ML20033F619
| ML20033F619 | |
| Person / Time | |
|---|---|
| Issue date: | 03/16/1990 |
| From: | Taylor J NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| References | |
| TASK-PINC, TASK-SE SECY-90-096, SECY-90-96, NUDOCS 9003220239 | |
| Download: ML20033F619 (56) | |
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POLICY ISSUE:
Ma rch 16, ' 1990 (NEGATIVE CONSENT)
SECY-90-096 For:
The Commissioners From:
James M. Taylor Executive Director for Operations
Subject:
PROPOSED REVISION TO NRC liANUAL CHAPTER AND' APPENDIX 0517,liANAGEMENT OF ALLEGATIONS
Purpose:
To request the Commission's approval to issue Manual Chapter-and Appendix 0517, Management of Allegations.
Discussion:
In SECY-89-366, dated December 6, 1989, the staff forwarded the manual chapter on managing allegations for the Commission's review. The Staff Requirements Memorandum (SRM) of February 5, 1990, directed that changes be made to the revised chapter, particularly in the area of handling drug-and alcohol-related allegations. These changes have been made.
In keeping with the intent of the Commission's changes, we also deleted refer-ences to the sections deleted from Parts III.B. and III.H-of the appendix.
The SRM also directed that guidance be added to the manual chapter concerning the coordination of any NRC drug-related-investigations with Federal and local law enforcement agencies to ensure that-NRC is not unnecessarily interfering with broader drug investigations. This change has been made in Section 0517-034.f., and has been coordinated with the Office of Investigations.
One additional minor change has been made in the footnote to Section 0517-033.c. This change deletes the requirement that the Office of Nuclear Regulatory Research and the Office for Analysis and Evaluation of Operational Data appoint office allegation coordinators (0ACs). Our experience since the
' NOTE:
TO BE MADE PUBLICLY AVILABLE C0lTACT:
WHEN THE SRM IS MADE AVAILABLE R. Brady, NRR 49-21263 032 A O k o
1 m
?MMMMMMMMMMMMMMMMA
a 4.
EThe Commissioners-2 original chapter was issued in'1987 ind'icates that these offices.
are rarely involved with allegations, and that the adminis-trative burden of maintaining an 0AC in these-two. offices is
- unjustified.
Coordination:
This revision was prepared by. the Office of. fluclear ReactorL Regulation. Comments were requested and received from all-the Regions and the Offices of:the General Counsel-(0GC),
Investigations, Enforcement, and Nuclear fiaterials Safety.
and Safeguards. 0GC has no legal objection to the proposed c
revision.
3
==
Conclusion:==
The changes directed by the Commission in the SRM of-February 5,1990, have been made.
In addition, other minor changes, as noted, have been incorporated.-
Recommendation: That the Commission:
Approve the publication of.the revised manual chapter in its present form.
j
.A J D or.
xecutive irector for Operations Enclosure':
Revised comparative text of HRC Manual Chapter and Appendix 0517 SECY NOTE:
In the absence of instructions to the contrary, SECY will notify the staff on Friday, March 30, 1990, that the Commission, by negative consent, assents to the action proposed in this paper.
DISTRIDUTION:
LSS GPA REGIONAL OFFICES EDO ACRS ACNW ASLBP
-ASLAP SECY
y l
1' U.S. NUCLEAR REGULATORY COMMISSION l
NRC MANUAL-l
-- Vol ume:
0000 General Administration l
Part- : 0500 Health and Safety NRR 1
CHAPTER 0517 MANAGEMENT OF. ALLEGATIONS 0517-01
' COVERAGE
.This chapter and its appendix define the policy and procedures for the ' proper-receipt,, processing, control, and disposition of allegations, received for reso-lution by NRC offices, that concern NRC-regulated activities. This chapter also includes the policy.and procedures for dealing with individuals who pro-vide information to the NRC-including protecting the identity of persons pro-viding information in confidence, and the policy and procedures for the referral of matters to the Office of Investigations (01). This chapter and
~
appendix do not apply to the Office of the Inspector General (OlG).
0517-02 OBJECTIVES 021 - To establish the policy for the receipt, processing, control, and dis-position of allegations and to define procedures by which the' receipt, status, and disposition of allegations are tracked through the Allegation Management System ( AMS), thereby assuring that:
s.
allegations are properly assigned for processing and assessed for safety significance to permit ranking and resolution in a timely
- manner, b.
timely and accurate information on all allegations is maintained and made available to NRC Offices and Regions on a need-to-know basis, all allegations not resolved by other formal means are processed in c.
accordance with these procedures and the resolution of all allegations is properly documented.
t 022 To assure that individuals making allegations to the NRC are prop-erly treated, their identity protected where appropriate and.possible, and that they are notified of the resolution of their concern.
023 To assure that issues raised are promptly and adequately investigated.
l 024 To establish the policy for requesting and setting priorities for in-vestigations of matters which involve potential wrongdoing and to define the procedures for referral of such matters to OI.
025 To assure that allegations concerning occupational health and safety are appropriately resolved or referred to the Occupational. Safety and Health Administration (OSH A).
Approved:
t N R C-0517-03 MANAGEMENT OF ALLEGATIONS
'i 0517-03 RESPONSIBILITIES AND AUTHORITIES 031 The Commission; a.
~ approves the revocation of confidentiality agreements in appropriate cases.
b.
approves the release of the identity of a confidential' source to an-other governmental agency when the source cannot be reached or when the source objectr to the release of his/her identity.
c.
provides guidance regarding "the initiation of investigations' into the chcracter or suitability of entities within the jurisdiction of the-NRC, or the employees of such entities, in those instances where the char-acter or suitability aspects of the matter being considered for inves-tigation are unrelated to a violation of NRC regulatory requirements.
3
[d.
resolves-differenees-ever-the-need-for the prioritiret'ron-of--inveeti-getions-as-referred-from-the-EOG ]
032 The Executive Director for Operations (EDO):
a.
establishes policy and procedures for the receipt, processing, con-
- trol, and disposition of allegations, b.
in conjunction with the Director, 01, impfements the policy for initia-tion, establishment of priorities and termination of investigations.
[e:
req u es t s - kt v e s t'rgetie n s-ef-mett e r s -inv e Wrng -p e te n t fei - wrongd e'rng identifie&by-the-Heedquartere steff ]
[d:]c.
In conjunction with the Director (s) of the Office of Investigations,
[anethe-Office-ef-fospector-and-AuditordOFAh] implements policy for protecting the confidentiality of those who' provide information to the NRC pursuant to a confidentiality agreement.
6 approves Confidentiality Agreements in accordance with the policies and procedures set forth in NRC Appendix 0517, Part II.
[er for-these-mettees-with'rn -the9erview-of-Oi-and GtA1-estabi'rebetyefi-cy end-precedures-govern'rng-theft--interfaces-with-ether-Off'rces end Regions:]
i
[f:]h approves revocation of confidentiality as requested by the Director of the Office or Regional Administrator that originally granted confi-dentiality pursuant to a delegation of authority from the EDO.
[g ]f.
resolves differences on the need for and prioritization of investiga-tions requested of 01 by Offices and Regions F,--or-refers -thesediffer-i encee-to the C-emmissien].
Approved:
l'4 A N A G E M E N T- 0 F A L L E G A TIO N S -
N R C -0517-033.c 033 _D_irectors' of Offices and' Regional Administrators:
a.
establish internal procedures so that all employees are aware of re-quirements for receipt, processing, control, and disposition of alle-gations and for the accurate and timely updating of' the status = of-l those allegations for which. their office is the Action Office, b.
resolve those allegations for which the Office or Region is the Action Office.
c.
appoint an Office Allegation Coordinator (0 AC)* who serves as ad-ministrative point of' contact for the. 0ffice or Region on allegations, and who is responsible for relieving line management of the direct administrative burden associated with : handling allegations.
Line management remains responsible for decisions. regarding the safety review and referral-of wrongdoing issues to 01.
T he ' O A C - will:
(1) ensure that the appropriate parts of the Allegation Data Form (N RC Form 307, Exhibit 1) are completed for all allegations re-ceived within the Office or Region and that the data are accu-rate and timely.
(2) determine the appropriate Action Office and, if' applicable, co-ordinate with the O AC of the affected Office or' Region on each allegation received.
(3) forw ard the Allegation Data Form and the original copy of any documentation received from the alleLer to the respective Action Office O A C when the receiving Office or Region is not the Action Office.
(4) when the Receiving Office or Region is.the-Action Office, en -
sure that the allegation is entered into the At1S within 10 work-ing days of receipt.
(For power reactors,- during the period from 30 days prior to the construction completion date until the C om mission meeting on full-power authorization, the - Receiving Office or Action Office for any allegation will, within 2 working days, telephonically notify the N P,R Project flanager of its re-ceipt and the identification of the Action Office in addition to entering the allegation into the AMS.)
(5) ensure that allegations assigned to the Office or Region are en-tered into the AMS within 10 workdays of receipt.
' All Regions and the Offices of HR R and NitSS[R-GS GGp and AEOG] are required to appoint 0 A Cs. Other offices may ~ appoint 0 A Cs if they believe their' mis-sion and the potential for serving as an Action Office require it. Offices not appointing 0 ACs shall refer any alleger or allegation received to the O A C for N RR, which shall then be responsible for the actions of the Receiving Office as set out in this chapter and appendix.
A p prov ed :
1 N iitC-0517-033. d MANAGEMENT 'OF ALLEGATIONS 4,
-(6) acquire input data on new-allegations (including those referred to 01)- from the staff within the Office or Region-and ensure L
this information is entered'in the AMS).
(7) ensure that. all open allegations in the AMS are reviewed and updated as necessary on-a monthly-basis.
l L
(8) ensurt the preparation of reports as describ'e'd infAppendix l-0517, Part I, l.4.
(9) maintain records of all allegations for which the Office or -
Region is the ' Action Office.
(10) maintain secure files when such files _contain information' which r
would reveal. the identity of a confidential source.
d.
determine.the safety significance and generic implications of those l
~
allegations that fall within the programmatic responsibility of that Office or Region and establish. schedules for the processing of alle-gations with the objective of resolving them as promptly as resour-ces allow and prior to any applicable licensing decision date.
i e,
review those-allegations for which it is the Action Office for poten-tial board notification and recommend such notification to NRR or NMSS.
f.
refer all matters where there is a reasonable basis for belief of wrongdoing and for which the staff determines an investigation 'is necessary to determine whether regulatory action is required, except those involving NRC employees or NRC contractors, to the Office of Investigations in accordance with the guidance herein and in Appen-dix 0517, Part lli, and provide technical assistance to 01 for inves-tigating allegations as requested.
refer aj alle tractors to [gations of wrongdoing by NRC employees or NRC con-g.
the-Office-of-Inspecte end-Auditer] OlG.
Such allega-tions are not to be entered in the AMS. However, records should be maintained to show that the allegation has been referred to [OFA)
OlG. (See Chapter NRC 0702.)
h.
prior to taking a major action such as a licensing decision or esca-lated enforcement, review the status and resolution of allegations for that-project in the AMS especially those related to the action.
i.
ensure that technical concerns with generic safety implications have been reviewed by the cognizant technical staff and considered for dissemination to other affected Offices and. Regions for information and/or action as required.
j.
ensure that allegations received that are potential violations of Sec-tion 210(a) of the Energy Reorganization Act are entered in the AMS and processed in accordance with the provisions of NRC Appendix 0517, Part I., C.4.
Approvedr i
O
..M AN AGEMENT OF ALLEG ATIONSE N R C -0517-033. n k.
ensure that the Commission's Policy Statement on Confidentiality is
-implemented and that all N R C personnel take.all. necessaryi steps to.-
protect the identity of confidential sources.
l.
resolve those matters within area of responsibility initially referred to 01 but which are returned by 01 without conducting an'-investi-
~
gation because of its resource constraints.
L notify OI when the staff is aware of a matter which could potentially involve wrongdoing by licensees, vendors or their contractors.
n.
approve Confidentiality Agreements in accordance with the policies.
and procedures set forth in N RC Appendix 0517, Part II. This authority may be redelegateo, as appropriate.
034 The Director, Office of Investigations:
)
a.
investigates allegations of wrongdoing by other than ' N R C.. employees and N R C contractors as requested by the Commission, on own initia-tive or as referred to 01 by~ the staff in accordance with the policy; and procedures set forth in Appendix 0517, Part III.
Conducts in-terface responsibilities with the ' Offices and Regions as described herein.
b.
implements,'in-conjunction with the Executive Director.for 0'perations
[and-the-D4retteF,-0-ffic+ of-I* spec-too-+rd-AediteF),- policy for pro-tecting the confidentiality ' of those who provide information to the' N R C pursuant to a confidentiality agreement, c.
implements, in conjunction with the Executive Director for O pera-tio n s,
policy for initiation, establishment of priorities and term-ination of investigations set forth in Appendix'0517, Part-III.
6 approves Confidentiality Agreements in accordance with the policig and procedures set forth in N R C A ppendix 0517, Part II. ' T his jutfiority may be redelegated, as appropriate.
. [ d,]_e.
approves the revocation of confidentiality - in a ppropriate cases where 01 originally granted the confidentiality.
L coordinates drug-related investigations with Federal State and loca'i
' law enforcement agencies to ensure that N RC is not unnecessarily interfering with broader drug investigations.
A p prov ed :
N R C-0517-036. a MANAGEMENT OF ALLEGATIONS 1
a
'[035_ The-Directerr-Office of-Inspector end-Auditer:
a:
impie ment s,-i n-cenj u nction - wi th - th e - Executi ve-Oirecte r - fo r -Gperetio n s
-and-the-Directer;-Office of-investigetionsr-peHey for-preteeting-the
?
confidentieHty-ef-these-who previde4nformation-te-the-++RC-purseant' te-a-eenfidentistity egree.6ent; b:
investigates efiegationt of-weengdoing-by-NM-empfeyees end-NM
-eentraetor s.--Seeh-eHegetiens-do trot-fati-under-the-ptnvieeof-this menual-thepter end-are-net-entered-tn-the-AMS:
c:
-approves-the revocetion-of-cenfidentfelity-in-eppropriete-ceses-where OFA-erigineity-grented-the confidentiaHty:]
[036]0_35 The Director, Office 'of Enforcement:
f a.
monitors the investigations being conducted within the OE area of' responsibility to-assure that the investigative priority or schedule
[ requested by-e-Regionab-Administrator end-estabHshed-by-the Ofreeter,-Office-of-imtestigetionsy) meets regulatory needs.
b.
monitors activities conducted by the Department of Labor 'under Sec-tion 210 of the Energy Reorganization Act.
[0371.0_36 The Director, Office of Nuclear Reactor Reciulation:
3
' proposes to the EDO for approval agency-wide policy and procedures a.
regarding the processing of allegations.
For those allegations that fall under the purview of 01, proposes policy and procedures gov-erning their interface with other Offices and Regions.
b.
reviews allegations concerning NRR licensees in coordination with the Action Office for potential board notification and makes such notifica-tion, if required.
c.
evaluates implications of allegations relative to licensing decisions and pla.nt safety concerning NRR licensees in coordination with the F4gion(s).
d.
manages the AMS and authorizes and requests system improvements from IRM.
e.
conducts programmatic reviews of all action offices to assure imple-mentation of NRC policy on allegations.
f.
monitors the investignions being conducted within the NRR area of responsibility to assure that [an] the investigative priority or schedule [ requested-by e-Regional -Administrator--and-estabHshed-by 4he Oirector,-Office-of--Investigetiens;] raeets regulatory needs.
[g preperes-end publishes-a-Hst-of -NRG-Gffice--AHegation-Ecordinaters (OAG) et-ienst-ence-every-lemenths:}
Apr roved:
N R C-0517-039. 4 MANAGEMENT OF ALLEGATIONS e
[h:]g.,
monitors the allocation of resources for allegation [menegement)-
resolution by the Regions.
[038]O37 The Director, Office of Nuclear Material Safety and Safeguards:
a.
reviews allegations concerning NMSS licensees in coordination with the Action Office for potential board notification and makes such no-I tification if required, b.
evaluates implications of allegations relative.to licensing decisions concerning NMSS licensees in coordination with the Region (s).
c.
monitors the investigations being conducted within area of responsi-
+
bility to assure that [an] Xdministrate,and-estabHshecf-by-the the investigative priority or schedule
[ requested-by-e -R egtenaF -
Oireoter,-Office-eF-itwestigetiens-] meets regulatory needs.
[039 -The -Givector,-OHiee-ef-Speciah Peoiectst a:
-reviews-aHegettens-eencerning-OSP-ficenseet-for potentiaF-board notificetion-an6makes-such-boerd-netificatien,-if-required )
b-e vefe a tes -the -imp Hestione -of -elieg a tient -relative -to -licen s ing decisiens end plent -sefety-sec+iming-OSP-iteensees ]
er menites -the -investigetions-being-eenducted wkhin the OSP-eree-ef res porwibi H t y-t o - a s s e re-t h et-e n-in v es t ig a tive-peierity -o r -seh e dul e req eest ed-by 4 SP-end -estebH s hed by -the -Bireetor,- 4 f fice-of fnvestigations,-meett-regekrtory needs )
[0310]038 The Directer, Office of I Admbistration end] Information Resources Management
.( ARM-)] (IRM):
a, provides ADP support to maintain the AMS.
b.
provides special reports to AMS users as requested and' authorized by [NM] the NRC Program Manager for Allegations.
J c.
provides ADP assistance to the [NM) 89 Program Manager for Allegations in making modifications and improvements.to the AMS.
[0311]039 Office of the General Counsel (OGC) and Regional Counsels:
a.
provide legal counsel in resolving allegations as necessary.
b.
review the legal basis for referrals of matters to the Office of Inves-tigations as requested.
c.
provide legal counsel on confidentiality agreements as requested.
0517-04 DEFINITIONS 041 Action Office.
The NRC Program Office or Region that is responsible for reviewing and taking action, as appropriate, to resolve an allegation.
For Approved:
M NAGEMENT OF ALLEGATIONS N R C-0517-039.n the purposes of this chapter, Ol and [OFA) OlG are not considered Action' Offices.
042 Action Officer. ' The staff member h the Action Office who is as-signed the responsibility for resolving an allegation.
043 Allegation. A declaration, statement,' or assertion of impropriety or inadequacy associated with NRC-regulated activities, the validity of which has not been established.
This includes all concerns identified by sources such as the. media, individuals or organizations, and technical audit efforts from the-Federal, State or local government offices regarding activities at a licensee's site.
Excluded from this definition are matters being handled by more formal processes such as 10 CFR 2.206 petitions,- hearing boards, appeal boards, etc.
Allegations that may result from these formal processes and are not resolved within these processes shall 60 subject to treatment under this chapter.
Alle-gations in 2.206 petitions alleging miscenduct by NRC employees or NRC Con-tractors will be promptly referred to [OFA) OlG by ma'1agement.
(See Appendix 0517, Part I.D. )
044 Allegation Management System ( AMS).. A computerized information system that contains a summary of significant data pertinent to each allegation.
045 Alleger. An individual or organization who makes allegations.
The individual or organization may be a concerned private citizen, a public interest group, news media, a licensee, vendor or contractor employee, or a represen-tative of a local, State, or Federal agency.
046 Confidentiality. The term that refers to the protection of data that directly, or otherwise, could identify a confidential source by name.
047 ~ Confidential Source.
A person who provides inforr' ition to the NRC pursuant to a Confidentiality Agreement. (Exhibit 2).
048 Inspection. For purposes of this chapter, a special investigatory ac-tivity normally conducted by EDO Offices and Regions that may be used-to evaluate and resolve an allegation.
049 investigation.
For the purposes of this chapter, an activity normally conducted by the Office of Investigations that may be used to evaluate and re-solve an allegation.
0410 Office Allegation Coordinator (OAC).
A designated staff member in an Office or Region who serves as the point of contact for that Office or Re-gion regarding the processing of allegations.
0411 Protected Activities.
Employees of licensees and contractors are en-gaged in protected activities within the meaning of Section 210 of the Energy Reorganization Act and the Commission's regulations, e.g., 50.7, when they are raising potential safety concerns to their management as well as when they raise such concerns to the NRC.
Approved:
s N R C-0517-0410 MANAGEMENT OF ALLEGATIONS i
0412 Receiving Office. The Office or Region that initially receives an al-legation. In some cases, the Action Office and Receiving Office will be the
-sama If the allegation falls within the functional responsibility of the Receiving Office.
0413 Sanitize. The process of ensuring that any NRC document developed as a result of an allegation does not reveal the identity of the alleger.
0414 Secure Files.
Files which are locked when not in use and to which access is controlled on a need-to-know basis.
s 0415 Wrongdoing. Wrongdoing consists of [beth) either (a) intentional violations of regulatory requirements [and) or (b) violations resulting~ from careless disregard of or reckless indifference to regulatory requirements, or both (a) and (b). A reascnable basis for belief of wrongdcing exists when, from the circumstances surrounding it, a violation of a* regulatory requirement appears more likely to have been intentional or to have resulted from careless disregard or reckless indifference than from error or oversight.
0517-05 BASIC REQUIREMENTS 051 Applicability. The provisions of this chapter and appendix are appli-cable to, and shall be followed by, all NRC employees.
052 Wrongdoing. Those matters where there is a reasonable basis for be-lief of wrongdoing, and for which the staff concludes an investigation is nec-essary to determine whether enforcement or other regulatory action is required, should be referred to the Office of investigations following the procedures set forth in Appendix 0517, Part 111. Allegations of wrongdoing by NRC employees or NRC contractors fall within the purview of [OFA) OlG and are not entered into the AMS. 01 will notify the requester within [30) 15 workdays whether the matter has been accepted for investigation and, if so, [the-i l
ptierky of-theHnvesthgat'ron end-the-estrmated-schedtrie--) the estimated schedule for completion of the investigation. If a request is not accepted, Ol will provide the requester with the basis for its decision. Any differences between the staff and Oi on the need for or priority of an investigation shall be resolved in accordance with the process described in Appendix 0517, Part lli. The Office or Region will enter allegations of wrongdoing into the AMS using information received from the alleger or provided by 01 (see Appendix 0517, Part I,1.2). 01 will provide either a report or a summary of its findings of those matters which it investigates to the requesting Office or Region. Allegations involving wrongdoing for which a Region-is the Action Office will be coordinated [by the4eg'ron-eAG) with the Ol Field Office l
Director in that Region. Allegations involving wrongdoing for which a Head-quarters Office is the Action Office will be coordinated with Ol Headquarters.
(See also Appendix 0517, Part I.D.)
Approved:
'liAN AGEMENT OF ALLEG ATIONS N R C -0517-052 -
J 053 Action Office Assignments.
Allegations submitted by any source con-cerning N RC-regulated activities should be transmitted promptly by the Receiv-ing Office O AC to the O A C in the appropriate Office or Region for processing _.-
054. Identity of Allegers. As a general rule, the need-to-know principle should be implemented for all allegers. Generally', this means avoioance of un-necessary use of the identity of the alleger and other identifying information-in discussions and in internal documents. Documents released to the licensee or to the public should not contain information which could identity the alleger unless it is clearly documented in the allegation case file that the alleger has no objection to the release of his/her identity. As dictated by particular circumstances, N R C officials need not--and generally should not--reveal that an inspection is based in whole or in part on allegations.
With the exception of reports prepared by the Office of In vestigation s, reports should normally not contain information which would reveal the iden-tity of an alleger. Inspection reports and other NRC documents may be used to address and resolve certain items without acknowledging that the issue was raised in the context of an allegation.
Individuals using oocuments contain-in5 information which could reveal the identity of an alleger are responsible for controlhng such documents, such as by placing them in locked storage when not under the individual's personal control.
If asked whether a person is an alleger, NR C staff should respond that it is NR C policy to neither con-firm nor deny [the-e+isteue-ef] that an in divid ual is an alleg er.
T his -
policy was developed in conjunction with the Department of Justice. The FIP AB Branch, [ A R-M] IRM, should be contacted should specific q uestion s arise in this area.
Higher standards of control are to apply when an alleger has been granted -
confidential source status.
Confidential source status is granted when e Con-fidentiality Agreement (Exhibit 2) is executed by the N R C and the alleger.
Guidance with respect to granting confidentiality, revoking confidentiality, and providing the identity of a confidential source outside the NRC is contained in Appendix 0517, Part II.
The identity of a confidential source must be protected by not referring to the name or other identifying information in internal NRC discussions unless absolutely necessary, and by expurgating the name and other identifying information from allegation docu ments before providing them to authorized assigned N RC staff members. Allegation files and documents which contain in-formation which could reveal the identity of a confidential source are to be marked "Contains information which would reveal the identity of a confidential source," and may not be reproduced without the' authorization of the O AC.
Information which can reveal the identity of a confidential source shall not be released in response to Freedom of Information Act requests. The authority to withhold such information from public disclosure is contained in 10 CFR $ 9.[5]E(a)(7)(iv). Information which could reveal the identity of an alleger who has not been g ranted confidential source statu s may also be withheld under appropriate circumstances, but this may not always be the case.
O G C or Regional Counsel should be consulted in any questionable cases.
Approved:
N A C-0517-055
' MANAGEMENT OF ALLEGATIONS c
055 Secure Files. All information relating.to cases where confidentiality has been formally gFanted, by signed agreement, must be kept in a secure file cabinet or safe to which limited access is permitted. The OAC is responsible for (a) restricting access to authorized NRC personnel, (b) verifying the "need' to know" of the individuals requesting access, (c) ensuring that no unautho-rized reproduction (photocopying or other copy) of the information is made -
multiple copies made for simultaneous review must be returned to the file, and-(d) ensuring by an informal briefing of the requestor, that information is kept in a secure location while outside of the central file and is returned in a timely manner.
056 Staff Generated Information. Staff generated information relating to l
evaluations or inspections of allegations where confidentiality has been formally granted must be sanitized such that no information is included that reasonably could, through any path, lead to the identification of the alleger, or, such staff generated information must be kept in the secure files. The OAC should provide instructions to NRC staff personnel who generate and review such information concerning sanitization of documents and all unsanitized documents generated must be clearly marked to indicate their sensitivity. Drafts of staff generated information for such cases should be destroyed upon' finalization of the associated document.
057 Responding to Allegers. When allegations are received in writing, a prompt attempt to make personal contact must ordinarily be made in each case either by a letter, telephone call or personal meeting. Contact should be ear-nest and professional. The alleger should be promptly advised of the results of followup action and, in instances of unusual delay in providing the results, should be advised of the status periodically so that there is an awareness that the allegation it being pursued.
058 Processing Allegations. The Action Office should resolve all allega-tions in a manner which is timely under the circumstances (taking into consid-eration the schedule and/or stage of licensing and the complexity of the issue raised).
Except as discussed below (Handling of Late Allegations), all allegations received prior to issuance of an initial license should be adequately addressed and, if possible, resolved before the license is issued. Allegations having rel-atively high safety significance should be addressed first and with expedition.
Less significant allegations should be addressed as priorities and resources permit, but usually within 6 months of receipt.
Allegations should be screened as promptly as possible to assure the proper identification of their significance. As a result of screening, it may be possible to close out some allegations early in the process for logical reasons (e.g., after initial inquiry, the allegation is frivolous or too vague or general in nature to permit further followup). It should be noted that there is no threshold for the acceptance of allegations. All allegations will be accepted and entered in the AMS. Obviously, some allegations will require more time and effort to resolve than others. The type and amount of effort required to bring an allegation to closure is a decision to be made by the Action Office on a case-by-case basis. However, even vague, general or Approved:
MkNAGEMENT OF ALLEGATIONS N R C-0517-058 hearsay allegations require a reasonable effort on the part of the staff to support a determination to close an allegation. Appropriate documentation of such determination shall be provided. in any event, while the safety signif-icance of an allegation is important in determining the extent and promptness.
of staff _ resource commitments, it should not affect the treatment of the alleger as discussed in paragraph 057, above.
Followup of allegations should focus _ not. only on the particular allega-l tion but on the overall area of concern, including the potential for generic implications as well as wrongdoing. In this regard, note that an-allegation directed toward a non-safety item or activity may, as a result of generic implications, affect a safety item or activity. When a number of allegations point to or reinforce indications of a broader problem, prompt action to broaden the scope of the inquiry should be taken to determine the extent of the problem, if it is appropriate, an inspection should be made. A plant visit with the person making the allegation may be made if necessary and if the indi-vidual is willing to make such a visit to find the exact location of a problem. Access issues should be addressed on 'a case-by-case basis. Travel costs for the individual only can be offered, if necessary, and are borne by the Office or Region extending the of fer. Care should be taken to avoid embarrassment or abuse of the individual, e.g.,
schedule visit on off-shift / -
weekend, etc.
Allegations which are ' potential violations of Section 210(a) of the Energy Reorganization Act are to be processed in accordance with the provi-sions of NRC Appendix 0517, Part I., C.,4.
059 Handling of Late Allegations.
Ideally, all allegations concerning a particular facility will be resolved before any license is authorized. if, how-ever, because of the number of allegations and/or their tardy submission all allegations cannot be resolved in a timeframe consistent with reasonable and responsible licensing action, it may be necessary to give priority to those alle-gations which, because of their potential impact-on safety, must be resolved before licensing action can be taken. In this regard, Action Offices must be alert to the possibility that late allegations may impact on upcoming licensing decisions.
Therefore, close coordination and consultation between Action -
Offices and the appropriate licensing office is required in carrying out the responsibilities and procedures for processing late allegations set out in this chapter.
1 In reviewing late allegations, the Action Office will first determine whether, if true, the allegations are material to the licensing decision in that they would require denial of the license sought, the imposition of addi-tional conditions on such license, or further analysis or investigation. If l
It appears that the allegations may be material to a licensing decision, the Action Office will promptly consult with the appropriate licensing office that will make a final determination on materiality and assist the Action Office in determining further appropriate action. The Action Office also has responsibility to recommend Board Notification to the licensing office, if warranted. Allegations which, even if true, are not material to any licensing App roved:
N R C-0517-059 MANAGEMENT OF ' ALLEGATIONS decision or which on their face' or after initial inquiry are determined to
_be frivolous or too vague or general' in nature to provide sufficient. Informa-l tion for the staff to investigate will receive no further consideration and may be closed out on this basis.
As to allegations which are -material 'to the licensing decision, the I
Action Office.will next determine whether the information _ presented is new in the sense of raising - a matter not previously considered or tending to-1 corroborate previously received but not yet resolved allegations, in making l
this determination all information available to the NRC will' be considered, including that previously provided by an applicant or licensee and that t
obtained by the Agency in the course of its review and inspection efforts or from its investigation-of prior allegations.
In some cases, information already available to the NRC may be sufficient to resolve certain allega-tions. However, if an allegation is found to be both material and new, the staff will evafuate the allegation further.
If the Action Offi:e determines that, as a result - of the number of allegations or the timeframe in which they are received it appears likely that full consideration of all allegations cannot be accomplished consistent with reasonable and timely Commission licensing. action, the Action Office will conduct a further screening of the allegations to determine their significance to safety and therefore what priority should be assigned relative to the activity to be authorized. : The following screening criteria will be considered:
a.
The likelihood that the allegation is correct, taking into consideration all available ir. formation including the apparent level of knowledge, expertise, and reliability of the individual submitting the allegation in-terms of the allegation submitted and the possible existence of more credible contrary information, b.
The need for prompt consideration of the allegation recognizing the public interest in avoiding undue delay, if the staff determines that an allegation raises a significant safety concern (i.e., an allegation that would, if true, (1) raise a significant question about the abil-ity of a particular structure, system or component to perform its intended safety function, or (2) raise a significant question of management competence, integrity or conduct,-or about implementation of a quality assurance program sufficient to raise a legitimate doubt as to the ability of the licensee to operate the plant safely) which brings into question the safe operation of the facility at a given stage of operation, the allegation must be addressed prior to authori-zing that stage. Allegations which are less significant will be re-solved in the normal course of business independent of license
, issuance.
Note that the s:reening called for by this section is to be conducted to determine which late allegations must, because of their safety sig-nificance, be resolved before issuance of a license; the initial screening called for by paragraph 058 above, on the other hand, is intended to facilitate the allocation of staff resou ces based on safety significance irrespective of license issuance and is necessary in all Cases.
Approved:
MANAGEMENT OF ALLEGATIONS N R C-0517-0510 0510 involvement of Licensees or Other Affected Organizations. For alle-gations involving a potentially significant and immediate impact on the public health and safety, the affected organization should be promptly informed to assure proper and timely action. For other allegations, once information from allegers is received and understood by the Office / Region, the licensee / vendor should be advised specifically _ by letter of the area of concern and should be requested-to address it, subject to further audit by NRC to ensure that the licensee _ response is adequate, in order to minimize the expenditure of NRC resources.
Before referring an allegation to an applicant,. licensee or vendor, an effort should be made to contact the alleger and advise him/her of the planned referral. The alleger. should be informed that the NRC will review and evaluate the licensee's activities and response as necessary and will inform the alleger of the final disposition.' The affected outside organ-ization should be informed regarding the resolution of the allegation, if appropriate. (See Appendix 0517, Part I, H.)
In all instances, the identity of an alleger should not be revealed unless it is clearly documented that the alleger has no objections. Also, the effectiveness of investigations / inspections should not be compromised.
These exceptions are discussed further below.
While action offices are expected to refer as many allegations as possible and appropriate to licensees, applicants and vendors for action and response, there are two major exceptions to the involvement of the' licensee or vendor in the resolution process. The first exception is where the informa-tion cannot be released in sufficient detail to be of use to the licensee or vendor without compromising the identity of an alleger. In such cases release should not normally be made. The EDO shall normally be consulted in all cases where it appears there is a need to release the identity of a confidential source and the approp riate Regional Administrator or Office Director shall normally be consulted if the identity of a non-confidential source may be compromised.
The second exception is where a licensee / vendor could compromise an investigation or inspection because of knowledge gained from the release of information. In the case of an inspection, the decision to release informa-i tion to the licensee shall be made by the Director of the Action Office. When information cannot be released without risk of compromising an investigation, the Director of the Action Office shall inform the Director, 01, in advance that information related to an open investigation is being considered for release to the licensee because safety or security concerns require initia-tion of immediate corrective actions before publication of the investigation report. The Director, 01, will review the information to be released and advise the Director of the Action Office of the anticipated effect of its release on the course of the investigation. The Director 'of the Action Office will release the information only after determining that the safety or security concerns are significant enough to justify the risk of compromising the effectiveness of the pending investigation and, possibly, subsequ'ent enforcement or prosecution options. Any such release of information should be recorded in the investigation report.
Approved:
r
N R C-0517-0510
-MANAGEMENT OF ALLEGATIONS
(
In the event of an emergency, or a. significa7t safety or security issue which may be identified " rom an allegation and which appears to require -
immediate action, NRC employees, at their discretion, may' discuss with, show to, or provide the licensee any pertinent material they believe the circum-stances warrant, if time permits, the employee should first consult with' his management.
An emergency situation i.s one in which, in the opinion of the senior NRC employee knowing of the situation, a present' danger to public health or safety or to the common defense requires the release of investigative information or information which could reveal the identity of an alleger to a licensee with-out the delay necessary to conr. ult with appropriate NRC personnel. Examples of such types of emergency situations are those that involve a potential radia-tion overexposure to personnel or a potential release of radioactivity to the environment. For example, if an NRC employee knew, through an investigation or from an alleger, that falsified calculations were used to determine the-radioactivity of the contents of a tank and there was a clear potential for the release of the contents to the environment, the NRC employee should stop the release immediately, even though such action might reveal the existence of an investigation or the identity of an alleger.
Likewise, if an NRC employee who solely because of information gained '
from an investigation or an alleger was in a pr.sition to prevent a radiation overexposure to someone, the NRC employee shoald intervene even though the intervention might compromise the investigatior, or reveal the identity of an alleger.
As soon as practical after a release of investigations information or information which could reveal the identity of an alleger in such an emergency situation, management, the EDO and Of shall be informed of the details l
regarding the information disclosure.*
i As previously stated, generally there should be no need to link the fact that an investigation is under way when providing information to licensees pertaining to potential safety concerns or to obtcin correction 'of a specific technical issue. However, when for the reasons stated above, the Director of i
the Action Office decides after consultation with Of to delay informing a l
licensee of an issue, this decision and the basis on which the delay is found to be consistent with public health and safety should be documented by the Director of the Action Office and the decision reexamined every three months to assure its continuing validity.
- As a general ruie, the fact that a particular matter has been or will be refer-red to the Department of Justice (DOJ) should never be disclosed to the licen-see. A reply of "I cannot comment on that matter" is appropriate in most cases. However, if a Regional Administrator or Office Director feels he or she must disclose that a referral has been or will be made to the Department of Justice, such disclosure will be made only with the prior concurrence of the Director, OI.
Approved:
1 MdNAGEMENT OF ALLEGATIONS
' N R C-0517-0510 y
In determining whether' to refer allegations to a licensee, consideration should also be given to:
a.
The licensee's past record in dealing with allegations, that is, the likelihood that the licensee will effectively identifyr investigate, doc-1 ument and resolv.e the allegation.
b.
The possibility that the release of information could bring harm to the alleger.
c.
Whether the allegation is made against the licensee, applicant or vendor management or those parties who would normally receive and l
address the allegation.
1 d.
Whether the alleger has voiced objections over the release of the allegation to the licensee, applicant or vendor, e.
Whether the. allegation-is based on {inteH'rgence) information received from another governmental agency, which does not approve of
.tne information being released in a referral, i
f.
Whether the alleger has' already taken. this concern to the licensee with unsatisfactory results.
l The transmittal letter to the licensee must convey staff's expectations that l
the licensee's evaluation of the allegation will be thorough, objective and of-sufficient scope and depth to resolve the allegation. The following criteria shall be used to judge the adequacy of the licensee's response:
a_.,
Was the evaluation conducted by an individual or organizational entity outside the organization where the alleged event took place?
b.
Was the evaluator competent in the specific functional area where the alleged event occurred?
E Was the evaluation of adequate depth to estat,lish the scope of the problem?
.d.
Was the scope of the evaluation sufficient to establish that the alleged event or problem was not a systematic defect?
e.
Did the evaluation consider the root cause and generic implica-tions of the allegation, if it was substantiated.
-- { Most-eHegatiens-sent-to-the-ficensee 4er-resol etion -wiH - re qtri re - a positive-respense4 rem -the-licensee-eeneerning-their-resekstien or position-en--
the-concern-] If the staff agrees with the licensee's response, it can be incorporated into the staff's close-out letter to the alleder. Obviously, if l
staff does not agree with the licensee's position, the allegation remains an open issue.
Approved:
. --m
N R C-0517-0510.a MANAGEMENT OF ALLEGATIONS Most allegations sent to the licensee for-resolution will require a posi-tive response from the licensee concerning their resolution or position on the concern. For example, an allegation that a welder working on a non-safety-related system was not properly certified may be referred to a licensee. How-ever, a licensee response is necessary to determine, if the allegation is-substantiated, whether the individual worked on other systems of interest' to the staff, whether other individuals were similarly not properly tiained/
certified, and whether the licensee's methods were adequate to assure that the work performed by this or other similarly trained individuals on safety-related systems, if any, was done properly.
Further, an allegation that hangers or support devices for balance-of-plant systems were improperly installed may also be referred to the licensee.
A response would be required to determine, for instance, (1) if the individual who installed the hangers worked on any safety-related systems, (2) if so, was the individual properly certified, and (3) if the individual was not prop-erly certified and worked on safety-related systems, what measures have been taken to assure that the work was done correctly.
There are some allegations which can be turned over to a licensee without' requiring a response. Allegations concerning such matters as workers' access to the Administration Building, allocation of preferred parking spaces, dusty conditions at the site and similar issues may be turned over'to the licensee
[or K3SHA] or other appropriate authority without specific NRC followup. The alleger must be so informed.
Allegations that fall within the purview of OSHA are to be handled in accordance with NRC inspection Manual, Chapter 1007, and are not to be en-tered in the AMS.
l Note that 10 CFR 19.16(a), involving radiological working conditions,'
requires that a worker's request for inspection be in writing and be made available to the licensee no later than at the time of inspection, and that confidentiality be provided at the worker's request. In addition to expurgating names and other identifying information, protection of confi-dentiality could also involve retyping an alleger's handwritten notice in the event the potential for wrongdoing is involved, the matter should be coordinated with 01 prior to the inspection and providing any information to the licensee.
l 0511 Appendix 0517.
a.
Appendix 0517, Part I, provides procedures for receipt, control, processing, and disposition of allegations assigned to NRC Offices or Regions and the procedures and guidelines used to record the
- receipt, status, and disposition of allegations in the AMS.
'b.
Appendix 0517, Part II, provides guidance for granting and revoking confidentiality and.for disclosing the identity of a confidential source outside of the NRC.
Appendix 0517, Part lil, provides guidance for initiating, establish-c.
ing priorities for and terminating investigations of matters involving potential wrongdoing.
Approved:
. MANAGEMENT ~ OF ALLEGATIONS NRC-Appendix 0517 i
PART I PROCEDURES FOR RECElVING, SCREENING, ASSESSING, AND CONTROLLING ALLEGATIONS AND FOR THE ALLEGATION MANAGEMENT SYSTEM (AMS) q A.
General This Part establishes procedural guidance for receiving, screening, assessing, and controlling allegations that come to the attention of the NRC staff. These functions are to be established within each Region and Office under the control of an individual Office Allegation Coordinator (OAC), or a panel of staff per-sonnel or other appropriate staff. The Regions and Offices will establish pro-cedures consistent with this guidance and where appropriate provide the required training to ensure that their staffs are-fully informed regarding the proper management of allegations.
Allegations pertaining to NRC-licensed facilities and activities may come to the attention of the NRC staff by telephone, letter, news media reports, or in person at sites, in c'ffices, at meetings, and even at social functions. - All alle-gations are subject to procepsing in accordance with this chapter. It is impera-tive that allegations be recognized as such by staff members and processed professionally, promptly, and with. consistent treatment.
It is very important to note that the NRC does not recognize the term "off-the-record." Allegers who wish to provide off-the-record information must be clearly advised that information important to NRC regulatory concerns cannot be treated off the record, but that the information will be accepted officially and acted upon as necessary.
As a general rule, the need-to-know principle should be use'd when dealing with the protection of an alleger's identity. However, unless a Confidentiality Agreement (Exhibit 2) has been executed making the. alleger a confidential source, an alleger's identity may have to be revealed. In those limited cases where a Confidentiality Agreement is extended to an alleger it will provide the maximum protection regarding an alleger's identity. The guidelines in Appendix 0517, Part it, should be followed in extending or revoking a Confidentiality Agreement. Part ll also provides guidance as to when a confidential source's identity may be revealed outside of the NRC.
NRC employees, particularly resident and Regional inspectors, Regional super-visors, and OAC.s who are expected to receive the majority of allegations, should become fully familiar with the prescribed policies and procedures to en-sure that the required actions are performed.
It is the r esponsibility of all employees who receive allegations to taKe whatever steps are necessary to ensure that an appropriate OAC is promptly informed. Whenever possible, the person making the allegation should be referred to either the OAC, other individuals as designated by the Region or Office, or arrangements should be made for the OAC or designated staff member to recontact the individual.
1 Approved:
p NRC AppIndix 0517 Part l '
MANAGEMENT OF: ALLEGATIONS B.
The Office Allegation Coordinator (OAC)-
1.
The _ initial responsibility of the OA.C is to identify the proper Actio_n
~
Office to which the allegation should be assigned for evaluation and resolution in coordination with other OACs (either'.in the Offices or Regions).
- 2.
The OAC serves as a focal point for processing. and control of all allegations assigned to the Regions E and Offices. The OAC in the Action Office is responsible for:
a.
entering allegations into the AMS.
I b.
tracking allegations from initial receipt to final resolution.
a c.
assuring establishment and maintenance of files that clearly identify allegations assigned to the Region or Office.
d.
documenting actions initiated to resolve allegations.
e.
ensuring that management and cognizant staff are informed of allegations under their purview.
s f.
maintaining the current status' of allegations in the AMS.
g.
ensuring that the final. resolution of allegations is properly documented.
h.
ensuring that the alleger receives information on the resolu-tion of his/her concern (s).
3.
The OAC assists technical staff members. who are reviewing allegation '
information, primarily in the form of coordinating activities necessary to resolve issues. In addition, the OAC may assist in the formulation of a course of action to resolve issues.
4.
A panel, which includes the OAC as a member, may be designated with the primary responsibility to. ensure. that all allegations are promptly assigned and properly evaluated, and that the actions taken l
to resolve the allegation, as well. as the resolution, are properly documented and transmitted to the alleger and the affected organiza-tion as appropriate.
5.
The OAC may also serve as the point of contact-with the Department of Labor on matters involving discrimination under Section 210(a) of the Energy Reorganization Act and will coordinate as necessary with O1 and the Office of Enforcement. (See also C.4., below.)
C.
Receipt of an Allegation 1.
Allegations Received by Telephone or personal Visit Any NRC employee who receives a telephone call from someone who I
wishes to make an allegation should have the caller transferred to the OAC or appropriate staff in the Office or Region. Likewise, if.
an individuai appears in person at an NRC Office, the individual should be referred to the OAC or other appropriate staff member.
Employees, when unable to refer the telephone call or the visitor as described, shall obtain as much information as possible from the individual. (See paragraph 3, below.)
Approved:
2 e
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l NRC App 2ndix 0517
- f
,. MANAGEMENT OF' ALLEGATIONS Part I-In the event an alleger provides information over the telephone which the receiving NRC employee believes may be safeguards or
' classified information, the alleger should be advised that he/she will be contacted to arrange a personal interview. However, certain-d exceptions apply if the information involves an immediate health and safety-matter. NRC Appendix-2101, "NRC Security Program," and NRC Appendix 2301, " Systems Security," should be reviewed for additional information and guidance.
2.
' Allegations Peceived by Mail i
All staff will forward correspondence that appears to contain an alle-gation to the OAC. Both letters and envelopes will be _ forwarded and no copies will be made. An employee who receives direct 'correspon-i dence, including internal NRC memoranda, that contains allegations ~
shall forward the correspondence to.the OAC. All personnel-who-may__
come into possession of this type of correspondence also.should' be made aware that correspondence containing information ' which could reveal the identity of an alleger should be transmitted in a sealed envelope marked "To Be Opened ' by Addressee Only"; for expedited.
L transmittals (e.g.,
electronically),
such information should-be-deleted from correspondence.
3.-
Discussions with Alleger-Any employee receiving a telephone call or visit, as discussed in 1.,
above, shall attempt. to obtain as much information as possible from the individual..it is crucial to identify.
a.
full name b.
complete mailing address c.
telephone number where the individual may be contacted d.
position or relationship to facility or activity involved e,
nature of allegation if.the alleger declines.to provide the above information, attempt to establish the reason (s).using the following guidance:
Explain that Public Law 95-601 (i.e.,
Section 210 of the Energy Reorganization Act) affords protection to the alleger by prohibiting an employer from discriminating against an employee for contacting the NRC. If the alleger continues to be reluctant to provide suffi-cient information to evaluate his/her concern or expressly requests confidentiality, a Confidentiality Agreement (Exhibit 2) may be extended in accordance with the guidelines in Appendix 0517, Part II, B.
N R C-0517-054 provides further information regarding protection of confidentiality. If an alleger persists in declining to cooperate, i.e., refuses to enter into a Confidentiality Agreement and provide relevant information, the alleger should be informed that the agency may consider issuance of a subpoena to obtain needed information.
3 Approved:
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f1 R C A P P E N DIX 0517-Part I' M AN AGEMENT OF ALLEG ATIONS.
The alleger may be informed 'that:the; N R CL employee.with L whom-he/
she: is in contact does enot-'have. the capability toievaluate :the' information, to - determine follow-up action,. or to establish ~ N R C ~
jurisdiction; 'therefore it may be-necessary that someone. else-contact the alleger for additional information.-
The alleger.should also. be. informed Ethat--unless an objection ~ is:
made--he/she will be recontacted as: soon.. as possible regarding the alleg ation.~ This may be done. by telephone,- personal visit, or by :a.
letter to the aileger, at an address desig nated, w hich will. also L
acknowledge the receipt of = the allegation. This process will permit the alleger to review the ir. formation.with the 'N R C to. provide maxi-mum assurance that the Linformation has been correctly interpreted
~
and understood.-
If. the alleger persists-in ~ not. offering' identification after the above' explanations, - docu ment the allegation in as much detail-~ as '
possible and advise the alleger thet he/she may contact the 0 AC or desig nated staff member = in. 30 days ~ or any other agreed u pon period,-
for information on the - status of any - actions being taken on the 1
information supplied.
4.
Allegations of Violations of Section 210(a) of the Energy Reorganization Act a.
All allegations of discrimination that fall under. Section 210(a)
Fthe Energy Reorganization Act, whether 'made directly to the N R C or D 0 L or both, shall be entered. in the AMS.. W hen the allegation is made directly to the N R C and not D 0L,- the alleger
[, shew 4dj shall be informed that to ensure - his/her personal em-playee rights are protected, he/she must file a written complaint with the U.S. Department of Labor within 30 days-.of the occur-rence of the discriminatory act. Complaints should be filed with the Office of Administrator,- Wage and Hour Division, Em--
ployment Standards Administration, U.S.- Department of Labor, Room 53502, 200 Constitution Avenue, N.W., Washington, D.C.
20210, or the Regional DOL Office having jurisdiction over the matter. The alleger [ shew 44] W[
shall also be informed when possible that, althou g h the NRC [-w may investigate the allegation prior to its resolution by DOL r-G+*ece.14y r.
the NRC will.
likely await the results of the D O L investigation, which the N RC will monitor. In some cases, N R C may take action independent of D O L. (See b., and c., below. )
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. *6t4env] W hen-a ' complaint has been filed ' with D O L, staff should L normally await completion of DOL investigations and other I
3roceedings before initiating its own investigation-of the.
'ntimidation and harassment aspects of the complaint of dis -
crimination. However, if an allegation.is made to the N R C that involves significant public health and safety implications, e.g.,_
the allegations of intimidation or - discrimination are so wide-spread.. as.to require. immediate: action or involve-hig h levels-of management, the' N RC can and shculd ta ke certain ' action '
inmediately without waiting for. DOL. ~ The action to be taken should be determined on a case-by-case basis and should. include.
consideration of ~ [iinmediate-NM]- referral to 01 for ' investiga-tion
[eed enforcement. action for specific acts of discrimi -
t nation, action to identify patterns of discrimination and: levels of management involvement,- [te-bykg] bringing the issues to the attention of the licensee, and enforcement conferences and management meetings to discuss possible licensee actions with regard to-the potential chilling effects of discrimination.
E Individuals making allegations of discrimination under Section 210(a) shall be recontacted by the flRC staff within approxi-mately 30 days of N R C's receiot of the original allegation to determine if the alleger has ff ed a complaint-with DOL. If the alleger has not filed a complaint with D O L, the allegation should be considered for OI referral. (See Part III.B.2). The decision whether to request an-OI investigation must be made on a case-by-case basis taking into account the particular fact pattern of the case in question. Factors to consider include whether the alleged discrimination may be egregious, whether the licensee has a prior history of discrimination-complaints, the likelihood of a violation of 10 C F R 50.7 or analogous sections in other parts of 10 C F R, and the potential for the employment action having a chilling effect.
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..A P P E N DIX 0517 '
i Part I M AN AGEMENT OF ALLEG ATIONS l
' " " ' 'W hen a D O L complaint has been filed.a'n'd the D O L ~ process d.
completed, e.g., the complaint has been dismissed, the matter 1
vas been settled,-or the Secretary of the Labor has issued a; Tuling, the allegation should again be considered for referral to OI for investigation. (See Part III. - B.2. ):
e.
In accordance with the procedures 'of the Office of Enforcement, ia
~
Action-Offices are responsible for reviewing all relevant docu-mentation on discrimination allegations, including-any D O L investigative reports or summaries, the licensee's basis for taking the action alleged to be discriminatory, and any invest-igation reports prepared by or for the licensee. This review is necessary to determine-if a-basis exists for referral to 01 for-investigation or closing the allegation.
3 a
[d e]f.
Technical issues. can be examined ' through the inspection pro-cess and should be - acted ' u pon without. regard ' to w hat action-may be taken by the Department of Labor. In-this regard, when N RC is notified by DOL that they are investigating a complaint of discrimination under Section 210(a), the Action Office shall obtain a copy of the complaint from D OL and contact the-alleger" and provide the opportunity for the individual to-make his/her i
(
safety concerns known te the N R C. These concerns should be entered into the AMS anc resolved.
[e d The 0 A C will ta ke reasonable steps to facilitate DOL's 'investi-gation. by assisting DOL in obtaining access to licensed facil-ities and any necessary secu rity clearances.
Regional management or 0G C shnuld be contacted on access problems.
[fr -in-add 4tbn.-to a. negations.-oonsepakg-4t4146t4en-and--har= ment
-er-dissP4 Met-ieav4he-allegen sheuld-also be -a s.ked-tf--be/she-has s pe<4f4c-s afety - se n cer%- If-s e y - t h e s e - s e n teres-shou Id. -be -en -
teved-4to -the -A M-S a n.d-Pesehedel
(
L U aon written, notarized request of the alleger, the Action 0"fice will provide written confirmation of the N R C's receipt of an allegation from the alleger. T he request for confirmation l
should briefly describe the allegation and the date and circumstances under which it was provided to the N R C.
D.
Action by - the Receiving Employee and th'e Office Allegation Coordinator (OAC) i 1.
When an allegation concerning an N R C-regulated activity is received, the employee receiving the allegation will provide the. information-obtained to the Receiving Office O A C who will complete an N R C Form S07, Allegation D ata Form. T he A ction Office is then identified by the Receiving 0ffice 0 AC in consultation with the 0 A C in the poten-tial A ction Office and the completed form and all original docu-mentation regarding the allegation will be promptly forwarded by the Receiving Office O AC to the Action Office O A C.
I 1
Approved:
6 1
l
i
.~ ;
EN R C Appendix 0517-M AN AGEMENT 0F ALLEG ATIONS part I a
2.
.The Action. 0ffice will enter the pertinent information in the AMS in s
accordance with these procedures.- All allegations, except those al-leging ' improper conduct by N R C ' employees or N R C contractors (see 11., below), must be entered into the AMS In this way' an " audit trail" will be established so that N R C actions can be properly ~ monis tored and compieted. The 0 AC _ or other designated staff member will' ensure that the alleger is properly - contacted to acknowledge. receipt-d of the allegation and: to confirm the 'specificss of the allegation. _The 0 A C will provide copies 'of the-allegation documentation to the cogni-1 zant tech nical staff supervisor for evaluation' and initiation of action. If the alleger.is a confidential. source, the staff :should be-provided.. copies 'of sanitized documents. When responsibility for.
the handling of_ an allegation is transferred from one organizational unit to another,. the alleger should be notified of the _new point of contact (name and telephone number) by - the individual = who.is-relieved os contact.in order to assure l continuity. A single point of contact should~ be the rule.
The O AC will follow up'on the allegation with the cognizant technical:
staff supervisor at periodic intervals -until the matter has been satisfactorily resolved. When the case is closed, an update should be made to that effect in the AMS.-
3.
T he 0AC will coordinate allegation information with the technical staff and may assist in determining whether the information is suffi =
cient to identify the issues. If' the information is determined to be insufficient, the 0 A C or designated. staff member will assist in fur-ther contact with the alleger. A single point of contact with an al-l leger provides a means of better controlling' communications, aids in developing rapport, establishes continuity in the flow of information l
between the Regions and other N R C Offices, and aids in protection of the alleger's identity. -
4.
The OAC assists the cognizant technical staff in identifying and separating the issues involved in an allegation into one of the fol-lowing categories:
a.
Allegations that involve technical matters, such as: inadequacies in the design, construction or operation of a licensed facility; inadequacies in procedures, qualifications, or training; _ inade-quate implementation of procedures; inadequate corrective ac-tions; or over-exposure (s) to radiation.
b.
Allegation s w here there is a reasonable basis for belief of wrongdoing and for which the staff determines an investigation is necessary to determine whether regulatory action is required I
such as: record ' falsification; willful or deliberate violation s; material false statements; certain allegations of discrimination under Section 210(a) of the Ener R eorganization A ct (see C.4., above); or other [imppepeF] gyconduct in violation of RTC regu]atorne_3uireme nts.
7 A p proved :
1
s a
N R C Appendix 0517 Part !
M AN AGEMl.hT OF ALLEG ATIONS E
Allegations dealing with occupational health and safety.
[c,]d.
Allegations that involve matters outside the jurisdiction of N RC.
5.
Technica1' issues in category 4.a. involving failure to meet require-ments have the potential for being willful or deliberate. violations.
Normally, in the absence of specific allegations of wi11 fulness or de-liberateness, such issues will be handled as technical issues and re-solved using
- program resources. However, staff should remain alert to im plicit allegations and/or indicators of wi11 fulness that may emerge. If an allegation covers issues that affect other Regions or Offices, follow-up activities will be coordinated with the affected.
Offices and a Lead Office will be designated. The O AC wi11 contact the affected Offices which should result in a mutual agreement as to which Office or Region should have the lead. If agreement cannot be reached at the O AC level, then the issue should be elevated through N R C managemeat until agreement is reached.
6.
Allegations in category 4.b.,
except for those involving N RC employees or N R C contractors (see [10] 11 below), shall be re-i ferred to 01 Field or Headquarters Offices 15,accordance with the guidelines in A p pen dix 0517, Part III. Requests for an investiga-tion by 01 must be made using the " Request for Investigation" form
)
(Exhibit 3) and distributed as indicated on the form. Upon receipt I
of the completed form, 01 will evaluate the request and conduct consultations as necessary with the requesting office. If a request 1
is not accepted, O! will provide the requester with the basis for its decision. Any differences between the staff and OI on the need for [em-prh4ty-of] an investigation shall be resolved in accordance 1
with the process described in Appendix 0617, Part 111.
i l
l l
Approved:
8
i N RC Appendix 0517 i
M AN AGEMENT OF ALLEG ATIONS Part I 7.
Allegations in category 4.c. concerning matters of occupational i
health and safety shall be referred to the licensee for action in accordance with N P.C Inspection Manual. C hapter 1007. and are not entered in AMS. Referrals to the licensee will be made in such a manner as to protect the identity of the alleger.
. [7,]2 When applicable, the Action Office should notify such other agencies 8
[ sue 45-Se-9t<W@ena4-Subtyend-Mth-A4m4nktenet4ent-9-04, ets,y] ~as may be appropriate in dealing with alleg6tions in category e
4!d[s]. Totification to Federal law enforcement agencies and. State and loc ~al jurisdictions is the responsibility of the a ppropriate 01-Field 0ffice or
[@e-Q#40e of-4*peoton +r4-Av44ter]
OIG (for matters falling within its purview only).
[8,]9 Allegations involving discrimination under' Section 210 should be en-2 tered in the AMS. In addition to -informing an alleger of his/her rights under Section 210 the O AC also ensures that the allegation is processed in accordance with the provisions of C.4., above.
i
[9,]& If an allegation is determi.wd to have generic implications, other Of-fices and/or Regions with iesponsibilities that may be affected will be appropriately notified by the Action Office (e.g., AE00 for oper-ational data, RES for concerns affecting research activities, etc.).
[10,]L Allegations regarding suspected improper conduct by N RC employees and NRC contractors will be brought to the attention of appropriate management for referral to
[ne-G#4c+ of-4*pec-tor-+nd-Av44ter (0M)] OIG. Allegations of this nature are not entered into the AMS.
However, records should be maintained to show that such allegations have been referred to [0M] OIG. (See C hapter N R C 0702.)
E.
Documenting Allega_tions 1.
When an allegation is received and the action office identified, a working file should be established to contain all releted documenta-tion concerning the allegation, including all correspondene, memo-randa to files, interviews, and summaries of telephone conversations, discussions, and meetings. This file shall be maintained in the offi-cial files of the Action Office in an officially designated location.
The allegation source document must be maintained in this file and clearly marked with the allegation number. Allegations shall be filed, stored and retrieved by this allegation number and not by 9
A p prov ed:
l
.y
- NRC App;ndix 0517 Part 1 MANAGEMENT OF ALLEGATIONS personal identifier of the alleger. To ensure proper evaluation, full and complete information should be documented about each allegation, in addition to obtaining basic information, attempts should be made to expand and clarify the information so that the issue is well defined. All allegations, regardless of source or how received, must be occumented. Access to the official files is to be controlled.
Files are to be locked when not in use, in addition, records or files containing the name or other identifying information of a confidential source should be stamped "Contains information which would reveal the identity of a confidential source" and access should be tightly controlled. The information in these files shall not be reproduced without author!zation of the OAC. The 5,ame controls apply to copies as to originals.
2.
There will be occasions when the allegations obviously have no sub-stance and appear to represent a distortion of facts. However, even in these cases, documentation that identifies the contact, the gen-eral content of any communications, and the basis for a conclusion that the matter need not be pursued is necessary. Instances such as these will be coordinated with the appropriste technical staff by the OAC to ensure proper disposition.
1 3.
The importance of obtaining and documenting all pertinent informa-tion about an allegation cannot be overemphasized. Evaluation and screening of the allegation, as well as the proposed course of-action that will be adopted to resolve the issue, will be based primarily on this information, in some cases, a personal interview with the alleger may be warranted. Depending on the nature of the allegation and the time sensitivity, assistance from {the-OfGee eHweetigedens
(-GO) 01, or other resources may be requested.
4.
As soon as possible after receiving an allegation, the person receiv-ing the allegation shall notify the OAC. Normally, no action will be taken to verify the validity of the allegations, nor shall such matters i
be discussed with licensees until after the OAC or designated staff member has briefed appropriate NRC management.
5.
The OAC or other designated staff member is responsible for review-ing all information received in conjunction with an allegation and for ensuring that management and cognizant technical staff members are fully informed.
6.
Allegations normally should not be addressed in Preliminary Notifica-tions (PNs) or Dally Reports (DRs); however, if it is determined that PN or DR entries are appropriate, the approval of an Office Director or a Regional Administrator should be obtained.
7.
Transmission of information or files regarding allegations will be j
minimized. Special precautions must be taken for information that must be transmitted if allegation documents which would reveal the identity of an alleger must be sent to other NRC personnel, the documents should be securely wrapped and marked "To be Opened by Approvad:
10
l NRC App:ndix 0517 MANAGEMENT OF ALLEGATIONS Part I l
Addressee Only." The sender must ensure that the recipient has a need to know. In the case of a confidential source, the sender must verify the recipient is included on the list of individuals with a need to know maintained by the OAC. NRC personnel are to take all i
necessary steps to ensure that the identity of a confidential source i
is not revealed. (See NRC 0517-054.)
i F.
Evaluation by Cognizant Technical Staff 1
.1.
When an allegation package is received, the technical staff within the Office or-Region will review the documentation to determine if there is a safety concern that requires immediate regulatory action. The technical staff is responsible for development, initiation, and follow-through on corrective actions.
Allegations or documents 1
containing
- a. substantial number of allegations once entered in I
the AMS can be screened using the following criteria:
a.
Is there an immediate safety - concern which must be quickly addressed?
b.
Is the allegation a specific safety or quality issue or a general-
)
ized concern?
j c.
Has the staff previously addressed this issue?
d.
Does the allegation package contain sufficient information for a 1
thorough evaluation? If it does not, identify the additional in-i formation that is needed.
e.
Are all aspects of the allegation adequately defined and de-i scribed to permit or allow a meaningful evaluation. This is a j
screening process that may result in a decision not to consider 1
the allegation further. If the latter is the decided course of i
action, the alleger should be so informed in a courteous and i
diplomatic manner along with the rationale for not considering It further.
The potential for adverse publicity must be
]
recognized when taking this action.
)
f.
Is the identity of the alleger necessary for a thorough j
i evaluation?
g.
What specific issues are involved in the allegation?- Can the issues be adequately addressed by a technical inspection?
h.
Can the allegation be examined and resolved by investigation or during a scheduled inspection? If this is not possible, determine the best way to address the issues.
l I.
Can licensee / vendor resources reasonably be used in resolving J
the allegation to conserve staff resources? Consider potential problems associated with involving the licensee in the resolution process. (See NRC-0517-0510.)
-l 11 Approved:
n.
NRC App:ndix 0517 Part i MANAGEMENT OF ALLEGATIONS 1
, J.
Does the allegation have the potential to require escalated enforcement action?
k.
What is the time sensitivity 'of the allegation, and what immedi-ate actions are necessary?
j i
1.
Will investigative assistance be needed?
m.
Identify peripheral issues that could. develop.
t n.
Are any licensing or enforcement actions or board proceedings pending which could be influenced or affected by the ellegation?
When an allegation involves a case pending before a licensing or appeal board or the Commission, information concerning it should be provided to NRR or NMSS as soon as possible to assist in the determination of whether or not a board notifica-i tion should be made. This decision must be made promptly by 1
NRR or NMSS in accordance with office procedures.
2.
Action Office staff are also responsible for:
a.
Determining if other NRC Offices should be notified, b.
Establishing a schedule for the resolution of each allegation which is consistent with the licensing schedule, if applicable, c.
Notifying the OAC or designated staff member when the status changes or action (s) is complete.
3.
It is the responsibility of the technical staff within the Office or Region to resolve each allegation that falls under its jurisdiction, and subsequently, to notify the OAC or designated staff member of the action taken so that the status of each allegation can be tracked to closeout. Final resolution of an allegation shall be documented and placed in the working file along with all supporting documentation..
The final report should state the facts clearly.
For those allegations resulting in the need for corrective action, the 4.
affected organization (s) shall be properly informed recognizing the need to protect the identity of the alleger.
G.
Allegation Resolution Documentation 1.
Allegation resolution documentation officially closes the file for that case and shall be placed in the working file which now becomes a closed case file.
2.
A final report or document should be prepared that sets forth the facts about the allegation and its resolution clearly and conclu-sively. The final report can be a memorandum for a relatively minor
- matter, a report of Investigation, an inspection report, or a technical paper for a complex or major generic matter. It can be Approved:
12 i
~ __
[
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part I an SER supplement for multiple allegations proximate to OL issuance, it should not contain the name of, or material that could be used to identify, the alleger. (See NRC-0517-054.)
3.
The final report should include a summary of the concern, a description of the evaluation performed and the conclusions drawn.
4.
Appropriate entries should'be made in the AMS to close out the allegation.
j 5.
When the final report has been approved (i.e., the case is closed),
all allegation documentation is subject to release under the FOIA with appropriate precautions to protect confidentiality. Until that time, i
all allegation documentation is exempt from release under the FOIA in accordance with 10 CFR 9.5 Exemption (7) due to actual, or the po-tential for, law enforcement action. An FOI A request received during i
the open stage, however, will "freeza" those documents in the file at i
F that time for FOl A processing, in the absence of an FOI A request, management may freely review case files when an allegation is closed i
and retain only those documents necessary to account for official action.
6.
Reports issued by {the-OfGee-ef-imesHgetiens] 01 may contain information which could reveal the identity of con ~Tidential sources.
If so, the report will be clearly marked to alert the recipient /
reader to the sensitivity of the document. 06 memoranda transmitting such reports will also indicate that the report may reveal the iden-tity of confidential sources. The EDO and Replonal Administrators will make determinations regarding further distributions of such reports on a need-to-know basis.
H.
Dissemination of Final Report 1.
A copy of the final report appropriately sanitized to protect privacy interests of persons and proprietary information shall be sent to the p
alleger and, if appropriate, to the affected outside organization (s).
A transmittal letter may be needed to summarize the matter. This should occur after civil and criminal enforcement actions, if any, I
have taken place.
2.
The foregoing does not apply to 01 investigative reports. However, l
if an 01 report is the primary document relied upon in the resolution of an allegation, the alleger should be provided with a summary of the report, if the summary has not been publicly released, Ol's con-currence should be obtained prior to release of the summary, l.
Allegation Management System
(
'1.
General
[
I a.
For purposes of the Allegation Management System ( AMS) the definition provided for an allegation is very general and broad.
13 Approved:
NhtC Appendix 0517
, Part i MANAGEMENT OF ALLEGATIONS The significance or nonsignificance of an allegation will be judged during the Action Office review and follow-up activities.
There is to be no screening of allegations for possible deletion prior to entering them into the system (except for duplication 3
of entries). The AMS should provide a vehicle for collecting, storing and retrieving all key information regarding all allega-tions. The Action Office determines the necessary action to be i
taken based upon the specifics of the case. Some allegations may be received and closed out the same day.
b.
The AMS provides basic descriptive and status information and serves as a referral system. It identifies the office and staff to contact for more specifics on an allegation. Additionally, it keeps the staff informed as to how the allegation was resolved and provides reference to the close out documentation.
c.
When an allegation is received, it is not necessary to identify by separate entry into the AMS every component or subset of the allegation. For example, if an allegation is received that consists of 15 separate concerns of wrongdoing and technical deficiencies, the allegation may be entered as one allegation.
However, the description of the allegation should include the number of separate concerns and their subject area. In some cases there may be a distinct grouping of concerns; for exam-ple, in two areas such as training and quality assurance. In such a case it may be appropriate to enter two allegations. _ A main objective is to ensure that the receipt of an allegation is entered and tracked in tha system. An allegation is not com-pleted and closed until an Action Office supervisor determines that appropriate action has been taken.
d.
Sensitive information such as the names of non-NRC persons or personal identifiers shall not be entered.in the system. All in-formation entered shall be unclassified and shall not contain any safeguards information or any proprietary or commercial (2.790)
Information.
e.
Some allegations may require action by two or more offices. For purposes of entering the allegation into the AMS either separate entries should be made for each Action Office for its assigned action or one entry may be made with the involved OACs agree-ing on the lead Action Office for followup of the allegation, if another Office is involved in responding to an allegation, it l
should be so indicated in the " remarks" section.
2.
Interfaces with the Office of Investigations a.
The Office of Investigations has f}urbrdiction-over] Investi-cative responsibility for all allegations where there is a reasonable basis for belief of wrongdoing and for which the staff determines an investigation is necessary to determine whether regulatory action is required except those involving l
l l
Approved:
14
,n
~
H RC Appendix 0517 M AN AGEMENT OF ALLEG ATIONS Part I N R C employees or N R C contractors. OI may also open and con-duct investigations on its own initiative.
OI will forward all allegations it receives to the appropriate Office or R egion. The Office or Region will be responsible for entering all allegations--even those under the purview of 01--into the AMS using a Region or Office AMS number.
b.
For those allegations of wrongdoing, except those involving N R C employees or N R C contractors, assigned to the Region or Office:
(1)
The Region or Office O AC will coordinate with the 01 Field ~
Director or 01 Headquarters representative to determine if sensitive information is included w hich should not be placed into the AMS. A,11 sensitive information is. to be deleted and the word " sensitive" put in its place. However an attempt should be made to provide descripthe material to assist the AMS user to the r,aximum extent possible.
(2) The Region or ONice O A C. will assign 'a Region or Office AMS number. The 01 assigned number should be entered in the AMS as a cross-reference.
(3)
The name and phone number of the 01 Field Director or 01 Headquarters representative will be placed in.the appropri-ate section of the form as the Action Office cont 3ct.
(4)
The 01 Field Director will keep the Region or Office O AC apprised of the status of the allegation investigation and provide timely information necessary to determine the safe-ty significance of the allegation to appropriate Regional or Office management and for use in updating the AMS.
(5)
The allegation will be considered closed when the investi-gation report has been issued and when no technical issues l
remain. Otherwise, the allegation remains open, reference is made to the technical report or 01 investigation report
{40-eitt+o 4s-eemplete), and a schedule for resnlution of the allegation is placed in the AMS.
c.
For allegations of wrongdoing received by 01, the 01 Headquar-ters or Field Director will coordinate with the respective Office or Region O AC who will complete the items 2.b.(1) through (5),
above.
i d.
For allegations of a technical nature received by 01, the 01 lleadquarters or Field Director will contact the respective Office.
or Region and follow the procedures as indicated in item 3.,
below, for the Receiving Office.
l i
l 15 A p prov eu :
NRC Appendix 0517
, Part i MANAGEMENT OF ALLEGATIONS e.
Ol's review of allegations for potential wrongdoing shall be doc-umented in the allegation case file.
3.
Receiving Office Upon receipt of an allegation involving an NRC-regulated activity, the person receiving the allegation will provide the information rela-tive to the allegation (see Exhibit 1) to the OAC who will initiate steps required to identify the Action Office and, if the Receiving Office is the Action Office, enter the allegation into the AMS.
The Receiving Office OAC should, in addition to determining the' appropriate Action Office, coordinate with the Action Office, and
?
receive concurrence from the Action Office before transfer of responsibility.
4.
Action Office.
The Action Office shall:
a.
Complete that portion of the Allegation Data Form marked "Ac-tion Office," assign an allegation number to it, and enter the allegation into the AMS within 10 working days from the date of receipt of the allegation by the office.
b.
Review and, where necessary, update the status of all open al-legations in the AMS on a monthly basis, c.
As soon as possible after the receipt of an allegation and rele-vant information has been reviewed and evaluated, make a pre--
liminary determination of safety significance and the need for any regulatory action.
i d.
Schedule the resolution of each allegation to be consistent with the licensing schedule and the safety significance of the allegation, e.
Make a determination regarding the need for a board notification to NRR or NMSS. If the initial board notification is preliminary in nature, a follow-up notification is sent to boards when evalu-l ation is completed, or whenever significant relevant information is identified during the course of evaluating the allegation.
l This determination should be made as soon as possible in l
accordance with the Action Office board notification procedures.
f.
Develop and maintain a working file for each allegation, which will contain all related documentation. For those allegations comprised of multiple concerns, separate working files may be needed for each concern.
1 i
Approved:
16 1
1 ARC Appendix 0517 e -
Part I M A N A G EME N T OF A_L LEG ATIO NS 4
g.
T hirty days prior to the construction com pletion date (applicant's estimate) for cach pending OL, each Action Office will forward to the appropriate licensing organization in NRR an evaluation of the safety significance of all allegations not scheduled to be resolved before the construction completion date, with a recommendation as to whether any or all of them constitute for delaying issuance of (or otherwise restrictin g) groundsan operating license. (See N RC-0517-059.)
h.
T hirty days prior to a Commission decision on authorizing full-power operation, a report similar to item g., above, will be prepared and forwarded to N R R.
i.
Protect the identity of all allegers and,. when confidentiality has been g ra nted, assure that the added controls in this chapter are implemented.
Ensure that all allegations involving wrongdoing are reviewed with 01. ( See Part III. B.2. )
i 5.
[ N R4-G AG] A M S Progra m Manage,r,
[In-+M%n-k-We-merm+1-046-respowA>4Mtk*s.,--t,bc--14R4-04Gr] _T he AMS Program Manager:
a.
flanages the AMS. Coordinates and evaluates requests for AMS enhancements and system improvements and authorizes [R-t4] IRM to make the changes.
b.
Authorizes and requests that special reports be prepared from the AMS database for use by N RC staff and management.
c.
Is responsible for conducting programmatic reviews of the im-plementation of the policies and procedures in this chapter and appendix.
6 Prepares and publishes a list of N R C O ACs 'at least once every 12 months.
l l
l l
l l
A p proved:
17 I
(
NRC Appendix 0517
- MANAGEMENT OF ALLEGATlONS Part i EXHIBIT l e.
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18 Approved:
1
i MANAGEMENT OF ALLEGATIONS NRC Appendix 0517 PART 11 PROCEDURES FOR GRANTING AND REVOKING CONFIDENTIALITY AND DETERMINING WHEN THE IDENTITY OF A CONFIDENTIAL SOURCE MAY BE RELEASED OUTSIDE OF THE NRC A.
General On November 25, 1985, the Commission issued its Statement of. Policy on Confidentiality (Policy Statement) to provide a clear, agency-wide' policy on confidentiality.
50 Fed.
Reg.
48506 (November 25, 1985).
There, the Commission recognized that its inspection and investigatory programs rely in part on individua's' voluntarily coming forward with information.
Some Individuals will comb forward only If they believe their identitles' will be protected from public disclosure, i.e., only if they. are given confidentiality.
Safeguarding _the identitles of confidential sources is, therefore, a significant factor in assuring the voluntary flow of such' information. The Policy Statement applies to all Commission offices and directs those offices to make their best efforts to protect the identity of a confidential source. The following procedures are,to be followed in implementing the Commission's Policy Statement.
/
B.
Grantino Confidentiality 1.
Confidentiality is not to be granted as a routine matter. Rather, confidentiality should be granted only when necessary to acquire information related to the Commission's responsibilities or where i
warranted by special circumstances. It should ordinarily not be granted when the individual is willing to provide the information without being given confidentiality. Consequently, if an alleger is providing information willingly, confsdentiality should not be granted and the individual should not be advised of its availability.
Nonetheless, NRC employees should only reveal the identitles of allegers on a need-to-know basis.
2.
If an explicit request for confidentiality is made, the request should not be automatically granted. Rather, information should be sought from the alleger to make a determination as to whether the grant of confidentiality.is warranted in the particular circumstances at hand.
The following information should be solicited from the alleger to assist in making this determination.
1 a.
Has the alleger provided the information to anyone else; 1.e., is the information already widely known with the alleger as 'the source?
b.
Is the NRC already knowledgeable of the information, thereby I
obviating the need for a particular confidential source; i.e.,
why subject the NRC to the terms of a Confidentiality Agreement (Exhibit 2) unless necessary?
i 19 Approved:
N R C APPENDIX 0517 Part II M AN AGEMENT OF ALLEG ATIONS c.
Does the alleger have a past record which would weigh either in favor of or against grantin g confidentiality in this instance; i.e.,
has the alleger abused grants of confidentiality in the past?
d.
Is the information which the alleger offers to provide within the jurisdiction of the N R C; i.e.,
shculd he be referred to another agency?
e.
Why does the alleger desire confidential source status; i.e.,
what would ' be the consequences to him if his identity were revealed?
f.
Does it appear that the 311eger himself caused the condition or committed the violation and so could likely be subject to civil and/or criminal prosecution?
Depending on the information gathered by the authorized NRC employee, a deterraination should be made as to whether granting confidential source status would be in the best interest of the
~l agency.
i l
3.
Ilhen an alleger does not ex pressly recuest confidential source status, an authorized N RC, employee may raise the issue of con-fidentiality in certain circumstances. Such circumstances can vary widely. Authorized N RC employees have discretion to raise the issue of confidentiality when, in their judgment, it is appropriate.
Considerations in making this judgment would include:
a.
When it becomes apparent that an individual is not providing information because of a fear that his/her identity will be disclosed.
b.
When it is apparent from the surrounding circumstances that the witness wishes his/her identity to remain confidential; e.g.,
is the interview being conducted in a secretive manner or is the alleger refusing to identify himself?
Once the issue of confidentiality is raised with the alleger and he/she indicates a desire for confidential source status, the same considerations that apply to an ex would apply here. (See 2., above.) plicit request for confidentiality 4.
When granting confidentiality,
the following points should be discussed with the alleger:
a.
The sensitivity of the information being provided by the source should be explored with a view to determining whether the information itself could reveal the source's identity.
A p proved:
20
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS
- Part 11 b.
The source should be informed that, due to the tight controls imposed on the release of his identity within the NRC, he should not expect others within the NRC to be aware of nis confidential source status and it would be his responsibility to bring it to the attention of NRC personnel if he desires similar treatment for the information provided them.
c.
If inquiries are made of the NRC regarding his status'.as a confidential source, the agency will neither confirm nor deny his status.
d.
The basic points of the standard Confidentiality Agreement should be reviewed if it is not possible to provide the individual with a copy to read.
5.
An NRC employee wishing to grant confidentiality must either be expressly delegated the authority to do so or must seek authorization from the appropriate Office or Regional official. Authorization can be prearranged as circumstances warrant. This might include a planned meeting with an alleger. The Director, 01 [the-Oirecter, OM), and the EDO may designate those persons within their or-ganizations who may grant confidential source status and/or further i
delegate the authority to do so,.
Authority to grant confidential source status is to be documented in writing either through a stand-r ing delegation or an ad hoc authorization. in special circumstances, i
an oral authorization is permissible if confirmed in writing. The standard Confidentiality Agreement [(Exhitrit-23) is to be executed.
1 The circumstances surrounding a grant of confidentiality must be documented in a memorandum to the OAC.
6.
In those circumstances where it is impossible to sign a Confidenti-ality Agreement at the time the information is obtained; e.g.,
when the information is obtained over the telephone, or in a location not conducive to passing papers, confidentiality may be given orally pending signing of the Confidentiality Agreement within a reasonable amount of time, generally two weeks. If documentation is not com-pleted in that time frame, the EDO or the Director, 01 (oe-the Director,-- OM ),
will determine if confidentiality continues.
See Part II, C., below, if confidentiality is granted orally, this must be immediately documented by the person granting it and noted in the memorandum to the OAC.
7.
Office Directors and Regional Administrators must be informed of each grant of confidentiality issued by their office pursuant to a delegation of authority. These senior officials must also approve any variance to the standard Confidentiality Agreement and each denial of confidentiality.
I 21 Approved:
I
~
NRC APPENDlX 0517
+ -
Part 11 MANAGEMENT OF ALLEGATIONS 8.
The OAC of each Office and Region will maintain. an accurate status regarding grants of confidentiality made by the particular Office or Region to include copies of signed Confidentiality Agreements. A confidential source-will be revealed within the NRC on a need-to-know basis only. Any employee with access to the identity of the confidential source must take all necessary steps to ensure that this s
information is not further disseminated. (See NRC-0517-054. ) With regard to protecting a source, account should be taken of disclos-ing information which may reveal the source. The removal of the source name and identifiers may be adequate, but circumstances might exist where particular information itself may reveal the 1
source.
The OAC is also responsible for maintaining secure files when files contain information which would reveal the identity of a confidential source and marking such files "Contains information which would reveal the identity of a confidential source."- Each employee who has access to information which would reveal a confidential source; i.e.,
has been found to have a need to know, shall take all necessary steps to prevent disclosure of the information to unauthorized personnel..For example, when ~ written information which would i
reveal a source is not being used, or is not within personal control of the NRC employee, it shall be kept in locked storage.
9.
In communications and contacts with individuals who have been granted confidentiality, NRC staff must make their best effort to assure that such communications and contacts do not result in the disclosure of the individual as a confidential source. Such efforts may include the use of non government return addresses, plain i
envelopes and rental cars as opposed to government-owned vehicles.
I 10.
If at any time - for any reason confidentiality is breached or jeopardized, the appropriate Regional Administrator or Office D'aector should be informed. The confidential source should be advised. The Director of the Actior. Office-shall be responsible for reviewing the circumstances associated with the release of identity of the confidential source and will assure that necessary actions are taken to preclude repetition. Such review and actions shall be documented in the allegation file.
C.
Revocation of Confidentiality 1.
A decision to revoke confidentiality can only be made by the Com-mission, the EDO, or the Director of 01 [or OFA). The EDO and the Director (s) of 01 (and-OFA] may only revoke grants of confiden-i tiality originally made by their respective offices, or in the case 3
I of the EDO, by offices reporting to {him/her] the EDO. In addition, the Commission may revoke a grant made by any office reporting to the EDO or the Commission. Confidentiality will be revoked only in i
i the most extreme cases. Cases for consideration include where a l
. Approved:
22
l NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part II I
confidentiality agreement is not signed.within a reasonable time following an oral grant of confidentiality, or where a confic'ential source personally takes some action so. inconsistent with the' grant of confidentiality that the action overrides the purpose of the i
confidentiality; e.g., disclosing publicly information which has re-vealed his status as a confidential source or intentionally-providing false information to the NRC.
2.
Before revoking confidentiality, the - NRC will attempt to notify the confidential source and provide him/her with an opportunity to explain why confidentiality should not be revoked. All written i
communications with a confidential source which require / request a j
reply are to be
'sent CERTIFIED MAIL-RETURN RECEIPT J
l.
REQUESTED.
E Withdrawal of Confidentiality 1
The NRC official granting confidentiality may withdraw confidentiality without further approval, provided that the confidential source has made such a request in writing, and the NRC official has confirmed that the.
)
requesting individual is the same person who was granted confidentiality, j
[0-] E.
Official Disclosures 1.
Disclosure to the Licensee or Other Affected Organization l
1 if the information provided by a confidential source involves a potentially significant and immediate impact on the pub!!c. health and safety, the affected organization should be promptly informed to assure proper and timely action.
In some cases, release of the information will compromise the identity of the confidential source.
In such cases, release should normally not be made unless the release is necessary to prevent an imminent threat to public health and safety, in such cases, the EDO shall be consulted and efforts will be made to contact the confidential source and explain the need for disclosure.
As the alleger may also be an 01 confidential source, the Director, 01, shall be contacted.. Consistent with the Commission's Policy Statement,
- however, disclosing information which would reveal the identity of a confidential source will be made only following best efforts by the agency to protect or limit the possibility of disclosure.
2.
Other Disclosures NRC employees may be directed by court order, or requested by an NRC adjudicatory body, Congress, or State or Federal Agencies to provide information which may reveal the identity of a confidential i
source.
Each such request will be handled on a case-by-case basis.
Points to consider, however, are discussed below:
i 23 Approved:
t I
- NRC APPENDIX 0517 i
Part il MANAGEMENT OF ALLEGATIONS a.
Court Order, j
There-are conceivable circumstances where a licensee or other entity could obtain a court order requiring the NRC to divulge the identity of a confidential source. If that happens, the NRC will. seek to keep the disclosure limited, through ' protective orders or otherwise, to the minimum necessary.
b.
NRC Adjudicatory Bodies The second category of circumstances where a confidential source's identity might be disclosed outside the NRC involve a disclosure during an NRC adjudicatory proceeding. The Commis-sion, as the ultimate adjudicatory authority within the NRC, can 4
require the NRC staff to reveal a confidential source. _The Commission in a separate Statement of Policy on Investigations, inspections, and Adjudicatory Proceedings has provided that any Licensing Board decision to order disclosure of the iden-tity of a confidential source shall be automatically certified to thw Commission for review. 41 FR 36032, (September 13, 1981). Therefore, the only adjudicatory board within the NRC with the actual authority to require that the identity of a confidential source be revealed is the Commission.
In making such a decision, the Commission will consider whether the information provided by the. confidential source is reasonably available through alternative means, whether it relates directly to the substantive allegations at issue in the l
proceedings, what the present employment position of the confidential source is, whether a party's right to pres _ent rebuttal evidence or to conduct the cross-examination will be violated if he/she is not provided the names, and whether disclosure is necessary to complete the record.
After considering the relevant factors, the Commission will order release only if necessary. The Commission notes in this regard that, unlike the case of a criminal prosecution, the NRC may not have the option of dismissing a case to avoid disclosing a confidential source, as for instance, when the Identity of the source is material and ralevant to a substantial safety issue or a licensing proceeding, c.
Congress Disclosure to Congress may be required in response to a written Congressional request. The Commission will disclose the identity of a confidential source to Congress only if the request is in writing and it will makt' its best efforts to have any such disclosure limited to the extent possible. This might include assuring that the request ja by Congress in its official oversight capacity; the hand deliver'y of requested information I
ll Approve ::
24 l-l
i NRC App:ndix. 0517 i
- MANAGEMENT OF ALLEGATIONS Part 11 5
directly to the af fected Congress person; and attempting to satisfy the request for information by not revealing the identity of the confidential source, d.
3deral and State Agencies If another agency demonstrates that it requires the identity of a confidential source or information which would reveal. a source's identity in furtherance of its statutory responsibilities.
and that agency agrees to provide the same protections to the source's identity that the NRC promised when it granted confidentiality, the - action office.OAC will make a reasonable i
effort to contact the source to determine if he/she objects to-the release. If the source is reached and does not object, the EDO or his designee or the Director [s] of 01 [or-Ol*]. are authorized to povide the information or the identity to' the other agency, if the source cannot be reached or objects to the release of his/her identity, the source's identity may not be released without Commission approval. The affected agency may _then request 'that the Commission itself release the -identity.
Ordinarily, the source's identity will not be provided to another agency over the source's objection. In extraordinary circum-t stances where furtherance of the public. interest requires a l
release, the Commission may release the identity of a confi-dential source to another agency over the objections of the source. In those cases, however, the other agency must agree to provide the same protections-to the source's identity that were promised by the NRC.
l i
1 I
25 Aporoved:
t NRC APPENDIX 0517 Part il MAN AGEMENT OF ALLEGATIONS P
i t
i 7
b i
s.
l 6
l l
1 l
i i
I l
4 1
1
.1 1
Approved:
26 1
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part II, Exhibit 2 j
i CONFIDENTI ALITY AGREEMENT I have information that I wish to provide in confidence to the U.S.
Nuclear RegWetory Commission (NRC),
I request an express pledge of confidentiality as a condition of providing this information to the NRC.
It is my understanding that, consistent with its legal obligations, the i
- NRC, by agreeing to this confidentiality, will adhere to the following conditions.
(1) During the course of an inquiry or investigation, the NRC will make its best effort to avnld actions which would clearly be expected to i
result in disclosure of my identity to persons subsequently coming in contact with the NRC.
(2) Except as necessary to assure public health and safety and except as necessary to inform Congress or State or Federal agencies in furtherance of their responsibilities under law or public trust, the NRC will not identify me by name or personal identifier in any conversation, communication or NRC-initiated document released outside the NRC. The NRC will use its best effort to minimize any disclosures made outside of the NRC.
(3) The NRC will disclose my identity inside the NRC only on a need-to-know basis to the extent required for the conouct of NRC-related activities.
Consequently, I acknowledge that if I have further contacts with NRC personnel, I r.annot expect that those people will be cognizant of this Confidentiality Agreement and it will be my responsibliity to bring that point to their attention if I desire similar treatment for the information previded to them.
(4) Even though the NRC will make its best effort to protect my identity, my identification could be compelled by orders or subpoenas l
issued by courts of law, hearing boards, Administrative Law Judges, or similar legal entities.
In such cases, the basis for granting this promise of confidentiality and any other relevant facts will be i
l communicated by the NRC to the authority ordering the disclosure in l
an effort to maintain my confidentiality.
l l also understand that the NRC will consider me to have walved my right j
to confidentiality if I take, or have taken, any action so inconsistent with the grant of confidentiality that the action overrides the purpose behind the confidentiality such as (1) disclosing publicly information which reveals my status as a confidential source or (2) intentionally provialng false information to the NRC.
The NRC will attempt to notify me of its intent to revoke confidentiality and provide me an opportunity to explain why such action -
should not be taken.
27 Approved:
1
4 NRC APPENDIX 0517 Part 11 Exhibit 2 MANAGEMENT OF ALLEGATIONS Other Conditions:
(if any)
I have read and fully understand the contents of this agreement.
I agree with its provisions.
Date:
Name:
Address:
Agreed to on behalf of the U.S.. Nuclear Regulatory Commission.
Date:
Signature:
Name:
Title:
s 1
Approved:
28 l
f4 AN AGEMENT OF ALLEG ATIONS N R C A ppendix 0517 P A RT III j
GUID ANCE FOR INITI ATION, EST ABLISHMENT OF FRIORITIES AND TERMIN ATION OF INVESTIG ATIONS A.
General
?'
On January 10, 1986, the Commission app (roved the guidelines proposed by the of Investigations OI) for initiation, establishment of Staff and the Office priorities and termination of investigations. The Commission concluded that uniform guide'ines should be used by both the Staff and OI in establishing priorities for investigations and that staff views on the need for and priority of an investigation were an integral part of the investigation pro-cess.
The following procer';* res are to be followed in im plementing the g uidelines.
B.
Referral by the Staff of Matters for Investigation i
1.
Regional Administrators and Office Directorsh-de-4t,te ttww9 -%e h
EMr] shall refer to the O ffice of In vestigations for possible investigation all matters where: (a) there is a reasonable basis for belief of wron ter; and (b) gdoing, as that term is defined elsewhere in this chap-the staff determines an investigation is necessary for it to decide whether enforcement or other reg ulatory action is required. Matters for which there is not a reasonable basis to be-lieve wrongdoing is involved or matters which may involve wrongdoing but for which an investigation would be unnecessary to determine the appropriate course of aetion should not be referred to 01 for inves-tig ation. For exa mple, where a licensee discovers that a low-level employee deliberately violated a requirement or falsified a document, disciplines the employe and takes' appropriate corrective action which the Staff has reviewed, the Staff may conclude that further N RC action is unnecessary. However, all matters which involve wrongdoing s, hall be reviewed with DI. ( see 2., below. )
2.
The following procedures shall be used to determine which
~~
wrongdoing issues will be referred to 01 for ir.vestigation.
a_.,
All wrongdoing issues shall be the subject of a formal meeting between members of the program office or region and 01 per-sonnel which should be belo within fifteen (15) workdays of i
staff's receipt of the information. T he purpose of this meet-
)
ing shall be to decide whether an investigation referral j
should be made to OI and to provide for an initial 01 assess-ment of the course of action proposed by the staff. Staff shall document the basis of its decision on 01 referral in all cases where wrongdoing 1s involved. Allegation f<eview Boards should normally be useo for this purpose. The meeting should Te chaired by an appropriate manager (branch cniet or above, preferably S E S ). A senior 01 representative should be in atte n d a n ce.
29 A p p roved :
NRC Appendix 0517 1
Part 111 M AN ACEMENT OF ALLEG ATIONS b.
For allegations of discrimination under Section 210(a) of the Energy Reorganization Act, additional meetings with DI may be required (1) within 15 days of the staff's determination that the alleger did or oid not file a complaint with DOL, and (2) within 15 days of the stcff's-notification of the completion of the DOL process, e.g., the complaint has been dismissed, settled or the Secretary of Labor has issueo a
_rulin g. ( S ee Pdrt I. C.4. )
E When differences arise in a Region from the arecess described in a.,
above, these differences shall be reso'ved in a meeting between the Regional Administrator and the 01 Field Office
- Director, d.
Differences arising in Headquarters, and differcrees arician Tn the Regions not resolved at c.,
above, shall be resolved between the Director, 01, and the Director, flR R or NMSS, as appropriate. If there is still no resolution, the Director. 01, will reserve the authority to self-initiate investigations and will inform the Deputy Executive Director for fluelear flaterials Safety, Safeguards and O peration Support (DEDS).
e.
The DEDS trill overview this entire process anc provide an
~~
annual report to the sE DO on the effectiveness of these p roced u res.
[ 2,]3.
All referrals to 01 shall be made using the," Request for Investi-gation" form (Exhibit 3). A priority of hig h, normal or low will be assigned to the requested-investigation using the exenpTes set forth below as guidance. Each request to 01 arising from an aile-gation should be coordinated with the O AC.
0G C or Regional Coun-sel should also be consulted to review - the legal basis for the referral. Copics of the completed request forms shall be distrib-4 uted as indicated on the form.
[3,]4.,
As indicated above, the staff will recommend a high, normal or low priority for each matter referred to 01.
The following examples may serve as guidance in assigning priorities.
It should be recognized that these examples are just that.
Judgment must still be exercised in each case to assure that the appropriate priority is established.
a.
High (1)
C urrent manager, licensed operator or other employce involved in deliberate violation of requirements having hig h safety sig nificance, e.g.,
continuing potential for u n necessary radiation exposure to employees or members of the public.
(2)
S u spected tam pering with vital equipment at a power reactor.
y A p proved :
30 l
L s
~
N RC Appendix 0517 M AN AGEMENT- 0F ALLEG ATIONS Part III (3)
Allegations of falsification of records available for N RC inspection or submittals to the NRC or deliberate with-holding of information required to be reported to the NRC, where the situation involved presents an immediate and continuing health and safety concern, e.g.,
(a) falsification of records having hig h safety sig nif-
- icance, such as faisifications-w hich conceal a
repeated failure to perform a required test; (b) alleged with holding of significant desig n flaw or seismic critoria information for an operating facil-ity; or (c) level of individual involved in the alleged with-holding of information or falsification is such that a serious question of the willingness of management to conduct safe operations is raised.
(4)
Allegation s of falsification of records availabic for N RC ins pection or deliberate violations of N R C requirements concerning an area of significant safety concern for licensing.
(5) Allegations of wrongdoing where immediate investigation is.
necessary to ensure preservation and availability of evidence or which are in some other way time perishable, b.
N ormal (1)
Allegations of intimidation or harassment of Q C inspectors or workers on safety-related equipment at a facility under constru ction.
(2)
Allegations of deliberate violations of N R C reouirements where there is no indication the violation is recurring or causing immediate and direct health and safety impact on the general public or employees.
l (3)
Allegations of falsification of records available for NRC inspection or deliberate violation of N R C requirements of safety concern in the licensing process, c.
Low (1)
Allegations of deliberate violations of NR C requirements, falsification of records or su b mittals to
- NPC, or harassment or intimidation' of workers where the licensee is aware of the allegation and has alraady u n derta ken corrective action.
(2)
Allegations of deliberate violation of H RC requirements at an operating facility where there is no near-term safety concern; e.g.,
the reactor is in lon g-term shutdown.
31 A pproved:
, N RC Appendix 0517 Part III M AN AGEliENT OF ALLEG ATIONS
[4,]h Program offices are responsible to the EDO for assuring that within' their areas of responsibilities necessary in vestigations are con-ducted. If the program office believes that a priority for a matter should be different than that requested
, the Region, the Region should be contacted immediately to resolve the matter.
[5,]6.
Once a matter has been accepted by 01 for investigation, if the requestor of the investigation determines that the need for or priority of an investigation has changed, that information will be provided to the Director. 01, for his/her consideration.
C.
Initiation of an Investigation by 01 1.
Upon receipt of the " Request for In vestigation" form, 01 will evaluate the request and conduct consultations as necessary with the requesting office. 01 will initiate an investigation if:
a.
The staff has found that the alleged wrongdoing has had or could have ' an impact on the public health and safety, the common defense and secu rity, protection of the environment,-
1 or antitrust laws provided that these matters are within N RC jurisdiction; and
~
b.
The Director, 01, determines that there is a reasonable basis to believe that the matter involves wrongdoing; and c.
The Director, 01, determines that there is sufficient informa-tion available to su pport the allegation to warrant initiation of an investigation.
2.
If upon review of the request, there is a reasonable belief that the alleged wrongdoing is solely a product of careless disregard or reckless indifference, OI will not normally conduct an investiga-j tion u nless the req uester indicates that the matter requires application of 01 resources because there are major regulatory implications and the Director. 01, concurs with this judgment.
3.
OI will seek Commission guidance prior to initiating an investiga-tion ~ relating to the character /integ rity of an individual in those instances where the character or suitability aspects of the matter bein g considered for investigation are unrelated to a violation of H RC regulatory requirements.
1 4.
01 will notify the requester within [30-days] 15 workdays of receipt of the request whether the matter has been accepted for investigation and, if so, [the-poieFit-y. a*4 ped-t,o.-the -ma%ec. a.n4] the estimated schedule for completion. If a matter is not accept.ed. for investiga--
tion, 01 will provide the requester with the basis for its decision.
Copies of 01 correspondence on scheduling and priorities will be sent to all those who received a copy of the original request as indicated on the request form.
Approved:
32
N RC Appendix 0517
)
+ H AHAGEMENT OF ALLEG ATIONS Part III-l D.
Resolution of Differences [B+te-Skf.f-+nd-G4]
1.-
Following 01 notification of its action on a rectest for-investiga-tion,.if the Regional Administrator has concerns about the-[indovity er] schedule assigned to the matter or the declination of OI to investigate at all, he shall prom ptly notify the Director of the appropriate program office of his concern.
2.
The Director of the responsible program office will review disputed matters referred by the Regional Administrator and the priorities and schedules assigned on matters referred to 01 directly by the Director determines that ' an in vesti
[estab;is4W-by-N-on 44..lask-thereef] gation prog ra m office. If the does priority or schedule not meet regulatory needs, and the matter cannot be resolved.with the Director.
01, he/she-wil1~ promptly notify the
[E04]
Dep uty Executive Director for Nuclear Materials Safety, Safeguards and O perations Su pport ( D E D S ).
3.
The
[EG0-wnl]
D E D S shall attem pt to resolve all differences-over the need for and priority and schedules for investigations with-the
- Director, 01, and the Director of the responsible program office and, if unsuccessful, seek LGemoiss4en] EDO resolution.
E.
Termination of Investigations 1.
The decision by 01 to terminate an investigation which has been initiated will normally be made outside the context-of the investi-gative priority / thresh hold sy ste m.
01 will normally continue an in vestigation to - its conclusion if there is a reasonable basis for a belief that the matter being investigated involves a deliberate violation of NRC requirements.
The decision to terminate an l
investigation will be a case-by-case assessment by the Director, 01, of such issues as whether the relevant facts necessary to resolve t
l the matter under investigation have been gathered,. whether allega-tions of events or con ditions are so old that witnesses are unavailable or could no longer be expected to recall pertinent in-formation, or whether continued investigation would bc nonproduc-tive or otherwise not serve the agency's interests.
2.
As indicated in section D.5.,
above, if the - reouester of an investigation determines that the need for or~ priority of an investigation has changed, that information will be provided to the Director, 01, for his/her consideration.
3.
For low and normal priority cases, 01 may close a case if its projection of resource allocations indicates that the investigation could not be initiated within a reasonable period of time which will generally be six months. 01 may close a case following its initial evaluation if at that time O! is able to make a projection of its l
resource allocations and the case would not-be initiated within a reasonable period of time, e.g., six months.
23 A p proved:
,y a
I h RC Appendix 0517 l
e,' Part III M AN AGEMENT OF ALLEG ATIONS
{
4 01 will notify the staff in writing when it formally closes a case because of lack of resources to pursue it.
F.
Resolution of Those Matters Returned to the Staff By OI Without Investigation Those matters which are returned to the Staff by 01 without investigation (see E.3., above) will be handled by the staff as part of its normal process to resolve inspection findings.
This may include additional inspections, written requests for information from the licensee, meetings between the staff and licensee or proceeding with enforcement action as appropriate on the basis of the original or supplemented inspection findin g s or such other actions as appropriate. If, after development of supplemental information or reassessment of the original findings the matter warrants categorization as a high priority, the ratter may be referred to 01 again for investigation in accordance with the procedures in this chapter.
Items returned without action by 01 may be closed by the staff when the Regional Aoministrator or Office Director determines that the technical issues involved do not warrant the expenditure of additional agency resources.
Such determinations should be coordinated with the Office of Enforcement and docu-4 mented by a Memorandum to the File.
This memorandum should become a part-of the permanent record on this issue.
It the issue was being handled as an allegation, this memorandum should be made a part of the allegation case file.
G.
Lommission Notification Requirement for Certain 01 Referrals When the staff concludes that a material false statement has been made to the N RC by a senior level efficial of an N R C applicant or licensee and when the criteria for OI referral are met, in a d dition to p reparin g a request for investigation by 01, staff will also prepare a memorandum from the ED0 to the Commission providing the background and the basis for the staff's conclusion.
L
_ Staff Requirement to Advise OI of Matters of Potential Wrongdoing Offices and Regions are required to promptly notify 01 when the staff is aware of an allegation which could potentially involve wrongdoing on the part of 1
licensees or their contractors. All N RC employees should be alert for such allegations. Notice to 01 should be made as soon as it is determined that the potential exists for wrongdoing and should be made independent of and not await a decision by staff to ma ke a formal request to 01 for an investigation. Oral notifications to OI are acceptable. Normally, such allegations should be addressed thru the management chain; however, the N R C's "open acor policy" nrovides that flR C employees may contact 01 directly when circumstances make tdt appropriate.
l l
Approved:
34
.g NRC Appendix 0517
' MANAGEMENT OF ALLEGATIONS Part til Exhibit 3' l
LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE Request No.
Region / Office-year-No. )
Allegation No.
TO:
5 FROM R'EQUEST FOR INVESTIGATION Licensee / Vendor / Applicant Docket No.
Facility or Site Location Regional AdministratorWOffice] E Date Office Director
}
A.
Request What is the matter that is being ' requested for investigation (be as spe-cific as possible regarding the underlying incident).
LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE W/O Ol APPROVAL 35 Approved:
j
j 1-
.g
= ' ', N R C A ppendix 0517.
Part III Exhibit.3 M AN AGEMENT OF ALLEG ATIONS
' LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE B.
' Purpose of Investigation 1.
What is the basis for the belief that the violation of a regulatory '
requirement' is more likely to have been intentional or to have re-sulted from careless disregard or reckless indifference than from error'or oversight? (be as specific as possible).
2.
What are the potential regulatory requirements that may have. been violated?
3.
If no violation is suspected, w hat is the. - s pecific regulatory concern?
4 Why is an investigation needed for regulatory action and what is the regulator, impact of this matter, if true?
C.
Requester's Priority i
1.
Is the priority of the investigation high,- normal, or low?
2.
What example from Appendix 0517, Part III, does this incident most i
closely fit? (If any )
[2]3.
What is the estimated date when the results ~ of the investigation are needed?
E3]4.
What is the basis for the date and the impact of not meeting this date?
(For example, is there an immediate safety issue that must be addressed or are the results necessary to resolve any ongoing regulatory issue and if so come of the investigation?), what actions are dependent on the -out-LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE W/0 OI APPROVAL l
l A p proved:
36
.c.
,3
- ~.t NRC' Appendix 0517 j
..l-,'
O 9 MANAGEMENT OF ALLEGATIONS Part lli Exhibit' 3
..:t i
LIMITED DISTRIBUTION -- NOT FOR 'PUBLIC DISCLOSURE ;
f Actions by Staff l
1.
What actions have been taken by the staff (e.g., ins;;cWonse Notices of Violation, Enforcement Conferences, Confj~dnstney Action -
l Letters, etc. )
~
2.
Actions to be taken if investigation'is closed without a Teport (based on currently available information).
[B-]E.
Contact i
1.
Staff members:
i 2.
Alleger {s]'s identification with address and telephone number if not confidential.
-(Indicate if any confidential sources are involved and who may be contacted for the identifying details.)
F.
Other Relevant Information l
E l
Signature l
cc:
01 */
l EDO-NRR/NMSS[/0SP) as appropriate */
OGC Regional Administrator **/
~~
OE DEDS
- /
If generated by region.
Y^/ If generated by NRR/NMSS[/BSP]
LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE W/0 01 APPROVAL 37 Approved :
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