NRC INSPECTION MANUAL PRPB

MANUAL CHAPTER 1415

STATE CONTRACTS PROGRAM FOR ENVIRONMENTAL MONITORING

1415-01 PURPOSE

To establish policy and procedures for contracts with States to independently monitor the

environs of NRC-licensed facilities.

1415-02 OBJECTIVES

02.01 To assign responsibilities for administering the State contract program.

02.02 To establish criteria for evaluating the capability and performance of States and a basis for

initiating and renewing contractual arrangements.

02.03 To provide procedures and guidance for appraisals, appraisal reports, and other

administrative and programmatic requirements.

1415-03 DEFINITIONS
03.01 Appraisal. Three types are defined:

a. Acceptance appraisal. A systematic preagreement review to determine the ability of a State to

provide services of the quality necessary for the program.

b. Performance appraisal. A systematic review of the quality of programmatic or administrative

performance of States in providing contracts.

c. Followup appraisal. A review conducted when necessary to check the actions taken on

recommendations of previous appraisals, or to obtain resolution of identified problems or

deficiencies.

03.02 Contract. A written understanding between NRC and a State under which the State

performs a service and is reimbursed from NRC funds.

The Regional Offices and the Office of Nuclear Reactor Regulation (NRR) are responsible for

negotiating the funding and technical terms of the contract and for monitoring and certifying

contract performance. The Office of Administration is responsible for officially consummating

the contract and for making payment to the States.

03.03 Criteria. Standards against which ability to perform a task can be measured. Although

criteria are most effective when expressed quantitatively, in some cases they must be expressed

qualitatively.

1415-04 POLICY

04.01 Regional Offices and the Office of Nuclear Reactor Regulation (NRR) shall collaborate

with the States in conducting independent environmental measurements to evaluate the quality of

licensees' environmental radioactivity and radiation measurements.
04.02 States having major licensed facilities shall be encouraged to participate in the program

and, subject to budget limitations, goals, and objectives, shall be accepted into the program upon

meeting the criteria given in this chapter.

04.03 Formal reports shall be written for acceptance and performance appraisals of contracts.

The reports shall be used as the basis for initiating and renewing contracts.

04.04 Results of this program will be used in evaluating licensee performance.

1415-05 RESPONSIBILITIES

05.01 Office of Nuclear Reactor Regulation (Division of Radiation Protection and Emergency

Preparedness)

a. Develops the general program. Identifies the program objectives, technical scope, procedures,

and appraisal program.

b. Provides technical support to the Regions in administrating the program.

c. Assesses Regional implementation of the State contract program.

05.02 Regional Offices

a. Identify candidate States and conduct initial discussions regarding contracts.
b. Perform acceptance appraisals of the States, and negotiate agreements, funding, and technical

requirements of contracts.

c. Recommend renewal or modification of contracts.

d. Obtain specific technical information related to licensee environmental monitoring programs.

e. Send a letter of notification to each licensee affected by a State contract.

f. Meet with representatives of States and licensees, as necessary, to plan, implement, and

monitor the program.

g. For contract programs, schedule and conduct a triennial appraisal to determine the adequacy of

each State's performance and its conformance with contract requirements. Prepare a formal report

of the appraisal. Identify program deficiencies and negotiate necessary changes to program,

contracts, and renewals.

h. Communicate with States by telephone quarterly or as necessary to ensure that work is being

performed on schedule.

i. Review annual data obtained from States for use during inspections of licensee radiological

monitoring programs.

05.03 Participating States. Specific requirements are stated in the contracts. The following is a

summary of general requirements.

a. Provide facilities and personnel to perform work described in the contract.
b. Arrange for collection of samples in the environs of specified facilities. Obtain assistance, as

required, of State or local agencies or private firms for services and access to property.

c. Notify the Regional Office of any unusual conditions observed in carrying out the program at

licensed facilities.

d. Provide the Regional Office with reports of data and information at intervals specified by the

contract.

1415-06 BASIC REQUIREMENTS

Regional Offices and the Office of Nuclear Reactor Regulation shall conduct an environmental

monitoring program as described in this Manual Chapter and in the Appendix to MC 1415.

END

Appendix

A. Guidance and Requirements for State Contracts Program for Environmental Monitoring

APPENDIX A

GUIDANCE AND REQUIREMENTS FOR STATE CONTRACTS
PROGRAM FOR ENVIRONMENTAL MONITORING

A. INTRODUCTION

The NRC administers contracts whereby States provide assistance by collecting samples or

making radioactivity measurements in the environs of NRC-licensed facilities. These

measurements duplicate, as closely as possible, certain parts of the licensee's environmental

monitoring efforts, but they are made independently of licensee programs. The results of the

State's monitoring are used to check the accuracy of licensee monitoring programs and aid in

verifying the ability of the licensee to measure radioactivity in environmental media.

B. PURPOSE

This appendix provides guidance and requirements for administering the NRC-State contracts

program. Guides are included (Attachments 1 and 4) for evaluating a State laboratory for the

purpose of entering into a contractual arrangement and thereafter appraising its performance.

These evaluations, called "acceptance appraisals" and "performance appraisals," provide a basis

for initiating and renewing contracts with the States. Applicable sections of the Basic

Requirements also serve as guidelines for initiating the contractual arrangement with the States.

C. BASIC REQUIREMENTS

1. In effect, under this program the States act as agents of NRC by providing manpower,

equipment, and analytical services to conduct an independent environmental monitoring

program. The States do not directly inspect licensees. Any activities not covered by a contract or

agreement must be done under State authority.

2. The States are paid to perform a service for NRC. Their performance must be assessed both

individually and collectively.
3. Regional Offices should use the list of responsibilities under Section 05.02, IMC 1415, to

establish plans for working with individual States. Additional requirements may result from the

nature of individual contracts.

4. In functioning as the primary NRC contact with the States, Regional Offices should establish,

for the States, any other rules or requirements necessary for the Region to efficiently monitor the

work. These rules and requirements need not be written, but they should be discussed in the

initial meeting with the State when a contract is implemented. They should also be reviewed with

the State periodically, such as during the triennial performance appraisal of contracts.

5. Regional Offices provide overall management and coordination of the State contracts. They

are the principal contact with the States, providing administrative and technical coordination and

conducting the triennial performance appraisals of contracts. The following is a general

discussion of the sequence of events and procedural steps for the program.

a. Initiating a contract. The Region identifies candidate States, initiates discussions regarding

contracts and negotiates with the States to establish contract requirements, funding, or other

arrangements related to the monitoring program to be conducted. These actions are coordinated,

as necessary, with NRR and with the Offices of the General Counsel, Governmental and Public

Affairs, and Administration. The Region conducts the acceptance appraisal of the State as

described in Attachment 1.

The Regional Office arranges a separate meeting with the State to discuss implementation of the

contract if the Regional Office decides a meeting is necessary. Attachment 2 contains an example

of a meeting agenda.

After a contract is signed both the NRC and State, the Regional Office sends a letter of

notification to each licensee affected by the contract. Attachment 3 is a sample format for the

letter.

The Regional Office arranges a meeting with each licensee to implement the program at the site.

This meeting should include licensee, State, and Regional Office representatives. The items in

the example meeting agenda of Attachment 2 are also used for this meeting.
b. Monitoring performance under a contract. The Regional Office maintains an awareness of

program operations by periodic telephone calls to the States, the frequency depending upon the

State's performance. The State's reporting requirements in the contract include an annual report

and a quarterly summary of NRC funds expended and a description of services rendered. In order

to sign vouchers for work performed and to ensure that the State is conducting an ongoing

program, the Regional Office should periodically contact the State official responsible for the

program to encourage the State to identify problems and to provide assistance needed in

conducting the monitoring program. Regional Offices schedule and conduct an appraisal of each

State once during the contract cycle (three years) to determine the adequacy of their performance

under the contract and prepare a report of the appraisal. Attachment 4 contains guidance for the

performance appraisal. Program reviews of States having a contract with the NRC may be done

concurrently.

Regional Offices continually evaluate program and contract requirements in order to recommend

improvements in the program and to identify changes needed in individual contracts.

NRR reviews and evaluates Regional Office recommendations and reports of State performance.

Regional Offices maintain contact with the States, and the Radiological and Environmental

Sciences Laboratory (Idaho Falls, Idaho) (RESL) on the collection and analysis of environmental

samples.

6. Appraisals are used in deciding whether to initiate or renew a contract with a State. Therefore,

a written report is required for each acceptance and performance appraisal. Appraisal reports

must include sufficient information regarding the program to support the decision by

management. The reports shall contain a discussion and conclusions for each of the program

elements located below, using the evaluation guides in Attachments 1 and 4.

a. Management support. Extent to which the program is being (or apparently will be) supported

by management within the State. Some indications of management support will include the

allocation of funds or budget and the number of experienced personnel.

b. Policies and standards. Extent to which, and how adequately, the State's policies and standards
relating to environmental monitoring are written, published, and carried out.

c. Organization. Structure and effectiveness of the organization for ensuring a comprehensive,

continuous program. Delegation of authority and responsibility to various organizational

elements. The effectiveness of liaison, coordination, and communications between State

organizations and with the NRC.

d. Staff. Adequacy of numbers and technical skill of the staff assigned to carry out the program.

e. Training. Extent and adequacy of training and education in areas related to the program.

Promotion policy may be considered here or under management support.

f. Communications. Extent to which experience and accumulated knowledge gained from the

program are disseminated within the State organization and to the NRC.

g. Quality assurance. Frequency, adequacy, and records of internal audit or inspection of the

program to ensure quality and accuracy in sampling, measurements, data, and reports.

h. Facilities and equipment. Adequacy of the physical space and laboratory furniture; the type,

number, and age or model of analytical and measuring instruments; and other laboratory

hardware.

i. Performance. For the acceptance appraisal, past experience in environmental monitoring and

comparison of State program results with related general experience of the NRC. (The general

rule is that the State's program should be as good as or better than the best of the licensee

programs.) For the performance appraisal, meeting the requirements of the contract. Review of

the technical judgment exercised in conducting the program and the overall support provided to

the program within the State.
j. Summary and recommendations. Summary, conclusions, or impressions of the overall

program, including highlights of significant achievements or deficiencies or irregularities in

contract implementation. Concluding recommendation(s) regarding acceptance into the contract

program or renewal of the contract, including items or areas to be corrected or upgraded before

action is taken on the contract.

7. Conclusions and recommendations included in appraisal reports shall be based on facts and

findings clearly stated in the report.

8. A copy of the triennial appraisal report prepared by the Regional Office shall be furnished to

the contract State.

9. Distribution of appraisal reports should be restricted to those having a responsible interest in

them; normally NRR, Regional Offices, ADM/Division of Contracts and Property Management,

and DOE's Radiological and Environmental Sciences Laboratory.

10. The determined quality of the State's overall performance or its acceptability for entrance into

the program shall always be made known to the State. If the appraisal:

a. identifies significant deficiencies, it should serve as a basis for candid discussions with the

State on remedial actions;

b. shows that performance generally has been good but there are areas where minor

improvements are needed, the transmittal to the State should ask for comments regarding the

needed improvements; and

c. shows that performance generally has been good and there are no recommendations for

improvements, the transmittal to the State should so indicate.
11. Where actions are recommended to correct deficiencies or to make program improvements,

the adequacy of the corrective action shall be determined and reported during or before the

succeeding appraisal.

END

ATTACHMENT 1

ACCEPTANCE EVALUATION FOR CONTRACTS

The indicators and guidance in this part are used by the Nuclear Regulatory Commission to

evaluate a State's capability for conducting an environmental monitoring program. The

evaluation is performed by the NRC at the request of the State for the purpose of accepting the

State in the NRC-State contracts program.

Indicators Guide for acceptability

Organization The organizational lines of authority should be

such that the State contracting officer has direct

control over the analytical laboratory and field

personnel, or formal arrangements made which

allow the State contracting officer to request

work performed under the contract to be carried

out in a timely manner. 

Contract work should not be relegated a priority

that it would be set aside until the laboratory

completes what it considers its main task; the

contract work should become part of the main

task.
Current budget The NRC-State collaborative program is not

intended to provide full cost recovery to the

State. Adequate funds must be available in the

State's budget to support any increased

activities resulting from a contract. State funds

should at least be equal to the expected contract

funds.

Proposed budget Continuing financial support of the contract

activities should be maintained. Where the

current budget is not adequate to support a

contract program, the proposed budget should

include an adequate amount of funds for the

purpose. The contract should be delayed until

the proposed funding is authorized.

Experience in

environmental

surveillance

The State laboratory shall have demonstrated

proficiency in conducting an environmental

radiological surveillance program, including

sample collection and analysis, and experience

in publishing periodic reports and papers

covering the results of the program. The scope

of such experience should be considerably

greater than the program to be conducted under

the expected contract.

Laboratory personnel who will perform contract

work should have experience in conventional

chemistry, radiochemistry, and radiation

measurements, particularly gamma analysis.
Number of laboratory and field

personnel

Sufficient personnel so that activities added to

contract work will not degrade laboratory

efficiency; for example, so a chemist will not be

required to become a sample collector.

The laboratory should have at least one person

working full time on radiation counting,

radiochemistry, or other closely related

procedures.

It is satisfactory to have environmental samples

collected by a local individual, provided that

individual receives the necessary training.

Qualifications The responsible person shall have a minimum

of five years' experience in chemistry, of which

at least one year shall be in radiochemistry. A

minimum of two years of this five years'

experience should be in related technical

training. A maximum of four years of this five

years' experience may be fulfilled by related

technical or academic training.

Supervision If the individual performing the radiochemistry

or radiation counting has limited training in

those fields, the supervisor should provide

day-to-day supervision of the laboratory, and

his office should be physically located close to

the laboratory.

Workload The laboratory should be conducting a program

extensive enough to permit the staff to maintain

its technical skills.

Work schedules should be flexible enough and

not over-extended so that samples that contain

short-lived radionuclides can be analyzed

within an appropriate time after receipt in the

laboratory.
Technical

training

A specific program should be established for

on-the-job training of new employees.

Personnel should be encouraged to attend

specific short courses and workshops to

maintain an appropriate level of technical

competence.

Five to ten percent of the total effort should be

spent in training, including on-the-job training.

Internal audits There should be an established program to

ensure timely completion of work, accuracy in

monitoring data and reports, and correction of

identified deficiencies.

Quality control

for measurements

A program should be established whereby the

analytical results can be checked.

The laboratory should be participating in

cross-check programs of other agencies,

particularly the Environmental Protection

Agency's Quality Assurance Program (the

Interlaboratory Comparison Program).

Facilities and

equipment:

Wet chemistry

The laboratory should have the physical

facilities, chemical reagents, and normal

hardware and glassware necessary to perform

chemical separations for analyses required by

the expected contract.

• bench space Adequate space that more than one procedure

can be carried on at one time. A minimum of

100 square feet of clear bench space should be

available and in close proximity to sinks,

hoods, etc.

• chemicals and

glassware

An adequate supply of suitable chemicals and

glassware, and sufficient funds to purchase the

necessary expendable items during the budget

year.
• hoods A properly working hood of appropriate size

and construction, with supporting systems of

gas, water, vacuum, etc., and ventilated with

filtered exhaust.

Radiation

measuring

instrumentation

The laboratory should have reasonably modern

radiation- measuring instruments in working

condition capable of making the various types

of radiation measurements required by the

program.

• gamma A multichannel gamma spectrometry system

which has as a minimum:

• a high resolution Ge(Li) or intrinsic

germanium detector system with a resolution of

at least 2.5 keV for the 1333 keV photopeak of

Co-60.

• a multichannel analyzer which can sort an

energy spectrum into at least 2048 channels.

• beta A modern low-background proportional beta

counting system of reasonably high efficiency

which can effectively discriminate against alpha

radiation and has a background count rate of

less than 2 cpm.

• low energy

beta

A modern liquid scintillation system should be

available to measure tritium concentrations. It

is acceptable to have an arrangement or contract

with a reputable laboratory for measuring

tritium.

• alpha A proportional system which can count alpha

radiation with a background count of less than 1

cpm.

Calibration

standards

The laboratory should possess a sufficient

number of well characterized standards to

assure the accuracy of day-to-day

measurements and to calibrate the measuring

instruments when required.
Field equipment A sufficient number of good quality high- or

low-volume air samplers, including one or

more spares, to meet the requirements of the

expected sampling program(s).

Capability to maintain the air samplers and

thermoluminescent dosimeters at the site

locations at the required frequency, either by

laboratory personnel or by arrangement with

another agency or a local individual.

Other field equipment necessary to obtain

environmental samples required by the

expected contract, or the capability to obtain the

necessary equipment, i.e., iodine cartridge

holder, etc.

Procedures

manual

Detailed written procedures should be prepared

and available for the sampling, analysis, and

reporting aspects of the monitoring program.

ATTACHMENT 2

MEETING AGENDA

1. Purpose of the meeting

a. Explanation of the program

b. Face-to-face meeting of individuals involved
c. Answer questions regarding intent of contract provisions

d. Gain agreement, if necessary, for locations of sampling sites and schedules

e. Tour of facility

f. Split samples, if appropriate

2. State contract program

a. Independent verification

b. Traceability to National Institute of Science and Technology

c. Relationship to overall NRC inspection program

d. Role of State

e. Role of NRC Regional Office

f. Role of NRC Reference Laboratory (RESL)

3. Environmental monitoring

a. Types of media; sampling frequency; analyses

b. Site selection

c. Sample collection arrangements

d. Interlaboratory comparisons

• NRC Reference Laboratory

• Environmental Protection Agency's Quality Assurance Program (the Interlaboratory

Comparison Program)
4. Reporting of results

a. Manner of reporting

b. Special arrangements for State, if necessary

c. Report date

• Licensee

• State

5. Criteria for evaluating results

6. Resolving discrepancies

7. Tour of facility or site

a. Laboratory

b. Sampling points or locations

8. Split samples (optional)

ATTACHMENT 3

LETTER OF NOTIFICATION TO LICENSEES
* * * Regional Letterhead * * *

Licensee's name and address

Gentlemen:

The State of ( ) and the Nuclear Regulatory Commission have signed a contract for a cooperative

program of environmental monitoring of NRC-licensed facilities in (State). This monitoring

program is an extension of the independent measurements aspects of our routine inspections and

is undertaken pursuant to the Atomic Energy Act and Title 10 Code of Federal Regulations

(specifically Parts 30.53, 40.63, 50.70, and 70.56). Initially, monitoring programs will be

undertaken around your (name and location of specific facilities). The monitoring program will

include such activities as periodically collecting and analyzing environmental samples,

measuring environmental radiation levels, and comparing results with certain of your

measurements which the program may duplicate.

The purpose of the contract is to establish a collaborative monitoring program between (State)

and the NRC to provide independent measurements of radioactivity in the environment around

selected NRC-licensed activities and to achieve and maintain comparable methods of analyses

among licensees, States and the NRC.

The State and the NRC will share data and information obtained in the programs at the individual

sites. In addition to distributing the information to other interested Federal, State, or local

agencies, the NRC and (State) will collaborate in making the program findings publicly available

through appropriate publications.
We will contact you or your site representative to arrange a meeting to discuss the

implementation of the monitoring program to be conducted at your facility.

No response to this letter is requested; however, should you have any questions concerning the

program prior to the meeting, we will be glad to discuss them with you or your representative.

Mr./Ms. (Regional Representative) may be contacted for specific information on the program.

Sincerely,

(Regional Representative)

ATTACHMENT 4

PERFORMANCE APPRAISAL GUIDE FOR CONTRACTS

The guidance in this part is used by the Nuclear Regulatory Commission to evaluate a State's

performance under an environmental monitoring contract. In general practice, the performance

appraisal is conducted on a continuing basis. The major part of the appraisal is performed by the

review of reports and correspondence and notes on day-to-day contacts, and evaluation of the

promptness and judgment exercised in the resolution of any unusual situations or problems

which arise in conduct of the program. The triennial performance appraisal culminates in a visit

to the State laboratory to inspect facilities and equipment, review records, and discuss certain

aspects of the program with State personnel. A report is prepared as a basis for contract renewals
and any recommendations for program improvements.

Introduction

Performance appraisal includes evaluation of both programmatic and administrative performance

and achievement of related objectives. Program performance includes the quality of the end

results (analytical results and data, and written reports) and the effectiveness and efficiency with

which technical effort (people, equipment, etc.) is expended in pursuit of the end objective.

The measure of program performance is subject to less precision in some areas than in others.

Periodic status and progress reports and adherence to schedules, as well as the quality, quantity,

and adequacy and timeliness of reports are important in the evaluation of performance. The

reputation and acceptance of work within the technical community and the publication of

information in professional journals and other technical literature (outside of reports required by

the contract) are of some, but lesser, importance.

Source of Data

Appraisals are based on sources of information such as routine and special reports, technical

publications, conferences with key personnel, day-to-day contact with operations, results of

inquiry into unusual or problem situations, audits of records and data, and inspection visits.

Typical factors for appraisal are listed in "Typical Appraisal Factors," which follows.

Obtaining Data

Typical steps in obtaining performance data are:

• determine the types of information required for each of the areas to be appraised;
• gather and retain or identify pertinent information on a continuing basis such as: reports,

records, correspondence, notes on day-to-day contacts and problem solving and visits; and

• develop additional data by requesting specific information, obtaining judgments and suggestions

from knowledgeable third parties, and conducting inspections and interviews when there is a

clear need.

Typical Appraisal Factors

The factors in the following table may apply to either programmatic or administrative activities.

It is not anticipated that a detailed review of all factors or all aspects of each activity will be

required to produce sufficient information on which to base an appraisal.

Factors Guidance

Overall program Maintenance of program elements and activities at a level at

status least equal to that when accepted into the contract program; the factors in the acceptance

appraisal and previous performance appraisal reports are used as criteria.

Improvements Improvements in facilities, equipment, and procedures, etc.

Organization Adequacy of internal control and audit systems; experience

and and results.
procedures

Staff Training afforded or conducted for the technical staff.

Apparent effectiveness of personnel policies in attracting and retaining qualified technical staff.

Performance Adherence to schedules and requirements of the contract.

Promptness and quality of the technical reports required by the contract.

Responsiveness to any NRC special requests and needs.

Promptness and judgment in resolution of unusual situations and problems arising during the

conduct of the contract program.

Performance in the Environmental Protection Agency's Quality Assurance Program (i.e., the

Interlaboratory Comparison Program).

END