Guidance Document - 10 CFR Part 70, Domestic Licensing of Special Nuclear Material- Written Reports and Clarifying Amendments

FCSS ISG-12, Rev 1

FCSS Interim Staff Guidance-12, Revision 1
10 CFR Part 70, Appendix A - Reportable Safety Events
Prepared by
Division of Fuel Cycle Safety and Safeguards
Office of Nuclear Material Safety and Safeguards

1 Issue
This guidance addresses event reporting criteria in Appendix A to Title 10 of the Code of
Federal Regulations (10 CFR) Part 70 (Appendix A).

2 Introduction
Effective October 18, 2000, licensees subject to the 10 CFR 70.62 integrated safety analysis
(ISA) summary requirements were required to report events in accordance with Appendix A.
Event reporting is an important part of the regulatory framework because it provides the U.S.
Nuclear Regulatory Commission (NRC) with real-time information about unfolding conditions at
its regulated facilities, allows it to inform other licensees of potentially safety-significant concerns
at other fuel facilities, and contributes to performance-based regulation through monitoring and
trending of performance.
A number of issues concerning the interpretation of Appendix A reporting requirements have
arisen since its implementation. In June 2007, industry representatives and NRC staff met to
discuss these issues and other areas where conflicting interpretations had resulted in events or
conditions not being reported in accordance with Appendix A. Industry presented a white paper
prepared by the Nuclear Energy Institute documenting some of the challenges and
inconsistencies regarding reportability. The NRC staff, having also observed inconsistent
reporting of events under Appendix A, had developed a matrix of reporting issues based on
actual events.
The purpose of this Interim Staff Guidance (ISG) is to clarify some of the reporting requirements
in Appendix A, which contains criteria for submitting one hour reports, twenty-four hour reports,
and concurrent reports. These criteria are discussed below.

3 Discussion
3.1 Time of Discovery – Paragraphs (a) and (b) of Appendix A
Paragraphs (a) and (b) of Appendix A pertain to one-hour and twenty-four hour reports,
respectively, and are tied to when the reportable event is discovered. One-hour reportable
events are significant operational events that must be quickly reported. Such events typically do
not require substantial evaluation to determine reportability (e.g., an event involving the loss of
all controls, such that a release or criticality accident is possible). However, if a licensee cannot
determine whether an event requires reporting under paragraph (a) of Appendix A, the licensee
should assume that the one hour rule is applicable.1 Twenty-four-hour reportable events have

1

Additional guidance can be found in NUREG-1520, “Standard Review Plan for the Review of a License
Application for a Fuel Cycle Facility,” Section 5.4.3.4.7 (7)(d) which states that, “If the licensee cannot
ascertain within one hour of whether the criteria of 10 CFR 70 Appendix A Paragraph (a) or (b) apply, the
event should be treated as a one-hour reportable event.”

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less safety significance than one-hour reportable events and sometimes require more extensive
evaluation to determine reportability. The twenty-four hour time period for reportable events is
intended to allow licensees sufficient time to make this determination. However, if the
determination cannot be completed within this time frame then the event must be reported to the
NRC Operations Center within twenty-four hours of discovery. Licensees are encouraged to be
conservative in making decisions of reportability, in order to ensure compliance with the
specified time periods established in the regulations. Event reports may be corrected or
supplemented in accordance with 10 CFR 70.74(a)(4), as appropriate. The flowchart in
Attachment A of this guide illustrates an example of a typical notification process at a fuel cycle
facility.
The time of discovery begins when a cognizant individual observes, identifies, or is notified of a
safety significant event or condition. A cognizant individual is anyone who, by position or
experience, is expected to understand that the particular condition or event adversely impacts
safety. For some conditions, such as the examples2 shown in Table 1 and Attachment B, an
investigation and evaluation is necessary and may lead to the discovery of a potentially
reportable situation. This evaluation should proceed on a time scale commensurate with the
safety significance of the issue.
Table 1 Examples of discovery determination
Issue

Discovery Determination

Poor quality uranium powder is observed and
reported as being discharged from a heated
calciner process.

After the process was shutdown and the equipment
was disassembled, it was discovered that the
calciner tube had cracked allowing uranium to
accumulate outside of the analyzed geometry.

A crack is found in a solution process area that may
have allowed uranium-bearing solutions to
accumulate beneath the floor. Initial probing could
not determine the extent or depth of the crack. The
licensee had not anticipated any problems but was
aware of prior spills of uranium solution in the area
and decided to investigate further. Arrangements
were made to remove the damaged section of floor
in this area and soil samples were collected.

Upon analysis of the soil samples, it was
discovered that a mass of uranium had
accumulated in an unanalyzed area beneath the
floor.

A small release of UF6 occurred during a cylinder
change-out inside a process area. Although the air
monitoring system in the area did not alarm, an
operator reported he was working in the area
during the release.

The time of discovery is when the operator
realized he may have been exposed. Nasal
smears did not indicate a significant intake
occurred. At this point the licensee had reasonable
justification for not reporting the event since it did
not appear to meet the reporting requirements.
One hour, eight hour and twenty-four hour urine
samples were collected and analyzed, which
revealed the worker had received an intake of
approximately 40mg of uranium. This constituted a
new time of discovery.

2

These examples are not meant to be an exhaustive list and should not be used as such.

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3.2 Loss or Degradation of Items Relied on for Safety (IROFS) –
Paragraphs (a)(4) and (b)(2) of Appendix A
10 CFR 70.61(e) requires that the controls needed to meet the performance requirements (i.e.,
§§ 70.61(b), 70.61(c), and 70.61(d)) must be designated as IROFS. In addition, each IROFS
must be described in the ISA (§70.62(c)(1)(vi)) and in the ISA Summary (§70.65(b)(6)). Thus,
for the reporting requirements of Appendix A, no control can be credited which is not listed as
an IROFS in the ISA Summary.
When a licensee discovers a condition where there are one or more failed or degraded IROFS,
it must assess whether such an event or condition is reportable under Paragraphs (a)(4) or
(b)(2) of Appendix A. All situations where IROFS have failed or degraded are reportable under
Paragraphs (a)(4) or (b)(2), except for the following:
1. The failed or degraded IROFS are not needed to meet the performance requirements.
Thus, the ISA Summary should indicate that the remaining IROFS are sufficient to meet
the performance requirements.
2. IROFS listed for other accident sequences are applicable to the accident sequences
where the ISA Summary indicates that the failed or degraded IROFS were needed to
meet the performance requirements. These other IROFS must be in place physically
where the event occurred, and must be available and reliable when the event occurred;
the IROFS must also perform a safety function that prevents or mitigates the event in
question. In this case, the performance requirements were met, but had not been
adequately demonstrated in the ISA Summary.
3. The capabilities of the degraded IROFS are still sufficient to meet the performance
requirements.
Licensees may also apply IROFS from another sequence, in the manner described above, to
report under Paragraph (b)(2) instead of Paragraph (a)(4).

3.3 Inadequate ISA – Paragraph (b)(1) of Appendix A
When a licensee discovers an unanalyzed condition and determines that the ISA is not
adequate to demonstrate that the performance requirements are met, it must assess whether
this event or condition is reportable under Paragraph (b)(1).
As mentioned in the previous section, controls which are needed to meet the performance
requirements must be designated as IROFS. However, it is recognized that failing to properly
document controls does not always pose a safety concern that is significant enough to warrant
reporting to the NRC. The following guidance distinguishes between situations where an event
occurred and situations where no event occurred in relation to the situation where the ISA is
discovered to be inadequate. The reason for this distinction is that the occurrence of an event
represents an actual challenge to the safety basis.

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Event occurs
The licensee should presume that the event could lead to a high consequence until it can
determine otherwise.
•

In the case where IROFS were identified, but the event was improperly analyzed, the
condition should first be evaluated under the section above (Loss or Degradation of
IROFS). If none of the criteria in that section are met, then the event should be
reported under Appendix A, Paragraph (b)(1) unless it is determined that the
performance requirements are met.

•

In the case where IROFS were not identified, such as an unanalyzed event or
condition, the condition should be evaluated under the section above (Loss or
Degradation of IROFS) with the assumption that no IROFS are available or reliable.
If none of the criteria in that section are met, then the event should be reported under
Appendix A, Paragraph (b)(1) unless it is determined that the performance
requirements are met.

No event occurs
These situations can include conditions identified during audits, maintenance, testing,
surveillance, or other management measure activities. However, if events or conditions are
caused by the conduct of such activities, then they should be treated like other events.
•

If available IROFS are sufficient to meet the performance requirements, the condition
is not reportable under Appendix A, Paragraph (b)(1).

•

If available IROFS are not sufficient to meet the performance requirements, the
condition is reportable under Appendix A, Paragraph (b)(1).

Other situations where it cannot be determined if the performance requirements are met should
be reported under Appendix A, Paragraph (b)(1).

3.4 External Events - Paragraph (b)(4) of Appendix A
A natural phenomenon (e.g., hurricane, tornado, earthquake, flood, fire) or other external
condition that poses an actual threat to the safety of the facility must be reported within 24
hours.3 Natural phenomenon which damages some portion of the facility would typically be
reported. Where a phenomenon has not resulted in damage to the facility, the licensee should
decide if a phenomenon or condition actually threatens the facility. For example, a minor brush
fire in a remote area of the site that is quickly controlled by fire fighting personnel and, as a
result, did not present a threat to the facility should not be reported. However, a major forest
fire, large-scale flood, or major earthquake that presents a clear threat to the facility should be
reported. As another example, an industrial or transportation accident which occurs near the
site, creating a safety concern, should be reported.
The licensee must use judgment to determine if an external event threatens the facility. For
example, with regard to tornadoes the decision would be based on such factors as the size of
the tornado, and its location. There are no prescribed limits. In general, situations involving
only monitoring by the plant’s staff are not reportable, but if preventive actions are taken or if
there are serious concerns, then the situation should be carefully reviewed for reportability.
3

For those licensee’s required to have an NRC approved Emergency Plan, it should be noted that the
reportability of the natural phenomenon events may be superseded by site specific emergency action
levels (e.g., sustained winds in excess of 70 mph onsite) which, if met, would result in an Emergency Plan
classification and subsequent one-hour reportability requirement.

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3.5 Concurrent Reports – Paragraph (c) of Appendix A
The purpose of the criterion in Paragraph (c) is to ensure the NRC is made aware of issues that
will cause heightened public or government concern related either to the health and safety of
the public, on-site personnel or protection of the environment. Licensees typically issue press
releases or notify local, county, State or Federal agencies on a wide range of topics that are of
interest to the general public. The following clarifications are intended to set a reporting
threshold that ensures necessary reporting, while minimizing unnecessary reporting.

3.5.1 Press Release
The NRC has an obligation to inform the public about issues within the NRC's purview that
affect or raise a concern about the public health and safety. Thus, the NRC needs accurate,
detailed information in a timely manner regarding such situations. The NRC Operations Center
should be made aware of any such information that the licensee has available for the press or
other government agencies. However, the NRC need not be notified of every press release a
licensee issues. The field of NRC interest is narrowed by the phrase "related to the health and
safety of the public or onsite personnel, or protection of the environment," in order to exclude
administrative matters or those events of no safety significance. Routine radiation releases are
not specifically reportable under this criterion. However, if a release receives significant media
attention, the release is reportable under this criterion. If possible, licensees are encouraged to
notify the NRC Operations Center before issuing a press release because news media
representatives will usually contact the NRC public affairs officer shortly after its issuance for
verification, explanation, or interpretation of the facts.
Examples of events that are likely to be reportable to the NRC because they may result in a
licensee-issued news release include:
•

release of radioactively contaminated tools or equipment to public areas

•

unusual or abnormal releases of radioactive effluents

•

on-site fatality

3.5.2 Other Government Notifications
For reporting purposes, the phrase "other government agencies" in Paragraph (c) of Appendix A
refers to local, State or other Federal agencies. Notifying another agency does not relieve the
licensee of the requirement to report to the NRC.
Licensees generally do not have to report media and government notifications to the NRC
unless they are related to the health and safety of the public or on-site personnel, or protection
of the environment. For example, the NRC does not generally need to be informed under this
criterion of the following, even if these events may require notification to another regulatory
agency:
•

minor deviations from sewage or chlorine effluent limits

•

minor non-radioactive, onsite chemical spills that do not affect the safety of NRC-license
material

•

minor oil spills

•

problems with plant stack or water tower aviation lighting

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•

peaceful demonstrations

•

routine reports of effluent releases to other agencies

The examples in Attachment C of this guide provide additional guidance on the reportability of
events under Paragraph (c) of Appendix A.

4 Regulatory Basis
Appendix A to 10 CFR Part 70

5 Applicability
This ISG is applicable to 10 CFR Part 70 fuel cycle facilities.

6 Recommendation
This guidance should be formalized into a NRC Regulatory Guide.

7 References
U.S. Code of Federal Regulations, Title 10, Energy, Part 70, “Domestic Licensing of Special
Nuclear Material.”
U.S. Nuclear Regulatory Commission. NUREG-1520, “Standard Review Plan for
the Review of a License Application for a Fuel Cycle Facility.” NRC: Washington, D.C.,
March 2002.
U.S. Nuclear Regulatory Commission. NUREG-1718, “Standard Review Plan for
the Review of an Application for a Mixed Oxide (MOX) Fuel Fabrication Facility.” NRC:
Washington, D.C., August 2000.
NUREG-1022, “Event Reporting Guidelines 10 CFR 50.72 and 50.73,” U.S. Nuclear Regulatory
Commission, Revision 2, October 2000.

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Attachment A
Example of a typical notification process at a fuel cycle facility

Safety Concern, Process Upset, IROFS/Management Measure Failure or Degradation1

Observed by any safety, operations, or maintenance personnel2

Then Notify:
Shift Team Leader or Supervisor3

Then Notify:
Safety Discipline Engineer and Management for reportability determination4

1

Example Situations:
•
•
•
•
•
•

•

Intended safety function, availability, or reliability of an IROFS has been affected
Condition that was not analyzed, improperly analyzed, or different from analysis documented in ISA
Acute chemical exposure requiring medical attention
Abnormal situation where uranium has accumulated or been released
Spill or contamination event
Suspected intake of uranium
Any situation resulting in a fire.

2

The time between this and the next step (notify supervisor) should proceed in a matter of minutes.

3

Supervision takes lead to coordinate response and recovery.

4

The evaluation should proceed on a time scale commensurate with the safety significance of the issue.

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Attachment B
Additional examples of discovery determination
Issue

Discovery Determination

Based on information available, a facility ISA
determines that a fire impinging on a propane tank
will result in a torch fire but will not explode because
the safety valves will adequately relieve pressure.
Subsequently a worker questions the validity of this
conclusion. The facility safety and licensing staff
researches this topic and determines that the safety
analysis was deficient based upon evidence that
aluminum propane tanks, which are in use at the
facility, are more likely to explode in fire scenarios
than steel tanks.

Discovery occurred when it was determined that the
safety analysis was deficient and resulted in a failure
to meet the performance requirements.

A plant engineer notifies the safety staff of a newly
installed pump that is connected to a fissile solution
tank that uses an open process air line and a DP
gauge for a tank level indicator. The safety and
licensing staff initially determined that this condition is
bounded by a previously analyzed “reverse flow”
accident sequence. However, upon subsequent
review of detailed information relating to the pump
characteristics, the flow path, the quantity of solution
available, the potential U concentrations in the tank,
and the location of IROFS that were used to prevent
reverse flow in the analyzed reverse flow accident
sequence, the plant safety and licensing staff
determined that the plant condition was not bounded
by the previously analyzed “reverse flow” sequence.

Discovery occurred when the plant staff determined
that this reverse flow sequence was improperly
analyzed in the ISA and resulted in a failure to meet
the performance requirements.

A nitrous oxide gas detector designated as an
IROFS to prevent chemical exposures to NOx
emissions was calibrated in January using a NOx
standard.

Several months later, it was discovered that the gas
standard used had a calibration expiration date the
previous September. No actual emissions occurred;
however, the licensee had to assume that the
IROFS was in a degraded condition since the last
functional test. Without this IROFS, the performance
requirements could not be met. The condition was
reported to the NRC under Paragraph (b)(2) of
Appendix A. It was later determined that the nitrous
oxide gas detector would have been able to perform
its safety function, and the licensee retracted its
previous report.

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Attachment C
Examples of Concurrent Reports under Paragraph (c) of Appendix A
On-site Fatality - Government Notifications and Press Release
•

A worker fell from an on-site cooling tower inside the controlled area due to an apparent
heart attack and could not be revived. The licensee notified the local emergency agencies,
company officials, and the Occupational Safety & Health Administration. The licensee also
notified the NRC resident inspector and plans to issue a press release. An NRC notification
was needed because of the fatality on-site, the other government notifications, and potential
media involvement.

Licensee Media Inquiries Regarding NRC Findings
•

As a result of a local newspaper article regarding the findings of an NRC regional inspection
of the facility fire protection program, a licensee representative was interviewed on local
television and radio stations. The licensee notified State and local officials. NRC notification
was not needed because the subject of the radio and TV interviews was an NRC inspection.

State Notification of Improper Dumping of Radioactive Waste
•

The licensee transported two exhaust High-Efficiency Particulate Air filters to the city dump
as nonradioactive waste but later determined they contained radioactive material. The
dumpsite was closed and the filters retrieved. The licensee notified the appropriate local and
State agencies. An NRC notification is needed because of the notification to local and State
agencies of the inadvertent release of radioactively contaminated material off site, which
affects the health and safety of the public and environment.

Routine Agency Notifications
•

A licensee notified the U.S. Environmental Protection Agency (EPA) that a liquid effluent
exceeded the release permit limit for biological oxygen demand. This event was caused by
an unexpected loss of a circulating water pump at the site sanitary waste treatment facility.
NRC notification was not needed because these events are routine and don’t directly involve
NRC-licensed material.

• A licensee notified the State, EPA, U.S. Coast Guard and Department of Transportation that
15 gallons of diesel fuel oil had spilled onto gravel-covered ground inside the controlled area.
The spill has minor environmental impact and was cleaned up by removing the gravel and
dirt. NRC notification was not needed because these events are routine and don’t directly
involve NRC-licensed material.

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Glossary
The following definitions apply to the guidance in this document and are not intended to replace
any or affect Part 70 definitions or regulatory requirements.
Failed (or lost) IROFS: An IROFS that is not available or cannot perform its intended safety
function; an IROFS that did not perform its safety function.
Degraded IROFS: An IROFS that has not failed, but is in a state of reduced capability or
reliability.

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