1. ABNORMAL OCCURENCE REPORTING: PURPOSE, USES, and PROCESS Angela R. McIntosh Abnormal Occurrences Coordinator Office of Federal and State Materials and Environmental Management Programs U.S. Nuclear Regulatory Commission Presentation to the Organization of Agreement States August 28, 2012

2. TOPICS Purpose and Uses for Abnormal Occurrence (AO) Reporting AO Agreement State Reporting Process AO Report to Congress Process AOs and NRC’s Agency Action Review Meeting Agreement State Reporting: Future Changes and Impact 2

3. AO REPORTING: PURPOSE and USES Federal Reports Elimination and Sunset Act of 1995 (Public Law 104-66) Uses:  Tool for assessing adequacy of safety and regulations.  Tool for keeping public and Congress informed.  Tool for making discussion decisions at the Agency Action Review Meeting. 3

4. PROCESS: AO AGREEMENT STATE REPORTING Events reported to NRC in accordance with SA- 300, “Reporting Material Events.” NRC event review and potential AO identification NRC/Agreement State collaboration on AO determination/write up. 4

5. PROCESS: AO REPORT TO CONGRESS NRC AO Working Group. Draft AO paper to Commission. NUREG-0090, “Report to Congress on Abnormal Occurrences.” Nuclear Materials Events Database Update. 5

6. AGENCY ACTION REVIEW MEETING (AARM) Annual non-public meeting of senior NRC managers. AARM results briefed to the Commission in a public meeting. 6

7. AGENCY ACTION REVIEW MEETING (AARM) Generally, a significant event or record of poor safety or security history qualifies discussion of a licensee at the AARM. An AO (along with other criteria) may qualify a licensee for discussion. 7

8. CONTACTING AARM CANDIDATES The Agreement State regulator is contacted if an Agreement State licensee qualifies for discussion. NRC would not directly contact the Agreement State licensee, unless also an NRC licensee. 8

9. AARM CRITERIA The licensee has an event that results in NRC’s failure to meet a Strategic Outcome for Safety or Security in the NRC Strategic Plan (NUREG- 1614); or 9

10. AARM CRITERIA (continued) The licensee has an issue or event that results in:  An AO report to Congress, or  Disposition of the issue/event resulting in issuance of an NRC severity level I or II violation, or resolution via Alternative Dispute Resolution, or 10

11. AARM CRITERIA (continued)  A Level 3 or higher rating on the International Atomic Energy Agency’s International Nuclear Events Scale; and  The event/incident involves unique or unusual aspects that warrant additional oversight (e.g., inspection via an Incident Investigation Team or Augmented Inspection Team). 11

12. AARM CRITERIA (continued) A negative performance trend can also result in AARM review:  Multiple or repetitive significant issues resulting in an NRC severity Level I, II, or III violation, or disposition via alternate dispute resolution and  There are unique or unusual aspects of licensee’s performance that warrant additional oversight. 12

13. AGREEMENT STATE REPORTING: FUTURE CHANGES and IMPACT Proposed revisions to be published in Federal Register for comment (Sep/Oct/Nov 2012?) Anticipated impact: significantly reduced medical AO capturing and reporting. 13

14. AGREEMENT STATE REPORTING: FUTURE CHANGES and IMPACT Proposed change to AO Criteria I.C., “Theft, Diversion, or Loss of Licensed Material, or Sabotage or Security Breach.” Proposed change to AO Criteria III.C. “For Medical Licensees.”

15. QUESTIONS 14