ML081690502
| ML081690502 | |
| Person / Time | |
|---|---|
| Site: | Peach Bottom  |
| Issue date: | 06/17/2008 |
| From: | NRC Region 1 |
| To: | |
| References | |
| Download: ML081690502 (9) | |
Text
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
2 AGENDA
- NRC Allegation Process
- Peach Bottom Lessons Learned
- Alternative Dispute Resolution Process
3 A. DISCRIMINATION ALLEGATION PROCESSING (WITH DOL PROCESS STEPS, IF APPLICABLE)
Receipt of potential allegation Potential immediate public health and safety concern exists?
Conduct Ad-Hoc/Special NRC ARB Yes No Provide allegation receipt info to manager and OAC 5 days Conduct NRC ARB
- discuss allegation concerns
- involve appropriate staff (tech staff, OI, OGC)
- articulate safety significance
- consider if specific evidence of potential wrongdoing exists (for a wrongdoing allegation)
- discuss options for evaluating a discrimination allegation (see flowchart A)
- consider if additional info is needed
- determine NRC follow-up actions
- assign responsibilities and action dates within 30 days of receipt Responsible staff review to:
clarify concerns; consider re-contacting alleger for more info, if appropriate; evaluate for any immediate public health and safety issues; propose follow up actions; draft potential violations (for wrongdoing concerns);
prepare briefing info for NRC ARB Allegation Evaluation:
- inspection/technical review
- RFI from licensee
- transfer to another agency (e.g. FEMA)
- wrongdoing investigation
- discrimination investigation or Early ADR (see flowchart A)
Send acknowledgement letter to alleger Send closure letter addressing concerns to alleger for open technical concerns, ARB is reconvened at 6 months from last ARB and every 4 months thereafter, until closed ASAP NRC Review of Allegation Evaluation Results:
- inspection results
- licensee response to RFI (NRC review includes effort to verify and validate aspects of licensee response)
- response from external agency
- OI investigation report and exhibits
- Early ADR settlement Document NRC Allegation Evaluation and NRC Conclusions
- describe means of evaluation
- describe NRC review of evaluation results, and efforts to verify and validate, as appropriate
- articulate a conclusion regarding each concern (e.g., substantiated, unsubstantiated, in whole or in part, including whether aspects of concern were found to be valid)
NRC Enforcement Process (including licensee notification)
[Note: If substantiated concern relates to a wrongdoing matter, and DOJ considers the matter for criminal prosecution, NRC enforcement will be coordinated with DOJ.]
Did tech review, inspection, investigation, licensee/external agency response address concerns?
Determine action to obtain needed info:
- additional inspection
- additional investigation
- additional RFI from licensee (determination made by responsible staff or at follow up NRC ARB, depending on nature of required additional action)
Re-contact alleger for additional information Are substantiated concerns violations?
Yes No Additional info needed from alleger New information or concerns?
Discrimination concern Allegation filed w/NRC DOL complaint filed Prima facie articulated?
Copy of DOL complaint sent to NRC Early ADR offer accepted?
Close/Await DOL Close Offer Early ADR -
see Early ADR Process flowchart No Yes Yes OI investigation OI finding?
Close Referral to DOJ?
Enforcement to be taken?
Enforcement Conference -
Enforcement Action - Post Investigation ADR Close w/Enf.
Action or Order via Post Investigation ADR settlement Close DOL/OSHA Decision?
Licensee Appeal?
NRC Chilling Effect Letter?
Alleger Appeal?
NRC Chilling Effect Letter?
NRC Enforcement Action? - pending DOL Licensee Appeal?
DOL ARB Final Decision Alleger appeal?
Case closed with resolution Close Close NRC Enforcement Coordinated with DOJ Licensee non-appeal of DOL finding considered in NRC enf. decision No Discrimination Yes Yes Yes Yes Yes Yes Yes Yes Yes No No No No No No Discrimination No Discrimination No Discrimination Decline Accept OAC - Office Allegation Coordinator RFI - Request for Information NRC ARB - NRC Allegation Review Board ADR - Alternative Dispute Resolution OI - NRC Office of investigations DOL - Department of Labor DOL ALJ - DOL Administrative Law Judge RDO - Recommended Decision and Order DOL ARB - DOL Administrative Review Board DOJ - Department of Justice No Yes No Yes Does alleger object to NRC providing the licensee a written RFI related to the allegation?
(document alleger's response for discussion at NRC ARB)
Early ADR successful?
No Yes Standard Allegation Evaluation Process
4 PEACH BOTTOM INATTENTIVE SECURITY OFFICER ALLEGATIONS
- Background
- Internal NRC Lessons-Learned Reviews
- Lessons-Learned Recommendations
- NRC Follow-up/Oversight
5 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
6 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
7 NRCs ALTERNATIVE DISPUTE RESOLUTION PROGRAM
- Two part program
- Early ADR
- Post-Investigation ADR
- Voluntary
- Administered by Cornell Universitys Institute on Conflict Resolution
8 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