ML081690502

NRC Allegation Process - Region I Regional Utilities Group Workshop - Slides (June 4, 2008)

ML081690502
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Site:	Peach Bottom
Issue date:	06/17/2008
From:	NRC Region 1
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June 17, 2008 This document contains slides shown at the Region I Regional Utilities Group Workshop (RUG)

June 2008 Meeting on June 4, 2008. These slides are publicly available.

NRC ALLEGATION PROCESS June 4, 2008 Region I Regional Utilities Group Workshop King of Prussia, Pennsylvania

AGENDA

• NRC Allegation Process

• Peach Bottom Lessons Learned

• Alternative Dispute Resolution Process 2

Standard Allegation Evaluation Process for open technical concerns, ARB is reconvened at 6 months from Additional last ARB and every 4 months Re-contact alleger for thereafter, until closed info needed additional information from alleger Responsible staff review to: Conduct NRC ARB Allegation Evaluation:

clarify concerns; consider re- - discuss allegation concerns contacting alleger for more - inspection/technical review

- involve appropriate staff (tech staff, OI, OGC)

Provide info, if appropriate; evaluate - RFI from licensee Potential - articulate safety significance Receipt of allegation for any immediate public - transfer to another agency (e.g. FEMA) immediate public No - consider if specific evidence of potential Send acknowledgement potential receipt info to health and safety issues; health and - wrongdoing investigation wrongdoing exists (for a wrongdoing allegation) letter to alleger allegation 5 days manager and propose follow up actions; safety concern - discrimination investigation or Early ADR (see draft potential violations (for - discuss options for evaluating a discrimination OAC exists? within 30 flowchart A) wrongdoing concerns); allegation (see flowchart A) days of prepare briefing info for NRC receipt - consider if additional info is needed ARB - determine NRC follow-up actions Yes Does alleger object to ASAP - assign responsibilities and action dates NRC Review of Allegation Evaluation Results:

NRC providing the Conduct Ad-

- inspection results Hoc/Special licensee a written RFI - licensee response to RFI (NRC review includes NRC ARB New related to the allegation? effort to verify and validate aspects of licensee (document alleger's information response)

Yes or concerns?

response for discussion at - response from external agency NRC ARB) - OI investigation report and exhibits No

- Early ADR settlement Determine action to obtain A. DISCRIMINATION ALLEGATION PROCESSING (WITH DOL PROCESS STEPS, IF APPLICABLE) Did tech review, needed info:

- additional inspection inspection, No

- additional investigation Close/Await DOL Close Close investigation, Close - additional RFI from licensee licensee/external (determination made by Yes agency response responsible staff or at follow up address concerns?

NRC ARB, depending on nature Offer Early ADR - Early ADR of required additional action) see Early ADR successful?

No Yes Yes Process flowchart No Enforcement No Discrimination Conference -

Enforcement Allegation Prima facie Early ADR No OI Document NRC Allegation Evaluation and OI Action - Post filed w/NRC articulated? offer investigation finding? Investigation ADR NRC Conclusions Yes accepted? - describe means of evaluation Yes Are No - describe NRC review of evaluation substantiated Close w/Enf. results, and efforts to verify and validate, concerns Yes Action or Enforcement as appropriate violations?

Referral Order via Post to DOJ? to be taken? - articulate a conclusion regarding each Investigation ADR Copy of DOL Decline settlement concern (e.g., substantiated, Discrimination complaint unsubstantiated, in whole or in part, Yes concern sent to NRC Accept NRC Chilling including whether aspects of concern Effect Letter? NRC Enforcement Coordinated with DOJ were found to be valid)

NRC Enforcement Process No Licensee non-appeal of DOL finding considered in NRC enf. decision (including licensee notification)

DOL DOL/OSHA Licensee complaint filed Decision? [Note: If substantiated concern Yes Appeal? No Case closed with resolution Send closure letter relates to a wrongdoing matter, Yes Licensee Yes addressing and DOJ considers the matter for No Discrimination Appeal? concerns to alleger criminal prosecution, NRC NRC Enforcement enforcement will be coordinated Action? - pending Yes DOL with DOJ.]

Alleger ALJ DOL Appeal? RDO? Yes Yes DOL OAC - Office Allegation Coordinator ARB Final Close RFI - Request for Information No No Discrimination Decision No Discrimination NRC Chilling NRC ARB - NRC Allegation Review Board Effect Letter? ADR - Alternative Dispute Resolution OI - NRC Office of investigations Alleger appeal? DOL - Department of Labor Yes DOL ALJ - DOL Administrative Law Judge No RDO - Recommended Decision and Order DOL ARB - DOL Administrative Review Board 3

Close Close DOJ - Department of Justice

PEACH BOTTOM INATTENTIVE SECURITY OFFICER ALLEGATIONS

• Background

• Internal NRC Lessons-Learned Reviews

• Lessons-Learned Recommendations

• NRC Follow-up/Oversight 4

NRC PEACH BOTTOM LESSONS-LEARNED RECOMMENDATIONS

• 3 Key Areas

- Process for forwarding allegations to a licensee/Evaluating responses/Documenting evaluations

- Communications/interactions with concerned individuals

- Inspection process for detecting inattentiveness and inspector awareness of allegations 5

NRC PEACH BOTTOM FOLLOW-UP y Augmented Inspection Team (AIT) Inspection y Confirmatory Action Letter (CAL)/Other correspondence y AIT Follow-up Inspection y Deviation Memorandum (ROP) y Issuance of White Finding y Safety Conscious Work Environment (SCWE) Inspection y Other Inspections y Public Meetings 6

NRCs ALTERNATIVE DISPUTE RESOLUTION PROGRAM

• Two part program

- Early ADR

- Post-Investigation ADR

• Voluntary

• Administered by Cornell Universitys Institute on Conflict Resolution 7

NRCs ALTERNATIVE DISPUTE RESOLUTION PROGRAM

• Early ADR

- Offered prior to start of OI investigation

- NRC is not a party

- For allegations of discrimination only

• Post-Investigation ADR

- Offered after the issuance of the OI report

- NRC is a party

- For allegations of discrimination and other suspected wrongdoing 8