Office of Nuclear Material Safety and Safeguards State 

Procedure Approval 

Placing an Agreement State Program on Probation

SA-113

Issue Date: June 5, 2017 

Review Date: June 5, 2022 

Daniel S. Collins, Director /RA Kevin Williams for/ 

Division of Material Safety, State, Tribal, 

 and Rulemaking Programs Date: June 5, 2017 

 

Paul Michalak, Acting Branch Chief 

Agreement State Program Branch 

Division of Material Safety, State, Tribal, 

 and Rulemaking Programs Date: May 2, 2017 

Joe O’Hara 

Procedure Contact 

Division of Material Safety, State, Tribal, 

 and Rulemaking Programs Date: March 6, 2017 

ML15106A749 

NOTE 

Any changes to the procedure will be the responsibility of the NMSS Procedure Contact. 

Copies of the state procedures will be available through the NRC Web site. 
Procedure Title: 

Placing an Agreement State on 

Probation 

Procedure Number: SA-113

Page: 1 of 10 

Issue Date: 

June 5, 2017 

I. INTRODUCTION

This procedure describes the process used by the U.S. Nuclear Regulatory Commission 

(NRC) when placing an Agreement State program on probation. 

II. OBJECTIVES

A. To set forth the guidelines that will be followed by NRC when considering whether to 

exercise the authority contained in Section 274j. of the Atomic Energy Act (Act), as 

amended, to place an Agreement State program on probation. 

B. To set forth the process NRC will be using to ensure that progress is being made to 

improve performance of the program in the areas identified as needing improvement 

without degradation of other parts of the Agreement State’s radiation control program. 

C. To ensure an Agreement State on probation understands the process, its role, and any 

actions expected of the program. 

D. To describe how the NRC will monitor the progress of an Agreement State in restoring 

the radiation control program’s performance to the “satisfactory” criteria identified in 

Management Directive (MD) 5.6, Integrated Materials Performance Evaluation Program 

(IMPEP).

III. BACKGROUND

A. Section 274j. of the Act gives the Commission authority and responsibility for ensuring 

that Agreement State programs provide adequate protection of public health and safety 

and are compatible with NRC's program. In cases where the Commission finds that 

program weaknesses exist regarding the adequacy and/or compatibility of an Agreement 

State's program, yet the weaknesses are not so serious as to find the program 

inadequate to protect public health and safety, one of the options available to ensure 

continued protection of public health and safety is to place the Agreement State on 

probation. Probation is also an option when an Agreement State on Heightened 

Oversight has not addressed program weaknesses identified in previous reviews during 

the period of Heightened Oversight (see FSME Procedure SA-122, Heightened 

Oversight and Monitoring, for details on Heightened Oversight). 

B. The Commission Policy Statement, ‘Statement of Principles and Policy for the 

Agreement State Program,’ established the option of placing an Agreement State 

program on probation for program weaknesses regarding the adequacy and/or 

compatibility of an Agreement State program. 
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C. Probation is a formalized process, requiring Commission approval and notification to the 

Agreement States governor that allows NRC to maintain an increased level of 

communication with an Agreement State program experiencing program weaknesses 

regarding the adequacy and/or compatibility of the program. The process allows NRC to 

monitor the actions being taken by the State to correct the identified weaknesses and 

the implementation schedule for those actions. 

IV. ROLES AND RESPONSIBILITIES

A. Management Review Board (MRB): 

1. Considers the results of Agreement State reviews under the IMPEP and 

recommends to the Commission that an Agreement State be placed on probation 

when program weaknesses regarding the adequacy and/or compatibility of the 

program are identified during an IMPEP review. 

2. For Agreement States on probation, reviews Agreement State’s Program 

Improvement Plan. 

Sends a letter from the Chair of the MRB to the Agreement State 

acknowledging receipt and approval/disapproval of the Program Improvement 

Plan. The letter will also include any comments from the review of the 

Program Improvement Plan. 

3. Evaluates special reviews of Agreement State programs conducted to assess a 

specific program weakness or weaknesses identified during periodic meetings or 

other interactions with Agreement State programs and determines whether the 

Agreement State program be placed on probation. 

4. Considers improvements made by an Agreement State program and the 

resolution of action items from the Agreement State’s Program Improvement 

Plan to determine if a recommendation should be made to the Commission to lift 

the probationary status. 

5. Evaluates the adequacy of an Agreement State’s actions during a period of 

Heightened Oversight. If a programmatic weakness or weaknesses continue 

uncorrected throughout the period of Heightened Oversight, the MRB may 

recommend to the Commission that the Agreement State program be placed on 

probation. 
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Issue Date: 

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B. Chair of the MRB: 

 Submits the Commission Paper containing the MRBs recommendation that 

NRC initiate the proceedings to place an Agreement State program on probation 

or to lift the probationary status of an Agreement State program. 

C. Director, Division of Materials Safety, State, Tribal and Rulemaking (MSTR): 

1. Prepares and coordinates the Commission Paper recommending an Agreement 

State program be placed on probation or an Agreement State programs 

probationary status be lifted. 

2. Coordinates and reviews all probation notifications (i.e., to the governor, to the 

Agreement State’s U.S. Congressional delegation, to the appropriate 

Congressional committees, to the Federal Register, to all of the Agreement 

State’s licensees, and to all Agreement and Non-Agreement States). 

3. Coordinates and reviews all notifications to lift the probationary status of an 

Agreement State program (i.e., to the governor, to the Agreement State’s U.S. 

Congressional delegation, to the appropriate Congressional committees, to the 

Federal Register, to all of the Agreement State’s licensees, and to all Agreement 

and Non-Agreement States). 

4. Coordinates the review of the Agreement State’s Program Improvement Plan. 

5. Coordinates follow-up IMPEP reviews of Agreement State programs on 

probation. 

D. Regional State Agreements Officer (RSAO): 

1. Leads and coordinates probation activities with the Office of Nuclear Material 

Safety and Safeguards (NMSS)/MSTR Agreement State program management, 

IMPEP Coordinator or designee, and other applicable NRC staff. 

2. Reviews and comments on the Program Improvement Plan submitted by an 

Agreement State on probation. 

3. Coordinates and prepares minutes of all probation-related conference calls, and 

coordinates the minutes with the NMSS/MSTR Agreement State program 

management, IMPEP Coordinator or designee, and other applicable NRC staff to 

ensure a clear understanding of discussions was recorded. 

4. Participates, as a team member, on follow-up IMPEP reviews. 
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Issue Date: 

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E. NMSS/MSTR IMPEP Coordinator or designee: 

1. Prepares, for MSTR Division Director review, notifications of the probationary 

status of the Agreement State program to: 

a. Agreement State’s governor (see Appendix A for a sample Letter to the 

Governor of [State] Probation), 

b. Members of the Agreement State’s U.S. Congressional delegation, 

c. Appropriate Congressional committees, 

d. Press Release, 

e. Federal Register Notice (see Appendix B for sample Notice), 

f. All of the Agreement State’s licensees, and 

g. All Agreement and Non-Agreement States. 

2. Provides and coordinates with NRC’s Office of Congressional Affairs to notify 

members of the Agreement State's Congressional delegation and Appropriate 

Congressional committees of the Agreement State’s probation. 

3. Coordinates with NRC’s Office of Public Affairs to issue a press release on the 

Agreement State’s probation. 

4. Reviews and comments on the Program Improvement Plan submitted by the 

Agreement State on probation. 

5. Participates, in coordination with the RSAO, in probation activities including 

conference calls with the Agreement State, and reviews and comments on 

minutes of probation conference calls. 

6. Prepares, for MSTR Division Director review, notifications of the lifting of the 

probationary status of an Agreement State program to: 

a. Agreement State’s governor, 

b. Members of the Agreement State’s U.S. Congressional delegation, 

c. Appropriate Congressional committees, 

d. Press Release, 

e. Federal Register Notice, 

f. All of the Agreement State’s licensees, and 

g. All Agreement and Non-Agreement States. 

7. Provides and coordinates with NRC’s Office of Congressional Affairs to notify 

members of the Agreement State's Congressional delegation and appropriate 

Congressional committees on the lifting of the Agreement State’s probation. 
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Issue Date: 

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8. Provides and coordinates with NRC’s Office of Public Affairs to issue a press 

release on the lifting of the Agreement State’s probation. 

V. GUIDANCE

A. Process for Considering and Implementing Probation 

1. If the MRB identifies program weaknesses regarding the adequacy and/or 

compatibility of the Agreement State's program, but does not consider the 

weaknesses so serious as to find the program inadequate to protect public health 

and safety, one of the options available to ensure continued protection of public 

health and safety is to recommend to the Commission placing the Agreement State 

program on probation. 

2. The MRB may decide to recommend placing an Agreement State program on 

probation based on the results of an IMPEP review, special review, or other 

interaction with the Agreement State. Major programmatic changes or evidence of 

poor program performance identified during a periodic meeting or other interaction 

with an Agreement State program may warrant the need for a special review to be 

conducted. A loss of key personnel, a shift in resources to address specific priorities, 

a pattern of weak responses to events, or deliberate misconduct on the part of an 

Agreement State official could be factors in determining the need for a focused 

special review of the Agreement State program. 

3. If the MRB determines probationary status is warranted, a meeting, with senior State 

officials and other applicable NRC staff (RSAO, MSTR IMPEP Coordinator), to 

discuss NRC concerns may be scheduled before declaring probationary status. 

4. If the MRB recommends the Agreement State program be placed on probation, a 

Commission Paper containing a brief cover letter and a copy of the IMPEP report will 

be prepared for the Commission. 

5. If the Commission approves the MRBs recommendation, the Agreement State 

program will be placed on probation. 

B. Details of the Criteria for Probation 

The MRB may consider placing an Agreement State program on probation when any of 

the following circumstances are observed: 

1. When one or more of the common and non-common performance indicators are 

found unsatisfactory during an IMPEP review and are of such safety significance that 

assurance of the program's ability to protect public health and safety may be 
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Issue Date: 

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degraded so that increased oversight by NRC is required to ensure program 

improvements. 

2. When programmatic weaknesses have gone uncorrected for a significant period of 

time and NRC is not confident of the Agreement State's ability to correct such 

weaknesses in an expeditious and effective manner without increased oversight by 

NRC. 

3. When a program has repeatedly been late in adopting required compatibility 

elements and increased oversight by NRC would yield improvements. 

4. When a program has remained on Heightened Oversight for a significant period of 

time and the results of an IMPEP review or other interaction with the Agreement 

State reveal that there has been little progress in achieving milestones identified in 

the State’s Program Improvement Plan or addressing recommendations made during 

previous IMPEP reviews. 

C. Elements of Probation 

1. Agreement State Program Improvement Plan 

a. The Agreement State’s Program Improvement Plan must include actions to 

address the recommendations in the final IMPEP report. It must fully discuss 

root causes for weaknesses and include short- and long-term corrective actions 

that target the identified root causes. The Program Improvement Plan must 

contain projected dates for completion of corrective actions, detail the products to 

be developed or implemented, and indicate the person(s) responsible for each 

product. The Program Improvement Plan will be reviewed by the responsible 

RSAO and the NMSS/MSTR IMPEP Coordinator or Designee. Preliminary 

review results will be discussed at the first probation conference call with the 

State. (See Appendix B of NMSS Procedure SA-122, Heightened Oversight and 

Monitoring, for an example of a Program Improvement Plan.) 

b. NRC and the Agreement State program managers may meet to discuss the 

Program Improvement Plan and any comments they may have. The managers 

should agree with the schedule of corrective actions. This meeting may 

determine the projected duration of the probationary period. Normally, the 

probationary period will be 1 year or less, but may be extended based on the 

specific circumstances. 
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Issue Date: 

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2. Periodic progress reports. 

The periodic progress reports should be brief, concise summaries of the status of 

State actions and include an updated Program Improvement Plan. The report 

and updated Program Improvement Plan should be sent to the RSAO 

approximately 2 weeks before the next scheduled conference call. 

3. Periodic NRC/Agreement State probation conference calls. 

a. These calls are designed to maintain open communications between the NRC 

and Agreement State. The calls will involve the IMPEP team leader, the MSTR 

IMPEP Coordinator or designee, the RSAO, Agreement State managers 

responsible for improving the program, and other NRC or State staff, as needed. 

b. The probation conference calls normally will occur at least bimonthly, unless 

directed otherwise by the MRB. 

4. Follow-up IMPEP review 

a. The MRB will determine when a follow-up IMPEP review will be performed to 

evaluate State progress in resolving weaknesses. Normally, the follow-up review 

will occur 1 year after the original review that commenced the probationary 

period. (See NMSS Procedure SA-119, Follow-up Integrated Materials 

Performance Evaluation Program (IMPEP) Reviews, for additional information on 

follow-up reviews.) 

b. The MRB may choose to recommend to the Commission that probation or any 

further action against the Agreement State be discontinued. The basis for 

continuation or discontinuation of probation could be based on the factors listed 

below: 

i. The MRB should recommend discontinuation of the probationary period if the 

MRB finds the Agreement State program is satisfactory for all performance 

indicators. Based on the results of the follow-up IMPEP review and the 

information obtained during the MRB meeting, the MRB should determine if 

additional oversight of a lesser degree, such as Heightened Oversight or 

Monitoring, is necessary to ensure the Agreement State program continues to 

improve. 

ii If the MRB finds the Agreement State program is improving and is 

implementing the recommendations from the last IMPEP review; and the 

program is still found satisfactory, but needs improvement, for one or more 

performance indicators, the MRB should recommend discontinuation of the 
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Issue Date: 

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probationary period and the Agreement State program be placed on 

Heightened Oversight or Monitoring. 

iii. If the MRB finds the Agreement State program is not improving or resolving 

the recommendations from the last IMPEP review in a timely manner and the 

program is found unsatisfactory for one or more performance indicators, the 

MRB may elect to recommend continuation of the probationary period or may 

direct MSTR to prepare to recommend suspending or terminating the 

Agreement (see NMSS Procedure SA-114, Suspension of a Section 274b. 

Agreement and NMSS Procedure SA-115, Termination of a Section 274b. 

Agreement). 

E. Additional Actions for Programs on Probation 

1. NRC/Agreement State management meetings 

NRC may offer to meet with Agreement State officials to discuss State actions to 

improve the radiation control program. 

2. NRC technical assistance 

NRC and the Agreement State may discuss NRC technical assistance in accordance 

with the guidance in NRC Management Directive 5.7, Technical Assistance to 

Agreement States. 

F. Discontinuation of Probationary Status 

1. Once all actions in the State’s Program Improvement Plan have been completed and 

deemed closed based on the results of a follow-up IMPEP review of the Agreement 

State's actions, the MRB may convene to review improvements and may consider 

recommending to the Commission that the probationary status be discontinued. The 

MRB may find it more beneficial to hold the discussion of the completed actions at 

the same time it meets to discuss the follow-up review. 

2. If the MRB determines that the Agreement State has fulfilled the commitments in its 

Program Improvement Plan and the MRB is satisfied with the performance of the 

Agreement State program based on the results of an IMPEP review, the MRB should 

recommend to the Commission that the probationary status be lifted. 

3. In the event that the Agreement State does not complete the actions identified in its 

Program Improvement Plan within a reasonable time period and extenuating 

circumstances do not exist, the MRB should consider whether the Agreement should 
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Issue Date: 

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be suspended or terminated (see NMSS Procedure SA-114, Suspension of a 

Section 274b. Agreement or NMSS Procedure SA-115, Termination of a Section 

274b. Agreement) 

4. MSTR will be assigned the lead for preparation and coordination of the letter, for the 

Executive Director of Operations signature, containing the MRB’s recommendation. 

The letter will include the current status of the Agreement State program, the 

recommendation of the MRB, and any other pertinent information supporting the 

MRB’s decision. The letter will be coordinated with the Region in which the 

Agreement State is located. 

5. If the Commission approves lifting the probationary status, notification of such 

change will be made using the process outlined in Section IV.E.6. 

6. If the Commission approves further action against the Agreement State, the process 

and guidelines in NMSS Procedure SA-114, Suspension of a Section 274b. 

Agreement or NMSS Procedure SA-115, Termination of a Section 274b. Agreement

will be followed. 

VI. APPENDICES

Appendix A - Sample Letter to the Governor of [State] Probation 

Appendix B - Sample Federal Register Notice 

VII. REFERENCES 

1. NRC Management Directive 5.6, Integrated Materials Performance Evaluation 

Program (IMPEP). 

2. NRC Management Directive 5.7, Technical Assistance to Agreement States.

3. Statement of Principles and Policy for the Agreement State Program, dated 

September 3, 1997. 

4. NMSS Procedure SA-106, The Management Review Board. 

5. NMSS Procedure SA-114, Suspension of a Section 274b. Agreement. 

6. NMSS Procedure SA-115, Termination of a Section 274b. Agreement. 

7. NMSS Procedure SA-119, Follow-up IMPEP Reviews. 

8. NMSS Procedure SA-122, Heightened Oversight and Monitoring. 
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Issue Date: 

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VIII. ADAMS REFERENCE DOCUMENTS 

For knowledge management purposes, all previous revisions of this procedure, as well 

as associated correspondence with stakeholders that have been entered into NRC’s 

Agencywide Documents Access and Management System (ADAMS) are listed below. 

No. Date Document Title/Description Accession Number

1 9/3/97 Statement of Principles and Policy for the 

Agreement State Program; Policy Statement for the 

Adequacy and Compatibility of Agreement State 

Programs 

ML070180439 

2 5/26/16 SRM-SECY-15-0087: Agreement State Program 

Policy Statement and Program Requirements 

ML16120A093 

3 7/7/16 STC-16-052; Opportunity to Comment on SA-113 ML15106A671 

4 9/16/16 OAS Letter; Comments to SA-113 ML16270A281 
Appendix A

Sample Letter to the Governor of [State] Probation 

Dear Governor [Name]: 

As you may be aware, under Section 274 of the Atomic Energy Act of 1954, as amended, the 

Nuclear Regulatory Commission (NRC) retains the authority and responsibility for ensuring that 

Agreement State programs continue to provide adequate protection of public health and safety, 

and that they are compatible with NRC's program for regulating radioactive materials. The NRC 

may place an Agreement State program on probation if the NRC is not confident that the State 

can address program weaknesses in an expeditious and effective manner without increased 

oversight by NRC. 

The last review of the [State] radiation control program found program weaknesses related to 

the adequacy and/or compatibility of your Agreement State program. Correction of these 

weaknesses is necessary to provide adequate protection of public health and safety in [State]. 

The NRC has further determined that while making the necessary corrections, the [State] 

program would benefit from increased NRC oversight. The NRC is, therefore, placing the 

[State] radiation control program on probation. Staff from the [State] radiation control program 

have been involved in the discussions leading to this decision. 

The [State] radiation control program staff will be requested to provide NRC staff a "Program 

Improvement Plan" describing actions to be taken to address the identified weaknesses, 

including specific goals and timetables. NRC staff will work with your staff throughout the 

probationary period. Normally, the probationary period is approximately one year, but it could 

be extended based on extenuating circumstances. Once the NRC determines that the 

commitments in the "Program Improvement Plan" have been met and that the radiation control 

program has demonstrated significant improvements in program performance, the probationary 

status will be lifted. 

I will be happy to answer any questions you may have, or your staff may contact [Name], 

Director, Office of Nuclear Material Safety and Safeguards, at [telephone number]. 

Sincerely, 

Executive Director for Operations 

cc: [SLO] 

 [RCPD] 
Appendix B

Sample Federal Register Notice

Placement of State Radiation Control Program on Probation 

AGENCY: U.S. Nuclear Regulatory Commission (NRC) 

ACTION: Notice of State Radiation Control Program Being Placed on Probation 

SUMMARY: 

NRC is announcing the placement of the [State] radiation control program for regulation of 

certain Atomic Energy Act materials on probation and is initiating increased NRC oversight of 

the program. The NRC is overseeing implementation of a "Program Improvement Plan" 

developed by the staff of the [State] radiation control program. Once the radiation control 

program has met the commitments made in the "Program Improvement Plan," and has 

demonstrated significant improvements in program performance, the probationary status will be 

lifted. There will be further announcements of that action. 

FOR FURTHER INFORMATION CONTACT: 

[Contact], Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory 

Commission, Washington, DC 20555, telephone [telephone number]. 

SUPPLEMENTARY INFORMATION: 

Agreement States are States which have assumed regulatory authority from NRC over the 

possession and use of certain radioactive materials. Under Section 274 of the Atomic Energy 

Act, as amended, the Commission retains the authority and the responsibility to assure that 

Agreement State programs continue to provide adequate protection of public health and safety, 

and to be compatible with NRC's program with respect to the regulation of the materials and 

uses authorized under the Agreement. The Commission Policy Statement, "Statement of 

Principles and Policy for the Agreement State Program," established the option of placing an 

Agreement State radiation control program on probation for program weaknesses that require 

increased NRC oversight. 

The Commission, through its Management Review Board (MRB), has considered the State 

of [State's Name] radiation control program and has agreed with the findings of the MRB, as 

well as with its recommendation to place the program on probation. [Narrative of the MRB 

findings].

The State has been requested to develop a "Program Improvement Plan" and submit it to 

the NRC within 30 days. The plan should describe actions that will be taken by the State to 

address weaknesses, including specific goals and milestones. The Commission expects that 

the probationary period will be one year or less, but could be extended based on extenuating 

circumstances. 
Once the MRB determines that the Agreement State has met the commitments in the 

"Program Improvement Plan" and has demonstrated significant improvements in program 

performance, a recommendation will be made to the NRC Executive Director for Operations that 

the probationary status be lifted. Upon EDO approval, the probationary status will be lifted. 

Notification of discontinuance of probation will be made to the Agreement State's Governor, the 

Agreement State's Congressional delegation, and all other Agreement and Non-Agreement 

States. NRC will also publish a Federal Register Notice and a press release announcing the 

discontinuance of probation for [State].