ML20247K598

Transmits State Agreement Program Info SP-98-040,re Guidance for Reporting Matl Events

ML20247K598
Person / Time
Issue date:	05/07/1998
From:	Lohaus P NRC OFFICE OF STATE PROGRAMS (OSP)
To:	GENERAL, OHIO, STATE OF, OKLAHOMA, STATE OF, PENNSYLVANIA, COMMONWEALTH OF
Shared Package
ML20247K601	List: ML20247K598 ML20247K626
References
SP-98-040, SP-98-40, NUDOCS 9805220147
Download: ML20247K598 (9)

Text

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NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 2055fM001

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ALL AGREEMENT STATES l OHIO, OKLAHOMA, PENNSYLVANIA A TRANSMITTAL OF STATE AGREEMENTS PROGRAM INFORMATION (SP-98-040)

Your attention is invited to the enclosed correspondence which contains:

INCIDENT AND EVENT INFORMATION.. . . XX GUIDANCE FOR REPORTING MATERIAL EVENTS PPOGRAM MANAGEMENT INFORMATION..

TRAINING COURSE INFORMATION.. .. . .

TECHNICAL INFORMATION... . . . . .

OTHER INFORMATION.. . .

Supplementary information: Enclosed is Office of State Programs (OSP) Procedure SA-300, Reporting Material Events, and it's Appendix, a revised " Handbook on Nuclear Material Reporting in the Agreement States." The " Handbook"is a final version of the handbook previously provided to you for use and comment by OSP in March 1995 (SP-95-036). The procedure and handbook provide guidance for Agreement State reporting of material events to the NRC. SA-300 and the " Handbook" contain procedures for providing NRC:

(1) Initial notification of the occurrence of a significant or routine event involving nuclear material (Section 1.0, of the " Handbook," pp.1-3).

(2) Pertinent follow-up information (results of any evaluations or investigations, dose assessments, leak tests, equipment assessments, inspection reports, corrective actions, etc.); and any additional information on technical or regulatory action through resolution and close out of the event (Sections 1.3 and 1.4, pp. 4-6).

(3) Guidance on electronic reporting of event information to the " Nuclear Materials Events Database" (NMED) and on written (hard copy) reporting through submission of Agreement State licensee event reports to the Director, OSP (Sections 1.3 and 1.4, pp. 4-6). 1 Guidance covering recent revisions to Title 18 of the Criminal Code, that expands the role of the Federal Bureau of Investigations (FBI) in the criminal use of radioactive material, and guidance L on Agreement State notification to the FBI regarding specific categories of material events is contained in All Agreement States Letter SP-98-038. An Errata Sheet is also enclosed which adds the FBI guidance to the Reference Manual Section of the " Handbook."

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y SP 040 -2 MAY - 7 1998 For purposes of compatibility, the reporting of incidents and events involving the use of nuclear material by an Agreement State to NRC is now mandatory under the Policy Statement on Adequacy and Compatibility of Agreement State Programs approved by the Commission on June 30,1997. The quality, thoroughness, and timeliness of material event reporting by the Agreement States to NRC, including Agreement State event information contained in NMED, will be reviewed during the annual meetings with Agreement States between the Integrated Materials Performance Evaluation Program (IMPEP) reviews, and will be evaluated during IMPEP reviews under the Common Performance Indicator, Response to incidents and Allegations. We hope the enclosed procedure and handbook will be of assistance to you and your staff in the reporting of event information and will help in maintaining a national database of NRC and Agreement State information.

Information requested in the Handbook has been approved by OMB 3130-0178, expiration date June 30,2000. If an information collection does not display a currently valid OMB control number, the NRC may not conduct or sponsor, and a person is not required to respond to, the information collection.

If you have any questions regarding this correspondence, please contact me or the individual named below.

POINT OF CONTACT: Patricia M. Larkins TELEPHONE: (301) 415-2309 FAX: (301)415-3502 INTERNET: PML@ GOV

\ l eav n w Paul H. Lohaus, Deputy Director Office of State Programs

Enclosures:

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SP-98-040 MAY - 71998 For purposes of compatibility, the reporting of incidents and events involving the use of nuclear material by an Agreement State to NRC is now mandatory under the Policy Statement on Adequacy and Compatibility of Agreement State Programs approved by the Commission on June 30,1997. The quality, thoroughness, and timeliness of material event reporting by the Agreement States to NRC, including Agreement State event information contained in NMED, will be reviewed during the annual meetings with Agreement States between the Integrated Materials Performance Evaluation Program (IMPEP) reviews, and will be evaluated during IMPEP reviews under the Common Performance Indicator, Response to incidents and Allegations. We hope the enclosed procedure and handbook will be of assistance to you and your staff in the reporting of event information and will help in maintaining a national database of NRC and Agreement State information.

Information requested in the Handbook has been approved by OMB 3130-0178, expiration date June 30,2000. If an information collection does not display a currently valid OMB control number, the NRC may not conduct or sponsor, and a person is not required to respond to, the information collection.

If you have any questions regarding this correspondence, please contact me or the individual

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named below.

POINT OF CONTACT: Patricia M. Larkins TELEPHONE: (301)415-2309 FAX: (301) 415-3502 INTERNET: PML@NRC. GOV OriginalSigned By:

PAULH.LOHAUS

, Paul H. Lohaus, Deputy Director Office of State Programs

Enclosures:

As stated i Distribution:

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OSP Procedure Approval l Reporting Material Events - SA-300 i l

4 Issue Date: February 25,1998 Expiration Date: February 25,2001 l

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l Date: Februarygg,1998 l l Paul H. Lohaus y Date: FebruaryI3 ,1998 l Deputy Director, OSP y (W  !

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Procedure Contact, OSP 8", ', " ' 'r Date: February /2,1998 i j

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! I. INTRODUCTION 1

l This procedure establishes a process for the collection, control, and preliminary review of l material events that have been reported to NRC by the Agreement States.

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II. OBJECTIVES A. To provide guidance for use by the Agreement States on reporting material events to NRC.

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B. To provide guidance to OSP staffin the collection, coordination, and preliminary l

review of material events reported by the Agreement States.

III. BACKGROUND l A. Each Agreement State has the responsibility to promulgate regulations that satisfy the compatibility requirement of Section 274 of the Atomic Energy Act of 1954, I as amended. In accordance with the provisions for compatible Agreement State programs, Agreement State licensees are requiied to report the occurrence of significant and routine incidents and events that have occurred involving the use of nuclear materials to the Agreement State regulatory agency. For purposes of compatibility, Agreement State reporting ofincidents and events involving the use of nuclear materials by Agreement State licensees, to NRC, is now mandatory.

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B. The information from reports of medical misadmimstrations, overexposure, equipment failures, and other incidents and events that have occurred involving the use of nuclear materials licensed by the Agreement States is invaluable in assessing trends or pattems, identifying generic issues, and recognizing inadequacies or unreliability of specific equipment or procedures. The reported information will significantly aid in understanding why the event occurred and identifying any actions necessary to improve the effectiveness of NRC and Agreement State regulatory programs.

l C. Nuclear Materials Events Database (NMED) '

The NMED database contains the official agency historical collection of all NRC and Agreement State licensee material event information. NMED is L____________________

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I maintained by the NRC Office for Analysis and Evaluation of Operational Data (AEOD), and the AEOD contractor, Idaho National Engineering and Environmental Laboratory (INEEL), is responsible for coding and quality control ofinformation.

IV. ROLES AND RESPONSIBILITIES A. The Director, Office of State Programs (OSP), is responsible for the collection, coordination and, in cooperation with AEOD and the Office of Nuclear Material Safety and Safeguards (NMSS) (the designated agency lead office for review and evaluation of material events), the review of reports of incidents and events that have occurred involving the use of nuclear materials received from the Agreement States.

B. The Director, OSP, participates in NRC management review and evaluation of Agreement State response to material events that have been identified by NRC as "significant" in relation to public health and safety.

C. The Deputy Director, OSP, is responsible for assigning staff as lead material events project manager.

D. The OSP-designated lead material events project manager (PM) is responsible for coordination with the Agreement States and, in collaboration with AEOD and NMSS, review of material event reports submitted to OSP.

E. The OSP Director's Secretary is responsible for controlling OSP and Regulatory Information Distribution System (RIDS) distribution of Agreement State material event reports.

V. GUIDANCE A. Guidance for Agreement States Agreement States should follow the guidance presented in the Appendix to this procedure entitled, " Handbook on Nuclear Material Event Reporting in the Agreement States."

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1. Reports of Significant Events Received from Agreement States by Phone.

a. The following actions should be taken when an OSP staff member receives a report of a significant event from an Agreement State ( i.e. events requiring 24-hour notification to the Operations Center by Agreement States). Receipt of such reports by OSP staff should occur infrequently since guidance to the

Agreement States stipulates that all reports of "significant" events l should be provided directly to the NRC Operations Center

b. If the State has contacted you by phone, dial in the Operations Center Duty Officer and have the State representative calling in to provide the event notification information directly to the Duty Officer.

c. Inform the lead material events PM, or the events PM backup, the Director and Deputy Director, OSP, and the Regional State Agreements Officer (RSAO).

2. E-mail, FAX, or Written (Hard Copy) Event Reports

a. A copy of the written event report should be provided to the Director and Deputy Director, OSP, the appropriate Agreement State Project Officer (ASPO), and the lead material events PM.

A copy should also be sent to the appropriate RIDS distribution code (SPO4) for Agreement State events (which includes distribution to NMED).

b. Agreement State written event reports shall be reviewed by the lead material events PM, to identify any events that may be "significant" from the standpoint of health and safety (i.e.,

reportable by the licensee within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> or less). If the event is identified as "significant" and it was not previously reported to the NRC by the Agreement State under the 24-hour reporting requirement, the lead material events PM should notify the Director, OSP, the NRC Operations Center, and the appropriate regional RSAO. If an event indicates the possibility of a generic 1

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Issue'Date::2/25/98) q issue, the lead material events PM will provide notification to the Deputy Director,IMNS/NMSS. NOTE: Hard copy event repons received by the RSAO sh;.ll be reviewed by the RSAO in accordance with regional procedures. The RSAO should provide a copy of the event repon to the OSP lead material events PM.

The RSAO will keep the Director, OSP informed of the status of events that have been identified as "significant."

3. Electronic Event Reports (E-mail or PC diskette)

The Agreement States send electronic copies of event reports directly to the NMED contractor, INEEL, for entry into NMED (see Appendix).

INEEL, in coordination with AEOD, conducts reviews of Agreement State material event reports that have been electronically provided to INEEL (via Internet e-mail or PC diskette) for safety significance.

Information on any events identified as "significau" that were not previously identified by the Agreement State under the 24-hour or less reponing requirement or events that could pose possible generic issues are provided to OSP and NMSS by AEOD.

4. NMSS Operational Events Briefing

a. The Deputy Director, OSP, and the lead events PM serve as the designated OSP representatives for reponing on Agreement State events at the interoffice monthly NMSS Operational Events Briefing. In some cases, Agreement State staff also participate and repon on events that have occurred in their State. Staff of the Office of Nuclear Material Safety and Safeguards, Office of the General Counsel, Office of State Programs, and Office for Analysis and Evaluation of Operational Data, meet monthly to discuss any NRC or Agreement State licensee material events that have occurred during the month that NRC has identified for review based on the " significance of the event and/or possible generic implications." The monthly briefings track "significant" events, that have been identified for review, through closure and entry of the final complete record into NMED.

b. The lead material events PM is responsible for coordinating telephone (bridge) panicipation of an Agrecment State in the briefing, when necessary, for discussion of "significant" events

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that have occurred in tuir respective state, and coordinates with the States on requests for additional information.

5. The designated lead material events PM coordinates with the Agreement States, and panicipates, in cooperation with AEOD and NMSS, in the identification and review of Agreement State abnormal occurrence reports.

6. Periodically, the lead material events PM may be 7equested by management to provide statistical information regarding the status of event reporting by the Agreement States. Infornution provided by the Agreement State and collected and maintained in NMED, should be used by the lead material events PM to evaluate the effectiveness and completeness of Agreement State event information provided for entry into the NMED database.

VI. APPENDIX

" Handbook on Nuclear Material Event Reporting in the Agreement States."

VII. REFERENCES NRC Management Directive 8.1, " Abnormal Occurrence Reponing Procedure," August 21,1997.

NRC Policy Statement on Adequacy of and Compatibility of Agreement State Programs, published in the Federal Register (September 3,1997): 62 FR 46517.