUBLIC. l I J B. DEVELOPMENT OF A0 CRITERIA AND POLICY STATEMENT 1. INTERIM A0 CRITERIA (JULY 1975) A. THE STAFF DEVELOPED A MATRIX OF EVENT TYPES FOR COMMISSION REVIEW, AND THE COMMISSION APPROVED IN JULY 1975 AN INTERIM SET OF A0 CRITERIA TO BE USED l UNTIL EXPERIENCE WAS ACCUMULATED. THESE i WERE: (1) EVENTS INVOLVING AN ACTUAL LOSS OF PROTECTION PROVIDED FOR PUBLIC HEALTH OR SAFETY, E.G., (A) SIGNIFICANT EXPOSURE T0, OR RELEASE OF, LICENSED MATERIAL. (B) SUBSTANTIAL LOSS OF CONTROL OVER LICENSED MATERIAL.
i l (2) EVENTS INVOLVING MAJOR REDUCTION IN THE DEGREE OF PROTECTION PROVIDED FOR PUBLIC HEALTH OR SAFETY, E.G., (A) MODERATE EXPOSURE TO, OR RELEASE OF, LIC'.'NSED MATERIAL. (B) FAILURE OF KEY SfFETY-RELATED EQUIPMENT WHEN REQUIRED TO PERFORM DURING OPERATION. B. A SET OF TYPICAL EXAMPLES OF EVENTS WHICH COULD BE AOS WERE ALSO DEVELOPED. C. THE INTERIM A0 CRITERIA, AND EXAMPLES, WERE USED FOR THE FIRST SIX A0 REPORTS I TO CONGRESS. (THE A0 REPORT SERIES IS DESIGNATED AS NUREG-0090.) D. BASED ON EXPERIENCE, AND A MORE SYSTEMATIC APPROACH, A REVISED SET OF A0 CRITERIA, AND EXAMPLES, WERE DEVELOPED FOR COMMISSION APPROVAL. 2. REVISED A0 CRITERIA (APPROVED BY THE COMMISSION IN DECEMBER 1976 AND STILL IN USE). A. TO DETERMINE A REASONABLE A0 REPORTING THRESHOLD, THE STAFF MODIFIED THE MATRIX OF EVENT TYPES WHICH CONSISTED OF FIVE CATEGORIES IN DECREASING SIGNIFICANCE. l
THESE ARE SHOWN IN FIGURE 1. A SERIES OF TYPICAL EVENT EXAMPLES WERE ALSO DEVELOPED FOR EACH CATEGORY. SELECTING A GIVEN CATEGORY FOR THE A0 REPORTING THRESH 0LD WOULD INCLUDE NOT ONLY ALL EVENTS IN THAT CATEGORY, BUT ALSO ALL EVENTS IN THE HIGHER CATEGORIES OF SIGNIFICANCE. B. CATEGORY B WAS PROPOSED BY THE STAFF AS A REASONABLE A0 REPORTING THRESHOLD;'THE i l COMMISSION APPROVED IN DECEMBER 1976. C. THE SELECTED CRITERIA, AND THE TYPICAL l EVENT EXAMPLES (SHOWN IN FIGURES 2A AND 2B, RESPECTIVELY) WERE PUBLISHED AS AN ) NRC POLICY STATEMENT IN THE FEDERAL I REGISTER ON FEBRUARY 24, 1977 (42 FR 10950). D. THE CRITERIA, AND THE EVENT EXAMPLES, CONSTITUTE APPENDIX A IN EVERY EDITION OF THE A0 QUARTERLY REPORTS TO CONGRESS (NUREG-0090 SERIES). E. THE EVENT EXAMPLES ARE NOT ALL INCLUSIVE. EVENTS OF EQUIVALENT IMPORTANCE SHOULD ALSO BE REPORTED AS AOS.
l FIGURE 1 MATRIX OF EVENT TYPES IN ORDER OF DECREASING SIGNIFICANCE CATEGORY A CATEGORY B SUBSTANTIAL ACTUAL OR MODERATE ACTUAL OR POTENTIAL IMPACT ON POTENTIAL IMPACT ON PUBLIC HEALTH OR SAFETY PUBLIC HEALTH OR SAFETY LOSS OF PROTECTION MAJOR REDUCTION IN DEGREE OF PROTECTION EVENTS INVOLVING AN ACTUAL EVENTS INVOLVING MAJOR LOSS OF THE PROTECTION REDUCTION IN THE DEGREE PROVIDED FOR THE HEALTH OR OF PROTECTION PROVIDED SAFETY OF THE PUBLIC. FOR THE HEALTH OR THIS INCLUDES: SAFETY OF THE PUBLIC. 1 . SUBSTANTIAL EXPOSURE . MODERATE EXPOSURE TO, T0, OR RELEASE OF, OR RELEASE OF, LICENSED MATERIAL. LICENSED MATERIAL.
1 l FIGURE 1 (CONT'D.) 1 CATEGORY A CATEGORY B . SUBSTANTIAL LOSS OF . MAJOR DEGRADATION OF REGULATORY CONTROL OVER ESSENTIAL SAFETY-l LICENSED MATERIAL. RELATED EQUIPMENT. . MAJOR DEFICIENCIES INVOLVING DESIGN, CONSTRUCTION OR USE { OF (OR IN MANAGEMENT CONTROLS FOR) LICENSED FACILITIES OR MATERIAL. 1 i l
FIGURE 1 (CONT'D.) l ~ l CATEGORY C CATEGORY D l LITTLE ACTUAL OR POTENTI AL IMPACT ON PUBLIC HEALTH OR SAFETY MODERATE REDUCTION MINOR REDUCTION IN DEGREE OF PROTECTION IN DEGREE OF PROTECTION EVENTS INVOLVING MODERATE EVENTS INVOLVING MINOR REDUCTION IN THE DEGREE OF REDUCTION IN THE DEGREE PROTECTION PROVIDED FOR OF PROTECTION PROVIDED THE HEALTH OR SAFETY OF FOR THE HEALTH OR SAFETY THE PUBLIC. OF THE PUBLIC. l l
i FIGURE 1 (CONT'D.) CATEGORY C CATEGORY D . SMALL EXPOSURE TO, OR , MINOR EXPOSURE TO, OR RELEASE OF, LICENSED RELEASE OF, LICENSED MATERIAL. MATERIAL. . FAILURE OF GAFETY-FAILURE OF SAFETY-RELATED EQUIPMENT TO RELATED EQUIPMENT OPERATE. DURING TESTS. REDUCTION IN REDUN-DANCY OR DIVERSITY PROVIDED IN PROTECTION FROM RADIOACTIVE MATERIAL. ) . MODERATE DEFICIENCIES.
1 i i FIGURE 1 (CONT'C.) CATEGORY E l l LITTLE ACTUAL OR POTENTIAL IMPACT ON PUBLIC HEALTH OR SAFETY (CONT.) l i l OTHER EVENTS OF HIGH PUBLIC INTEREST l l l EVEtlTS THAT DO NOT HAVE DIRECT IMPACT ON THE HEALTH OR SAFETY 0F THE PUBLIC, BUT ARE OF CONCERN TO INTERESTED OBSERVERS. . UNUSUAL EXPOSURE T0, OR RELEASE OF, LICENSED MATERIAL. . OTHER EVENTS OF INTEREST.
FIGURE 2A REVISED A0 CRITERIA AN EVENT WILL BE CONSIDERED AN ABNORMAL OCCURRENCE IF IT INVOLVES A MAJOR REDUCTION IN THE DEGREE OF PROTECTION OF THE PUBLIC HEALTH OR SAFETY, SUCH AN EVENT WOULD INVOLVE A 1 MODERATE OR MORE SEVERE IMPACT ON THE PUBLIC HEALTH OR SAFETY AND COULD INCLUDE BUT NEED NOT BE LIMITED TO: ) 1 1. MODERATE EXPOSURE T0, OR RELEASE OF, RADIOACTIVE l MATERIAL LICENSED BY OR OTHERWISE REGULATED BY THE COMMISS!cW; 2. MAJOR DEGRADATION OF ESSENTIAL SAFETY-RELATED EQUIPMENT; l OR 3. MAJOR DEFICIENCIES IN DESIGN, CONSTRUCTION, USE OF, OR MANAGEMENT CONTROLS FOR LICENSED FACILITIES OR MATERIAL, FIGURE 28 A0 EXAMPLES FOR ALL LICENSEES 1. EXPOSURE OF THE WHOLE BODY OF ANY INDIVIDUAL TO 25 REMS OR MORE OF RADIATION; EXPOSURE OF THE SKIN OF THE WHOLE BODY OF ANY INDIVIDUAL TO 150 REMS OR MORE OF RADIATION; OR EXPOSURE OF THE FEET, ANKLES, HANDS OR FOREARMS OF ANY INDIVIDUAL TO 375 REMS OR MORE OF RADIATION (10 CFR 920.403(A)(1)), OR EQUIVALENT EXPOSURES FROM INTERNAL SOURCES.
1 I \\ l 2. AN EXPOSURE TO AN INDIVIDUAL IN AN UNRESTRICTED AREA I SUCH THAT THE WHOLE-BODY DOSE RECEIVED EXCEEDS 0,5 REM IN ONE CALENDAR YEAR (10 CFR S 20.105 (A)). l l 3. THE RELEASE OF RADIOACTIVE MATERIAL TO AN UNRESTRICTED AREA IN CONCENTRATIONS WHICH, IF AVERAGED OVER A PERIOD OF 24 HOURS, EXCEED 500 TIMES THE REGULATORY LIMIT OF l APPENDlX B, TABLE II, 10 CFR PART 20 (10 CFR 9 20,403(B)). t l 4. RADIATION OR CONTAMINATION LEVELS IN EXCESS OF DESIGN i VALUES ON PACKAGES, OR LOSS OF CONFINEMENT OF RADI0 ACTIVE MATERIAL SUCH AS (A) A RADIATION DOSE RATE OF 1,000 MREM PER HOUR THREE FEET FROM THE SURFACE OF A PACKA'GE CONTAINING THE RADIOACTIVE MATERIAL, OR (B) RELEASE OF RADI0 ACTIVE MATERIAL FROM A PACKAGE IN AMOUNTS GREATER THAN THE REGULATORY LIMIT, 5. ANY LOSS OF LICENSED MATERIAL IN SUCH QUANTITIES AND UNDER SUCH CIRCUMSTANCES THAT SUBSTANTIAL HAZARD MAY ) RESULT TO PERSONS IN UNRESTRICTED AREAS, 6. A SUBSTANTIATED CASE OF ACTUAL OR ATTEMPTED THEFT OR DIVERSION OF LICENSED MATERIAL OR SABOTAGE OF A
- FACILITY, 7,
ANY SUBSTANTIED LOSS OF SPECIAL NUCLEAR MATERIAL OR ANY SUBSTANTIATED INVENTORY DISCREPANCY WHICH IS JUDGED TO BE SIGNIFICANT RELATIVE TO NORMALLY EXPECTED PERFORMANCE
AND WHICH IS JUDGED TO BE CAUSED BY THEFT OR DIVERSION OR BY SUBSTANTIAL BREAKDOWN OF THE ACCOUNTABILITY SYSTEM. 8. ANY SUBSTANTIAL BREAKDOWN OF PHYSICAL SECURITY OR MATERIAL CONTROL (I.E., ACCESS CONTROL, CONTAINMENT, OR ACCOUNTABILITY SYSTEMS) THAT SIGNIFICANTLY WEAKENED THE PROTECTION AGAINST THEFT, DIVERSION OR SABOTAGE. 9. AN ACCIDENTAL CRITICALITY (10 CFR 970.52(A)). 10. A MAJOR DEFICIENCY IN DESIGN, CONSTRUCTION OR OPERATION HAVING SAFETY IMPLICATIONS REQUIRING IMMEDIATE REMEDIAL ACTION. 11. SERIOUS DEFICIENCY IN MANAGEMENT OR PROCEDURAL CONTROLS IN MAJOR AREAS. 12. SERIES OF EVENTS (WHERE INDIVIDUAL EVENTS ARE NOT OF MAJOR-lMPORTANCE), RECURRING INCIDENTS, AND INCIDENTS WITH IMPLICATIONS FOR SIMILAR FACILITIES (GENERIC INCIDENTS), WHICH CREATE MAJOR SAFETY CONCERN. 1 FOR COMMERCIAL NUCLEAR POWER PLANTS l 1. EXCEEDING A SAFETY LIMIT OF LICENSE TECHNICAL SPECIFICATIONS (10 CFR S50.36(C)). 1 1 1
1 f l 2. MAJOR DEGRADATION OF FUEL INTEGRITY, PRIMARY COOLANT PRESSURE BOUNDARY, OR PRIMARY CONTAINMENT BOUNDARY. I 3. LOSS OF PLANT CAPABILITY TO PERFCRM ESSENTIAL SAFETY l FUNCTIONS SUCH THAT A POTENTIAL RELEASE OF RADI0 ACTIVITY l IN EXCESS OF 10 CFR PART 100 GUIDELINES COULD RESULT l FROM A POSTULATED TRANSIENT OR ACCIDENT (E.G., LOSS OF l EMERGENCY CORE COOLING SYSTEM, LOSS OF CONTROL R0D l SYSTEM). I 4. DISCOVERY OF A MAJOR CONDITION NOT SPECIFICALLY CONSIDERED IN THE SAFETY ANALYSIS REPORT (SAR) OR TECHNICAL SPECIFICATIONS THAT REQUIRES IMMEDIATE REMEDIAL ACTION. 5. PERSONNEL ERROR OR PROCEDURAL DEFICIENCIES WHICH RESULT l IN LOSS OF PLANT CAPABILITY TO PERFORM ESSENTIAL SAFETY FUNCTIONS SUCH THAT A POTENTIAL RELEASE OF RADIOACTIVITY IN EXCESS OF 10 CFR PART 100 GUIDELINES COULD RESULT FROM A POSTULATED TRANSIENT OR ACCIDENT (E.G., LOSS OF EMERGENCY CORE COOLING SYSTEM, LOSS OF CONTROL ROD SYSTEM). EOR FUEL CYCLE LICENSEES 1. A SAFETY LIMIT OF LICENSE TECHNICAL SPECIFICATIONS IS l EXCEEDED AND A PLANT SHUTDOWN IS REQUIRED (10 CFR S 50.36(C)). l
2. A MAJOR CONDITION NOT SPECIFICALLY CONSIDERED IN THE } SAFETY ANALYSIS REPORT OR TECHNICAL SPECIFICATIONS THAT REQUIRES IMMEDIATE REMEDIAL ACTION. 3. AN EVENT WHICH SERIOUSLY COMPROMISED THE ABILITY OF A CONFINEMENT SYSTEM TO PERFORM ITS DESIGNATED FUNCTION,
) C. OTHER EVENTS REQUIRED TO BE REPORTED BY THE COMMISSION AFTER APPROVAL OF THE A0 CRITERIA AND EXAMPLES, THE l COMMISSION HAS REQUESTED OTHER TYPES OF EVENTS TO ] BE REPORTED EITHER TO THEM OR 'r0 CONGRESS. J 4 1. "OTHER EVENTS OF INTEREST" (APPENDIX C" EVENTS) ) { i (A) THESE ARE EVENTS'WHICH THOUGH NOT AOS, l l MAY BE PERCEIVED BY THE PUBLIC TO BE OF l PUBLIC HEALTH OR SAFETY SIGNIFICANCE. l i (B) GUIDELINES FOR SELECTING SUCH EVENTS WERE DEVELOPED (INCLUDED IN PART 111 0F NRC APPENDIX 0212), l l (C) THE EVENTS ARE INCLUDED JN APPENDIX C OF THE A0 QUARTERLY REPOPTS TO CONGRESS, 2. "0THER EVENTS CONSIDERED FOR A0 REPORTING" 1" ENCLOSURE 3" EVENTS) (A) THESE ARE EVENTS WHICH WERE SERIOUSLY CONSIDERED FOR A0 REPORTING, BUT REJECTED i AFTER FURTHER STUDY. (B) GUIDELINES FOR SELECTING SUCH EVENTS WERE DEVELOPED (INCLUDED IN PART IV 0F NRC APPENDIX 0212), i 1
(C) THE EVENTS ARE ATTACHED AS AN ENCLOSURE TO THE COMMISSION PAPERS FORWARDING THE l QUARTERLY A0 REPORTS TO THE COMMISSION ) FOR APPROVAL. D. AOS AT AGREEMENT STATE LICENSEES 1. THE AGREEMENT STATE AGENCIES SCAN THEIR LICENSEES' REPORTS AND SELECT AOS USING THE SAME A0 CRITERIA AND EXAMPLES AS THE NRC, i 2. THE AGENCIES SEND A0 WRITEUPS TO THE NRC, 3. IF WE AGREE THEY MEET THE AO CRITERIA, THE AOS ARE INCLUDED IN THE QUARTERLY A0 REPORTS TO CONGRESS. E, MEDICAL MISADMINISTRATION AS AOS (JUNE 1984) 1, 10 CFR PARTS 35,41 - 35,45 BECAME EFFECTIVE AFTER THE A0 CRITERIA AND EXAMPLES WERE DEVELOPED, 2. FEW OF THE A0 CRITERIA AND EXAMPLES WERE DIRECTLY APPLICABLE FOR SUCH EVENTS, 3. SPECIAL GUIDELINES FOR SELECTING WHICH SUCH EVENTS SHOULD BE AOS WERE DEVELOPED BY THE STAFF AND APPROVED BY THE COMMISSION IN JUNE
- 1984, GENERALLY, THE REPORTING THRESHOLDS ARE BASED ON THE DIFFERENCE BETWEEN INTENDED
AND ACTUAL DOSES, OR ADVERSE HEALTH EFFECTS GREATER THAN EXPECTED HAD THE INTENDED DOSE BEEN GIVEN. THE GUIDELINES ARE INCLUDED IN PART II 0F NRC APPENDIX 0212. IV. A0 REPORTING PROCESS A. FORMAL STAFF PROCEDURES AND GUIDELINES 1. MANUAL CHAPTER NRC-0212 AND NRC APPENDIX 0212 l A. DEFINES STAFF OFFICE RESPONSIBILITIES FOR IDENTIFYING AND PROCESSING AOS THROUGH THE COMMISSION. THE LATEST EDITION OF THE MANUAL CHAPTER WAS ISSUED JULY 18, 1984. B. ALSO PROVIDES GU]DELINES FOR SELECTING AND PROCESSING: (1) MEDICAL MISADMINISTRATION AS AOS. 4 (2) "0THER EVENTS OF INTEREST" (" APPENDIX C" EVENTS). (3) "0THER EVENTS CONSIDERED FOR AO l l l REPORTING" (" ENCLOSURE 3" EVENTS). l l I l i 1 l
1 .l (4) UPDATES TO PREVIOUSLY REPORTED AOS (APPENDIX B 0F THE A0 QUARTERLY REPORTS). l 2. HANDBOOK CN APPLICATION OF THE A0 CRITERIA l AND EXAMPLES l l A. PROVIDES THE HISTORY OF THE DEVELOPMENT l OF THE A0 CRITERIA AND EXAMPLES. B. PROVIDES GUIDANCE ON APPLYING THE A0 CRITERIA AND EXAMPLES. SHOULD BE PARTICULARLY HELPFUL FOR THOSE CRITERIA ) AND EXAMPLES WHICH WERE INTENTIONALLY MADE SOMEWHAT VAGUE TO ALLOW LEEWAY IN THEIR APPLICATION. FOR EXAMPLE: (1) MAJOR DEGRADATION OF ESSENTIAL SAFETY-RELATED EQUIPMENT. (2) SIGNIFICANT DEFICIENCIES IN MANAGEMENT OR PROCEDURAL CONTROLS IN MAJOR AREAS. C. AEOD C0ORDINATED PREPARATION OF THE HANDBOOK WITH THE STAFF. THE HANDBOOK WAS DISTRIBUTED TO THE OFFICE DIRECTORS AND THEIR A0 COORDINATORS IN DECEMBER 1984, I l l I
y 's 1 B. PREPARATION OF A0 REPORTS I 1. CONTENTS OF A0 WRITEUPS l A. DATE AND PLACE. ( B. NATURE AND PROBABLE CONSEQUENCES. C. CAUSE OR CAUSES. l D. ACTIONS TAKEN TO PREVENT RECURRENCE. ) l 2. PROCESSING AOS IDENTIFIED BETWEEN QUARTERLY REPORTS A. AE0D COORDINATES THE POTENTIAL A0 THROUGH [^ THE STAFF AND COMMISSION REGARDLESS WHETHER THE POTENTIAL A0 IS INITIATED BY 6 AEOD OR ANY OTHER STAFF 0FFICE. B. A FLOW DIAGRAM IS SHOWN IN FIGURE 3. C. WIDE DISSEMINATION IS ACCOMPLISHED BY: (1) NOTIFYING CONGRESS OF INTENT TO PUBLISH FRN. (2) PUBLISHING THE FRN. 3. COPIES PROVIDED TO PDR AND LPDRS. (GENERALLY FOR AOS, THERE HAS BEEN PRIOR WIDE DIS-SEMINATION OF INFORMATION.) l l t
i l Figure 3 Processing Individual A0s (2) Sf2 ff 0((tc e s a cs) G) cy) y AE00
- Coninia, l
O ffic es 1 1 y U) N l b,- SECY[ofg > Published in Federal Register F Congress notified. I Copies to PDR and LPDRs.
- 1) A staff office submits a writeup of a proposed AO. AE00 edits and requests additional info as necessary.
- 2) AEOD sends to staff offices for comments and concurrence.
- 3) AE00 resolves coments received from staff offices.
- 4) AE00 forwards draft FRN with text of the PA0 to Comission for approval.
- 5) AE0D resolves coments received from Comission.
- 6) AE0D forwards final FRN, via EDO, to SECY for signature on FRN.
SECY forwards the FRN for publication in the _ Federal _ Register.
\\ \\ 3. PROCESSING A0 QUARTERLY REPORTS A. AEOD COORDINATES THE QUARTERLY REPORTS THROUGH THE STAFF AND COMMISSION. B. A TYPICAL QUARTERLY REPORT (NUREG-0090 SERIES) CONSISTS OF: GENERAL INTRODUCTORY MATERIAL. AOS AT NRC LICENSEES. AOS AT AGREEMENT STATE LICENSEES. APPENDIX A - A0 CRITERIA AND EXAMPLES. APPENDIX B - UPDATES TO PREVIOUSLY REPORTED AOS. APPENDIX C "0THER EVENTS OF INTEREST" C. A FLOW DIAGRAM IS SHOWN IN FIGURE 4. I 1 l
f s Figure 4 Processing A0 Quarterly Reports i Y2h A 6ffic e s (l) (3) f h II j r M) AEoD 4 (CMMtJrtem h y f jf U 1f (?) 71Dc y lb If To [00 > MC Y C$natrmem 4 0 CA yCongress M > SEC FR , Federal Register Notices 66) m Releare Kepet "
FIGURE 4 (CONT'D,) 1) AEOD SENDS LETTER TO STAFF SUGGESTING ITEMS [ 2) FOP OUARTERLY REPORT, 'j\\p STAFF 0FFICES PREPARE WRITEUPS AND SEND TO I / AEOD. 9 3) AEOD PREPARES DRAFT COMMISSION PAPER AND QUARTERLY REPORT AND SENDS TO STAFF OFFICES FOR COMMENTS AND CONCURRENCE. 4) AE0D RECEIVES AND RESOLVES STAFF COMMENTS. 5) AE0D SENDS COMMISSION PAPER (AND DRAFT REPORT) l TO COMMISSION FOR APPROVAL. 6) AEOD RESOLVES COMMISSION COMMENTS, 7) AEOD SENDS REPORT To TIDC FOR PUBLICATION (BUT NOT FOR RELEASE), 8) AEOD SENDS FORWARDING LETTERS TO CONGRESS THROUGH ED0/SECY FOR CHAIRMAN'S SIGNATURE. AFTER SIGNATURE, OCA DELIVERS THE LETTERS AND COPlES OF THE REPORT TO CONGRESS, 9) AE0D PREPARES TWO FEDERAL REGISTER NOTICES. ONE ANN 0UNCES PUBLICATION AND AVAILABILITY OF THE REPORT, THE OTHER DESCRIBES THE AOS AT NRC LICENSEES IN DETAIL, SECY SIGNS THE FRNS AND FORWARDS FOR PUBLICATION. 10) WHEN CONGRESS RECEIVES THE COPIES OF THE REPORT (SEE STEP (8)), AEOD NOTIFIES TIDC TO RELEASE THE REPORT FOR GENERAL DISTRIBUTION,
i C, DISSEMINATION OF A0 INFORMATION 1 WIDE DISSEMINATION IS ACCOMPLISHED BY: 1, SENDING COPIES OF THE REPORT T0: (A)
- CONGRESS,
) (B) AGREEMENT STATE AGENCIES, (C) FOREIGN DISTRIBUTION, (D) NUCLEAR POWER PLANT MANAGERS, TRAINING COORDINATORS, AND CORPORATE OFFICERS, (E) PDR AND LPDRS, i (F) SUBSCRIBERS, AND BUYERS OF INDIVIDUAL COPIES. (G) NRC, AND VARIOUS OTHER FEDERAL AGENCIES, 2. PUBLISHING AN FRN ANNOUNCING AVAILABILITY OF THE REPORT. l i 3. PUBLISHING AN FRN GIVING DETAILS OF ALL AOS IN THE REPORT AT NRC LICENSEES, l 4. REPORTING STATISTICS 1975 THROUGH 1985, I (A) THE NUMBER OF A0S, APPENDIX C EVENTS, AND ENCLOSURE 3 EVENTS REPORTED PER CALENDAR YEAR ARE SHOWN IN FIGURE 5. I a
) + 1 i FIGURE 5 REPORTING STATISTICS 1975 THROUGH 1985 (EVENTS REPORTED PER CALENDAR YEAR IN QUARTERLY REPORTS) ABNORMAL OCCURRENCES CALENDAR POWER OTHER NRC AGREEMENT APPENDIX ENCLOSURE YEAR REACTORS LICENSEES STATE C" 3" LICENSEES 1975 7 2 N/A N/A N/A 1976 8 13 N/A 1 (1)+ 6 (6)+ l 1977 5 6 N/A 0 (0) 11 (9) 1978 5 0 6 7 (3) 10 (8) I 1979 7 3 5 5 (4) 12 (8) 1980 6 3 3 16 (13) 10 (7) i 1981 (A) 5 3 2 7 (4) 7 (4) I 1982 (A) 6 1 0 11 (9) 9 (6) l 1983 (A) 8 8 10 10 (7) 6 (4) l 1984 (A)(B) 10 9 3 9 (5) 5 (2) 1985 (A)(C) 9 14 5 11 (9) 1 (1) l NOTES TO FIGURE 5: REPORTING OF AGREEMENT STATE AOS BEGAN DURING FIRST QUARTER, CY 1978. REPORTING OF APPENDIX C AND ENCLOSURE 3 EVENTS BEGAN DURING THIRD QUARTER, CY 1976. NUMBERS IN PARENTHESIS ARE THOSE INVOLVING NUCLEAR POWER + REACTORS. (A) 0F THE 38 A0S REPORTED FROM 1981 THROUGH 1985, 26% (10 l EVENTS) OCCURRED AT PLANTS LICENSED LESS THAN TWO YEARS AT THE TIME OF THE A0. j (B) 40% (4 EVENTS) AT PLANTS LICENSED LESS THAN TWO YEARS. i (C) 33% (3 EVENTS) AT PLANTS LICENSED LESS THAN TWO YEARS. l I 1 l
s I (B) HISTOGRAMS OF AOS AT NUCLEAR POWER PLANTS PER CALENDAR YEAR ARE SHOWN IN FIGURE 6. 1 4 I l l l l I i
.) Figure 6 s U. S. NUCLEAR POWER PLANTS ABNORMAL OCCURRENCES VS. YEAR 20 l 18 m 16 5 34 12 A I E 10 8 i i i iliIIll 77 78 7e so 81 e2 83 84 e5 CALENDAR YEAR 4 U.S. Nuclear Power Plants Abnormal Occurrences vs. Year U. S. NUCLEAR POWER PLANTS ABNORMAL OCCURRENCES / PLANT VS. YEAR .2o l .le
- 2. 16 <
j .14 .12 b .1 o li I,~i.l.Iiil EII o 77 78 79 80 81 82 83 84 86 CALENDAR YEAR 67 70 70 70 75 81 84 92 97 NO. OF NUCLEAR POWER PLANTS l l l U.S. Nuclear Power Plants l Abnormal Occurrences / Plant vs. Year
,( a V, ISSUES PROPOSED BY STAFF A. CLASSIFICATION OF AOS vs. APPENDIX C ITEMS B, INTE_RPRETATIONS OF CR'ITERI A USED TO (J)EllTIFY AOS C. NEED FOR PREPARATION OF UPDATING INFORMATION FOR flRST 2RgiTS OF REPCRIj, D, NEED FOR BOTH AN APPENDIX E IN A0 REPORTS AND POWER REACTOR EVENTS REP _0RTS E. CRITIQUE OF PAST REPORTS 1. CONTENTS OF REPORTS 2, REPORTING OF INCIDENT INVESTIG' TIOR TEAM (IIT) REPORTS 3. REPORTi% OF AUGMENTED INVESTIGATION TEAM (AIT) REPORTS 4. MANAGEMENT / PROCEDURAL CONTRCL DEFICIENCIES. F. SUGGESTIONS FOR IMPROVING PROCESSING OF REPORTABLE EVENTS 1. KEEPINi AEOD INFORMED WHENEVER A CHANGE IN AO C00RDINATOR IS MADE, ( .s
.t 2. EACH OFFICE SHOULD ALSO HAVE A BACKUP A0 COORDINATOR. AE0D SHOULD BE INFORMED OF THIS PERSON'S NAME, AND WHENEVER A CHANGE IS MADE. 3. OFFICE CORRESPONDENCE TO AE0D REGARDING A0 MATTERS SHOULD HAVE COPIES SENT TO ANY OTHER COGNIZANT OFFICE AND ITS A0 COORDINATOR. j ) l 4. LETTERS T0 AE0D REGARDING AOS, APPENDIX C EVENTS, AND ENCLOSURE 3 EVENTS'SHOULD DISCUSS THE SPECIFIC REASONS WHY THE ITEM MEETS, OR DOES NOT MEET, THE REPORTING CRITERIA AND GUIDELINES, 5. ATTACH TO ANY EVENT WRITEUP A LIST OF ALL APPLICABLE REFERENCES. FOR EACH REFERENCE WHICH IS A LETTER, GIVE THE NAME, TITLE, AND ORGANIZATION OF BOTH THE SENDER AND RECIPIENT, THE SUBJECT OF THE LETTER (AND WHAT IS ENCLOSED), AND DATE OF THE LETTER. FOR EACH REFERENCE WHICH IS A NRC DOCUMENT, GIVE THE NRC DOCUMENT NUMBER, ITS TITLE, AND DATE OF PUBLICATION. 6. WHENEVER A POSSIBLE A0, APPENDIX C, OR INCLOSURE 3 ITEM IS IDENTIFIED, IT SHOULD BE WRITTEN UP AND SENT TO AE0D AS S00N AS POSSIBLE, RATHER THAN WAITING UNTIL THE END OF EACH CALENDAR QUARTER. (THE POSSIBLE AOS CAN THEN BE PROCESSED THROUGH THE STAFF CONCURRENCE SYSTEM AND COMMISSIOM INDIVIDUALLY.) THIS NOT ONLY MEETS THE INTENT OF SECTION 208, l l l l l 1 _______-_ _-_ - __ _ - - - A
- f BUT ALSO SPREADS THE WORKLOAD TO AVOID THE l
USUAL CRUNCH AT THE END OF EACH CALENDAR QUARTER. THIS ALSO-SHOULD HELP TO EXPEDITE THE ISSUING 0F THE QUARTERLY REPORTS TO
- CONGRESS, VI.
OPEN DISCUSSION l l DISCUSSION OF QUESTIONS OR ISSUES RAISED BY MEETING PARTICIPANTS, VII.
SUMMARY
AND CONCLUSION ) i j 4 ) 1 q I l - - _ - _ _ _ _ _ - _ _ _ _ _ - -}}